Bilal Orfali - in The Shadow of Arabic - The Centrality of Language To Arabic Culture - Studies Presented To Ramzi Baalbaki On The Occasion of His Sixtieth Birthday-Brill (2011)
Bilal Orfali - in The Shadow of Arabic - The Centrality of Language To Arabic Culture - Studies Presented To Ramzi Baalbaki On The Occasion of His Sixtieth Birthday-Brill (2011)
Bilal Orfali - in The Shadow of Arabic - The Centrality of Language To Arabic Culture - Studies Presented To Ramzi Baalbaki On The Occasion of His Sixtieth Birthday-Brill (2011)
Editorial board
T. Muraoka, A.D. Rubin and C.H.M. Versteegh
VOLUME 63
Edited by
Bilal Orfali
LEIDEN • BOSTON
2011
This book is printed on acid-free paper.
In the shadow of Arabic the centrality of language to Arabic culture : studies presented to Ramzi
Baalbaki on the occasion of his sixtieth birthday / edited by Bilal Orfali.
p. cm. – (Studies in Semitic languages and linguistics ; v. 63)
"Bibliography of Ramzi Baalbaki":
Includes bibliographical references and index.
ISBN 978-90-04-21537-5 (hardback : alk. paper)
1. Arabic language—Grammar—History. I. Urfah’li, Bilal. II. Ba'labakki, Ramzi. III. Title.
IV. Series.
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CONTENTS
Acknowledgements ........................................................................................ xi
Preface ................................................................................................................ xiii
Bibliography Ramzi Baalbaki ...................................................................... xv
Profiles of Grammarians
Linguistics
Sulamī’s Treatise on the Science of the Letters (ʿilm al-ḥurūf ) ........ 339
Gerhard Böwering
Arabic Contextualized
This book would not have seen the light without the support and help
of many individuals and institutions. Among them, I fijirst wish to thank
the contributors for their generous and patient cooperation. Their col-
lective talents have made the editing of this volume a joyful and educa-
tional experience. In addition to the articles contained in this volume,
two English articles, one by Saleh Said Agha, “On the Poetic Power of
al-Lafẓa al-mufrada,” and one by Stefan Wild, “Did al-Khalīl Ibn Aḥmad
Write a Book on Arabic Prosody?” will appear separately. An Arabic article
dedicated to Ramzi Baalbaki by Abdel Fattah al-Zein, “Ḥarfu maddin fāta
l-lughawiyyīn,” has already appeared in al-Abḥāth 2011.
I gratefully acknowledge my debt to the stafff of the Jafet Library at the
American University of Beirut, who have spared no efffort in providing us
with the books we depend upon. The honoree of the volume has fruitfully
used the Jafet Library collection for more than four decades. I am also
grateful to the Faculty of Arts and Sciences of the American University of
Beirut, represented by Dean Khalil Bitar and Dean Patrick McGreevy, for
supporting the publication of this book. I am deeply appreciative of
T. Muraoka, A. D. Rubin and C. H. M. Versteegh for including this book in
the prestigious series of Studies in Semitic Languages and Linguistics. I am
also grateful to Tara Zend for smoothing the English style of this volume
in record speed and to Jasmin Lange and Renee Otto for supervising its
production.
PREFACE
Beirut, and his Ph.D. in Arabic Grammar and Comparative Semitics from
the School of Oriental and African Studies at the University of London in
1978. At the American University of Beirut, he established himself as a dis-
tinguished teacher and scholar and quickly progressed from assistant to
associate to full professor; he is currently the Margaret Weyerhaeuser Jew-
ett Professor of Arabic. He continued to teach and write at AUB even dur-
ing the most difffijicult times of the Lebanese civil war. When asked about
how he was able to produce during this trying period, Ramzi answers
smilingly: “let’s call it surviving through dissociation.” Ramzi Baalbaki was
a visiting scholar at the Universities of Cambridge (1988), Chicago (1993),
Georgetown (1998), and a scholar-in-residence at Georgetown University
(1999). He served as the Editor of al-Abḥāth (1985–1996), Chairman of the
Arabic Department (1990–1993, 1996–2011), Director of the Center of Arab
and Middle Eastern Studies (1985–1990), and Associate Dean of the Fac-
ulty of Arts and Sciences (1997–2004).
Ramzi Baalbaki’s contribution to the fijield of Arabic grammar may be
summed up in three aims. The fijirst is to demonstrate, by examining early
terminology and concepts, that Arabic grammatical thought is a genu-
ine intellectual product of Arabs and Muslims, rather than the result of
borrowing from other nations. The second aim is to highlight the central
position that the grammatical tradition occupies within the breadth of
the Arabic and Islamic scholarly tradition, particularly because grammar
is fijirmly linked to exegesis, Qurʾānic readings, stylistics, and literary criti-
cism. The third aim is to demonstrate the intricate and subtle analytical
methods of the early grammarians, who, unlike most later authors, were
keen to disclose the delicate balance between structure and meaning.
The editor has decided to limit the topics of contribution to the areas
that formed the core of Dr. Baalbaki’s scholarly work, to which the pres-
ent collection is a homage. In fact, several of the articles of this volume
were inspired by Ramzi Baalbaki’s own research and address topics and
questions fijirst explored by him. Even with this limitation, the volume has
swollen to a considerable size, attesting to the scale of his influence and
reputation. Ramzi Baalbaki is a remarkable scholar whose impact on Ara-
bic studies will be felt for years to come. On a more personal note, and on
a scale that cannot be measured in pages or volumes, Ramzi Baalbaki is an
exceptional colleague, a selfless collaborator, a humane administrator, an
inspiring teacher, an unfailing humorist, and a very dear friend to many.
Bilal Orfali
Beirut, 2011
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1979
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al-Abḥāth, vol. 41 (1993), pp. 107–108.
Review of A. Abū Saʿd’s Qāmūs al-Muṣṭalaḥāt wa-l-Taʿābῑr al-Šaʿbiyya,
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and Linguistics, ed. Y. Suleiman. Curzon (Surrey, 1999), pp. 86–106.
“A note on a controversial passage in Sībawayhi’s Kitāb,” Zeitschrift für
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“Expanding the maʿnawī ʿawāmil: Suhaylī’s innovative approach to the
theory of regimen,” al-Abḥāth, vol. 47(1999), pp. 23–58.
Review of M. Bernards’ Changing Traditions: Al-Mubarrad’s Refutation of
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2000
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“Theoretical coherency versus pedagogical attainability: The conscious
bias of Arab grammarians,” Alltagsleben und materielle Kultur in der
arabischen Sprache und Literatur. Festschrift für Heinz Grotzfeld zum
70. Geburtstag, ed. Thomas Bauer & Ulrike Stehli-Werbeck. Harras-
sowitz (Wiesbaden, 2005), pp. 39–68.
“From burden to asset: Morphological change in the Arabic tradition.” Cur-
rent Issues in the Analysis of Semitic Grammar and Lexicon I, ed. Lutz
Edzard & Jan Retsö. Harrassowitz (Wiesbaden, 2005), pp. 83–105.
،٣ ،٢٠٠٥ ، ، ،“
”
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Review of R. Talmon’s Eighth-Century Iraqi Grammar: A Critical Explo-
ration of Pre-H̠ alīlian Arabic Linguistics, Journal of Semitic Studies,
vol. 50 (2005), pp. 413–16.
2006
2007
The Formation of the Classical Islamic World: The Early Islamic Grammati-
cal Tradition. Ashgate Publishing Limited, Aldershot, 2007.
“Inside the speaker’s mind: Speaker’s awareness as arbiter of usage in Arab
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Ditters & Harald Motzki. Brill (Leiden, 2007), pp. 3–23.
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”
.٤٠–١٩ ،(٢٠٠٧) ٢٣ lexicologie
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of the Arabic Grammatical Theory. Brill, Leiden & Boston, 2008.
.(
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2009
“The place of al-Jāḥiẓ in the Arabic philological tradition,” al- Jāḥiẓ: A Mus-
lim Humanist for our Time, ed. A. Heinemann, J. L. Meloy, T. Khalidi
& M. Kropp. Ergon Verlag Würzburg (Beirut, 2009), pp. 91–110.
“Tamyīz,” Encyclopedia of Arabic Language and Linguistics. Brill (Leiden,
2009), pp. 436–37.
Review of M. Bahloul’s Structure and Function of the Arabic Verb, British
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Eastern Studies, vol. 36, no. 3 (2009), pp. 478–80.
٧٥ ، J. Owens ‘A Linguistic History of Arabic
.٥١–١١ ،(٩٠٠٢)
2011
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Poetry and History: The Value of Poetry in Reconstructing Arab History, ed.
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Beirut, 2011.
“The historic relevance of poetry in the Arabic grammatical tradition,”
Poetry and History: The Value of Poetry in Reconstructing Arab His-
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Beirut (Beirut, 2011), pp. 93–117.
“A 7th–8th century controversy: Ibn al-Aṯīr on naḥw and bayān,” A Fest-
schrift for Nadia Anghelescu, ed. Andrei A. Avram, Ana Focşeneanu
& George Grigore. Bucharest (University of Bucharest, 2011), 85–105.
to appear
Yasir Suleiman
Language Standardization:
Uniformity, Purity and Correctness
1
Ferguson (1996: 69) defijines language standardization as the “process of one variety
of a language becoming widely accepted throughout the speech community as a supra-
dialectal norm—the ‘best’ form of the language—rated above regional and social dialects,
although these may be felt to be appropriate in some domains.” This defijinition provides
an adequate description of standardization in the Arabic linguistic tradition.
2
Following Haugen (1966: 931) codifijication aims at “developing the form of a language,
i.e., its linguistic structure, including phonology, grammar and lexicon.” My main interest
here is grammar with some references to the lexicon. Haugen (1972: 252) lists the compo-
nents of standardization as: selection of norm, codifijication of form, elaboration of func-
tion, and acceptance by the community.
3
Cooper (1989).
4
In the context of the Arabic linguistic tradition, Versteegh (1997: 53) gives the fol-
lowing reasons for the standardization of the Arabic language in the early Islamic period:
“First, the divergence between the language of the Bedouin and the various colloquial
varieties that emerged [after the rise and expansion of Islam] became a real threat to com-
munication in the empire. Second, the policy of the central government, fijirst in Damascus
and later in Baghdad, aimed at the control of the subjects, not only in economical and
4 yasir suleiman
religious but also in linguistic matters. Obviously, if Arabic was to be used as the language
of the central administration, it had to be standardized. Third, the changed situation called
forth a rapid expansion of the lexicon, which had to be regulated in order to achieve
some measure of uniformity.” For an interesting discussion regarding the role of language
in state administration see Heck (2002: 26-03). My approach in this paper difffers from
Versteegh’s discussion of standardization in Arabic in that it focuses on the ideology of
standardization rather than on its linguistic content in grammar and lexicon as Versteegh’s
discussion does.
5
See Bartsch (1987) for a study of language norms in the context of standardization.
6
Friedrich (1989: 301).
7
J. Milroy and L. Milroy (1991).
ideology, grammar-making and standardization 5
8
See Joseph (1987: 43–57) for a discussion of the socio-political, including the ideologi-
cal, context of standardization.
9
Woolard and Schiefffelin (1994: 58).
10
See Ferguson (1997) and Mejdell (2006: 1–44) for a discussion of standardization in
the modern period.
11
Early papyri from this period display variation of diffferent degrees.
12
The cut-offf point seems to be around the middle of the 8th century; see Suleiman
(1999a: 19–21).
6 yasir suleiman
13
Responding to reports that the best Arabic was spoken outside Mecca, the grammar-
ian al-Farrāʾ (d. 207/822) asserts the superiority of Quraysh’s speech arguing his case as fol-
lows: ‘‘Do the Quraysh not surpass the people in the beauty of their statures, in the sagacity
of their minds, in the fullness of their bodies’ They [those holding diffferent views] said: ‘We
know this as well as anyone. But sagacity and beauty came to them merely because the
Arabs were accustomed to come to the sanctuary for Hajj and ʿUmra, both their women
and their men. The women made the circuit round the House unveiled and performed the
ceremonies with uncovered faces. So they selected them by sight and sound after dignity
and beauty. By this they gained superiority besides those qualities by which they were
particularly distinguished.’ We said: ‘In the same way they were accustomed to hear from
the tribes of the Arabs their dialects; so they could choose from every dialect that which
was the best in it. So their speech became elegant, and nothing of the more vulgar forms
of speech was mixed up with it.’ [Al-Farrā’ then comments] Correctness came to them
from their selection of pronunciation, just as they selected their wives.” Kahle (1948: 180).
Al-Farrā’s argument is part and parcel of the attempt to assert the correctness of the lan-
guage of the Qurʾān and its primacy [the Qurʾān] as a linguistic model over the language
spoken by the Bedouins. A similar view is expressed by al-Fārābī (d. 350/961) who “declares
the Quraysh dialect to possess the most correct vocabulary and sees it as the easiest to
pronounce, the most pleasant to hear, and the clearest to understand.” Chejne (1969: 40–1).
Four centuries later, the famous thinker Ibn Khaldūn (d. 808/1406) expressed a similar
opinion, highlighting the “beauty and eloquence of the Quraysh dialect.” ibid., 41.
14
By this time, it was difffijicult to fijind a Bedouin speaker whose speech could be
described as faṣīḥ (pure); See Suleiman (1999a: 22–4).
15
See al-Kawwāz (2006) and Suleiman (1996).
ideology, grammar-making and standardization 7
16
This point is made by Versteegh in his discussion of the standardization (1997: 59):
“[The Arab scholars] were convinced that the influx of words from other cultures would
corrupt the Arabic language, which had been chosen by God for His last revelation to
mankind.”
17
Thomas (1991: 23).
18
al-Suyūṭī, al-Iqtirāḥ, 56–7.
19
See Kahle (1948: 179–80) for a similar view with a twist: the Kūfans, Baṣrans and Mec-
cans subscribe to the notion of isolation as a correctness criterion, but each group claims
that the tribes nearer to them had the most correct speech. Prestige and superiority, as
group identity attributes, rather than a neutral measure of correctness are at the heart of
these views. Correctness here is more of a sociolinguistic than purely linguistic criterion.
8 yasir suleiman
20
This suggests that there was a ‘corpus-planning market’ in the fijirst centuries of Islam
which casts doubt on the authenticity of some of the materials the informants provided.
An example of this is the famous al-zunbūriyya controversy (masʾala zunbūriyya) which
Versteegh sums up as follows (1997: 64): “In this controversy between Sībawayhi and a rival
grammarian, a question was raised about the expression kuntu aẓunnu anna al-‘aqraba
ashaddu las‘atan min al-zunbūri fa-idhā huwa iyyāhā ‘I thought the scorpion had a stronger
bite than the hornet, but it was the other way round.’ Sībawayhi gave the correct answer—
the last clause has to be fa-idhā huwa hiya—but he was defeated by the judgement of a
Bedouin arbiter, who had been bribed by his adversary.”
21
See Suleiman (2003: 51).
22
See Kahle (1948).
ideology, grammar-making and standardization 9
character in the same way as smallpox could disfijigure his physical appear-
ance. In a similar vein, Abū l-Aswad al-Duʾalī (69/688)—who is credited
with implementing the fijirst reforms of the Arabic script—likened incor-
rect speech to the foul smell of rotting flesh or meat. ʿAbd al-Malik’s son,
the Calpih al-Walīd (d. 96/715), was the butt of jokes, even in his own
court, because of his faulty speech. Al-Ḥajjāj (d. 95/714), the much feared
governor of Iraq, is reported to have sent the grammarian Yaḥyā b. Maʿmar
into exile because he dared to correct the governor’s faulty recitation of
the Qurʾān. These and other reports reveal the connection between lin-
guistic purity, correct speech and morality in society in line with Thomas’
observation that “a close connection [exists] between puristic attitudes
and the cultural ethos of a speech community.”23
Third, the concern with purity and correctness24 underlines the attitude
of the early grammarians towards the vast body of Prophetic Traditions
(ḥadīths). These grammarians refused to sanction the use of most of these
ḥadīths in grammar-making because, in their view, they contained gram-
matical errors owing to the fact that some of their transmitters were not
native Arabic speakers.25 This was a daring position to take because of the
close connection between grammar-making and the religious sciences in
Islam, and the status of the ḥadīth reports as a source of legal rulings,
second only to the Qurʾān, in Islamic jurisprudence. This attitude towards
the ḥadīth changed among later grammarians, for example Ibn Hishām
(d. 761/1359–60), who admitted ḥadīth reports as valid data for grammar-
making.
Finally, this triad of purity, correctness and ethics/morality is one of
the cultural or ideological motivations behind the vast body of literature
on laḥn (solecism) in the Arabic linguistic tradition, be it what is called
the solecism of the common people (laḥn al-ʿāmma)26 or that of the elite
(laḥn al-khāṣṣa).27 This literature continues in one form or another to this
23
Thomas (1991: 2). Woolard and Schiefffelin (1994: 64) comment on this matter in
similar terms: “Moral indignation over non-standard forms derives from ideological
associations of the standard with the qualities valued within culture, such as clarity and
truthfulness.”
24
The concern with incorrectness is said to be the main cause for the reforms of the
Arabic script carried out by Abū l-Aswad al-Duʾalī; see Talmon (1985).
25
For a modern critique of this position see Ḥassān (1982).
26
See Maṭar (1967) for one of the best treatments of this subject in pre-modern times.
Gal (1955) provides some information on laḥn.
27
Anwar (1981) links the development of the Arabic linguistic tradition to the interest
in laḥn.
10 yasir suleiman
day in the various manuals on correct speech28 which, from our perspec-
tive here, testify to the open-endedness of standardization as a process
that connects the past with the present. This open-endedness is further
reflected in the change of attitude from the early to the later grammar-
ians vis-à-vis the eligibility of the ḥadīth reports in corpus-planning as has
been mentioned above.
The connection between correctness and morality/ethics is present
in Arabic grammar-making from its inception. A fundamental principle
in Arabic grammar is its view of speech, as a manifestation of language,
as behaviour that is open to evaluation on ethical/moral grounds. Carter
captures this point well when he says, reflecting on Sībawayhi’s views on
this matter in his Kitāb (d. 180/796): “Considered as an act, speech natu-
rally falls under the same rules as all other kinds of behaviour, and this is
why Sībawayhi uses ethical criteria to express the correctness and right-
ness or otherwise of utterances.”29 The reliance on such criteria reveals the
close connection between standardisation and ideology. Carter sums up
these criteria in the Kitāb as follows:30
A completely correct utterance must fulfijil two conditions, one semantic and
one structural: it must convey the intended meaning, and it must comply
with the rules for the form and arrangement of words. Such an utterance
will be mustaqīm ḥasan, lit. ‘[morally] right and ethically [good]’, though
it is also possible for an utterance to be semantically successful but struc-
turally incorrect, which is termed mustaqīm qabīḥ, lit. ‘[morally] right and
[ethically] bad’. There are two kinds of semantically unsuccessful utterance,
both entirely distinct. The fijirst simply fails to convey the intended mean-
ing, and is therefore called ghayr mustaqīm ‘not [morally] right’, though it
may be structurally ‘good’ or ‘bad’, and even can convey some other, unin-
tended meaning. The second kind cannot mean anything at all because it
is internally contradictory, and this is termed muḥāl ‘wrong’, lit. ‘perverted,
twisted’.
The use of the Arabic terms for ‘right’, ‘bad’, and ‘wrong’—in the sense
of ‘perverted’ and twisted’—in evaluating Arabic utterances displays an
ethical/moral dimension to grammar-making as a standardization mea-
sure in the Arabic linguistic tradition. This moral dimension is part of the
‘cultural ethos’ of the speech community, including the class of grammar-
ians as a discourse community, or as a community of practice with its own
rivalries and interests. The link with the cultural ethos of the community
28
See al-Ḥamādī (1981) for a discussion of this phenomenon in the modern period.
29
Carter (2004: 61). See also idem (1997: 33–4).
30
Idem (2004: 61–2).
ideology, grammar-making and standardization 11
is further evident in the debate over whether the text of the Qurʾān con-
tained non-Arabic words.31 This debate is an integral part of the concern
for the purity of the language, although it no doubt is motivated in part
by the assertion in the Qurʾān (26:195) that it was revealed in ‘perspicu-
ous’ Arabic (mubīn).32 The insistence on the perspicuity of the Qurʾān and
its supreme eloquence are again related to an ideology of standardisation
that considers language contact and borrowing as sources of ‘impurity.’ As
a people the Bedouin tribes of Central Arabia had always set great store
by the purity of their lineage as I will discuss shortly. It is therefore no
surprise that this fact is translated into an ideology of standardization in
the Arabic linguistic tradition.
Language Standardization:
The Theory of Causation (taʿlīl) and the Wisdom of the Arabs
31
Early commentators on the text of the Qurʾān acknowledged the foreign origin of
some of the words used in it, but this position started to change later. Commenting on
this, Versteegh (1997: 61) observes: “By the end of the second century of the [the Islamic
calendar, equivalent to the eighth century in the Gregorian calendar] . . . some philologists
had started to attack the notion that the Qurʾan could contain foreign loanwords, and
attempted to connect the vocabulary of the Qurʾan with a Bedouin etymology . . . The idea
of the purity of the Arabic language [became] the prevalent attitude among some Islamic
scholars, and attempts by Western scholars to fijind traces of other languages in the Qurʾan
were and still are vehemently rejected.”
32
See Suleiman (2003: 43–46) for a discussion of this issue.
33
Al-Khafājī, Sirr al-faṣāḥa, 52. Although this work is later than the timeframe specifijied
in this paper (2nd to 4th/7th to 10th centuries), there is no doubt that it reflects and distils
views that existed before and were of wide current among the elite at the time.
34
This view of Arabic is articulated by al-Bīrūnī (d. 440/1048), one of the greatest sci-
entists in Islam: “Scientists from all languages of the world have been translated into the
12 yasir suleiman
language of the Arabs, have been embellished and become attractive, and the beauties of
the language have permeated their veins and arteries, even though each people considers
beautiful its own language to which it is accustomed and which it uses in its daily busi-
ness. I speak from experience because I was brought up in a language in which it would
be strange indeed to a science perpetuated. Then I went over to Arabic and Persian and
am a guest in both languages, having made an efffort to acquire them; but I would rather
be reviled in Arabic than praised in Persian.” Chejne (1969: 14).
35
See Popper (1969: 103).
36
A clear, if exaggerated, articulation of this epistemology is given by the eighteenth
century German grammarian Adelung: “[The grammarian] is not the lawgiver of a people,
but only the collector and the interpreter of their intentions. He never decides but only
collects the votes cast by the majority . . . He presents the language as it really is, not as it
could be, or as it should be in his imagination.” Butler (1970: 9).
37
See Hospers (1973) for a similar discussion of naïve realism.
38
Suleiman (1999a: 53–4).
ideology, grammar-making and standardization 13
39
Popper (1969: 104).
40
My understanding of what al-Khalīl says indicates that he is no instrumentalist or
fijictionalist; see Suleiman (2003: 54–6) for these two views of epistemology.
41
Versteegh (1995: 89).
14 yasir suleiman
what I tried to explain with it. If I was right about this, well, that is exactly
what I aimed at! If there happens to be another cause, you compare my situ-
ation to that of a judicious man who enters a house that is built with good
proportions, a miracle of harmony and arrangement. Now, this man by reli-
able information or evident proof and manifest arguments is convinced of
the sound judgement of the builder and whenever he sees some part of the
house, he says: ‘He did this according to such and such a cause or because of
this or that reason.’ He says that on account of a cause which occurs to him
and which he believes might be the truth. It is possible that the wise builder
of the house acted, indeed, according to the cause mentioned by the man
who entered the house, but it is equally well possible that he acted accord-
ing to some other cause. Nevertheless, what was mentioned by the man
(who entered the house) could just as well have been right. So, if someone
has in mind another cause for grammar other than the ones I mentioned,
let him come forth with it!
The above statement about grammar-making is based on a number of
considerations. First, the analogy with the house suggests that the Ara-
bic language is a ‘miracle of harmony and arrangement’ and that these
two qualities (harmony and arrangement) are not accidental properties
of the language. Second, the Arabs’ intuitive knowledge of their language
includes what the grammarians call causes, but that these causes were
not transmitted to the grammarians from the Arabic speakers of the sev-
enth century in central Arabia (the model speakers of the language); it is,
therefore, the task of the grammarians to establish/discover these causes
if they want to capture the ‘miracle of harmony and arrangement’ in the
language. Third, as a grammarian al-Khalīl aims to discover the ‘right’ or
‘true’ causes in the language—in the Arabic he uses the word aṣabtu (lit.
hit) which normally correlates with ḥaqīqa (truth) or hadaf (target)—but
that he cannot be completely sure of their ‘truth’. Fourth, where the verac-
ity of the causes is in question other people/grammarians can offfer dif-
ferent ones. However, and this is the signifijicant point, although al-Khalīl
admits that other causes may be offfered, he is so convinced of the truth
of his own causes that he issues a challenge to others to come up with
diffferent ones. In my view the concluding sentence in the above quota-
tion, ‘let him come forth with it!’, carries the implication that those who
might take up the challenge are most likely to fail. If this is true, then
al-Khalīl’s invitation to others to offfer alternative causes is no more than
a formal nod towards a constructivist epistemology in grammar-making
rather than a real or principled commitment to such an epistemology.
To this writer, his position remains of the realist kind epistemologically
even though it seems to open the door for a constructivist perspective on
grammar-making.
ideology, grammar-making and standardization 15
42
Ibn Jinnī, al-Khaṣāʾiṣ 1, 250.
43
Ibid.
44
Ibid. 1, 79.
16 yasir suleiman
and capable, thanks to their inherent wisdom, of making the very gener-
alizations which the professionals of grammar try to formulate.”45 Third,
this similarity suggests that the rules of the grammarians can be said to
capture the essential reality of the Arabic language. Under this interpre-
tation, grammar-making is not a matter of instrumental construction, an
example of what Householder dubbed ‘hocus-pocus’ linguistics,46 but an
activity that aims to discover the truth about Arabic. This interpretation
further seeks to relate this truth to the character of the Arabs, to their
uncorrupted intuition (salīqa) born out of their mental agility (rashāqa)
and the simplicity of their life (basāṭa). It is at this level of connecting
language to people that the ‘wisdom of the Arabs’ principle applies in the
standardization enterprise.
In making this connection, the starting point for Ibn Jinnī is the regular-
ity of the Arabic language, which makes it amenable to systematic treat-
ment.47 Ibn Jinnī is aware that regularity is a feature of other languages,
but he believes that no other language matches Arabic in its regularity. To
support this, Ibn Jinnī cites the views of his teacher Abū ʿAlī al-Fārisī
(d. 368/978), a noted Arabic grammarian of Persian origin, who knew
Persian very well and was well-versed in its grammar. According to this
grammarian, Arabic has no equal in its regularity and elegance. Ibn Jinnī,
himself of Greek stock, returns to this topic in his discussion of whether
Arabic is of divine origin (waḥy or tawqīf ) or is a matter of convention
(iṣṭilāḥ), relating the issue of regularity in this discussion directly to the
character of the Arabs. Regardless of whether it is a matter of convention
or divine origin, Ibn Jinnī tells us that the regularity of Arabic is sacrosanct.
If we assume a divine origin for the language, then the Arabs must have
been guided to Arabic because of their innate qualities of fijine perception
and clarity of intellect. If we assume a conventional origin, then the regu-
larity of the language must be related to the psychological make-up of the
Arabs, its creators, who are characterized by simplicity (basāṭa), elegance
(rashāqa) and uncorrupted innate disposition (salīqa) that underpins
45
Bohas, Guillaume and Kouloughli (1990: 29).
46
Householder (1952).
47
This regularity is correlated with other ‘attributes’ of the language some of which
al-Zubaydī (Abū Bakr Muḥammad, (d. 379/989) sums up as follows (in Chejne (1969: 15)):
“Praise be to God Who made the Arabic language the most palatable of all languages to
utter, the most accurate in its formation, the clearest in the expression of meaning, and the
richest in the various branches of knowledge. He made i‘rāb an ornament of the tongue
and a line of demarcation concerning the diffference in meaning.” This kind of laudatory
view of one’s language is widely held in diffferent cultures.
ideology, grammar-making and standardization 17
48
See Suleiman (2003: 75–6).
49
This link between language, people and knowledge production, including grammar-
making, is explicitly made by al-Thaʿālibī (d. 430/1038–9) in his book Fiqh al-lugha (in
Chejne 1969: 14): “When the Almighty ennobled and exalted the Arabic language, elevated
its rank and showed greater regard to it than any other language, He decreed for its safe
guarding and treasuring a select people, the leaders of virtue, and the luminaries of the
earth, who gave up lust and roamed the desert land in its service [a reference to the for-
ays by linguists into the desert to collect uncontaminated data from the uncorrupted and
pristine Bedouin tribes of Central Arabic]; who befriended the notebook, the bookcase
and the inkstand for its acquisition; and who exerted themselves systematizing its rules,
and dedicated their life to immortalizing its books.”
50
Ḥassān (1982).
51
Suleiman (1991: 356).
52
See Sadan (2008) for the meanings of lightness and heaviness in the Arabic linguistic
tradition.
53
Economy of efffort is similar to what Martinet (1964: 189) called the principle of least
efffort, understood as man’s “tendency to reduce to a minimum his mental and physical
activity [by giving of ] himself only so much as is necessary to attain the end in view.”
18 yasir suleiman
with the subject ( fāʿil) and the accusative case with the object (maf ʿūl
bihi). The principle of equilibrium decrees that because the nominative is
heavier than the accusative (presumably in phonetic terms), and because
of the paucity (qilla) of the subject and the abundance (kathra) of the
object,54 the nominative is assigned to the subject and the accusative to
the object. This distribution of the case endings in the language is said to
be motivated by the need to keep the language balanced and efffective as a
medium of communication to ensure that the speaker achieves maximum
communication using the least efffort. Ibn Al-Anbārī (d. 577/1181) explains
this application of the principle of equilibrium as follows:55
[Since] the subject [category] is less numerous than the object [category],
and since the nominative is heavier than the accusative and the accusative
lighter than the nominative, the less numerous occurs with what is heavy
and the more numerous occurs with what is light, so that the heaviness of
the nominative is balanced by the paucity of the subject and the lightness
of the accusative compensates for the abundance of the object.
The second methodological principle is priority. This principle involves
the correlation of entities with parallel status in the language by refer-
ence to a given property. The preceding example in case assignment can
be explained further by reference to the property of strength/weakness in
the language. According to this principle the subject and the nominative
are paired because each member of this pair is stronger than its counter-
part in the pair object-accusative. The nominative is said to be stronger
than the accusative because the former is characterized by heaviness and
the latter by lightness. It is most likely that the heaviness and lightness
invoked here are a matter of phonetic production. The subject is said to
be stronger than the object in a structural sense in that the former pre-
cedes the latter in the linear arrangement of the sentence, the idea being
that what comes fijirst is stronger than what comes later in an utterance.
These are two diffferent types of strength/weakness in terms of empirical
content, so they can only be paired as correlated items at the abstract
level by means of analogical reasoning. Ibn al-Anbārī expresses this prin-
ciple by saying that a “strong element is correlated with a strong element
and a weak element is correlated with a weak element.”56 This correlation
54
The paucity and abundance here are not a matter of tokens/fijillers of syntactic posi-
tion but these positions themselves. In Arabic grammar, a sentence may have one subject
position and up to three object positions.
55
Ibn al-Anbārī, Asrār, 78.
56
Ibid., 74.
ideology, grammar-making and standardization 19
57
See Agha and Khalidi (2002–03) for an insightful study of the transition from tribal
to an Arab supra-tribal ethnic identity in the Umayyad period (41–132/661–750). Agha and
Khalidi use poetry to trace this development.
58
See Enderwitz (1996: 513–6), Mottahedeh (1976) and Maṭlūb (1989).
20 yasir suleiman
Arabic language and its allied practices in rhetoric and oratory occupied a
central place in the shuʿūbiyya attacks. This has led some modern scholars
to characterize shuʿūbiyya as a form of linguistic strife (ṣirāʿ lughawī) with-
out, however, denying the socio-political character of the larger move-
ment.59 As I have shown elsewhere,60 it is at this time (3rd–4th/9th–10th
centuries) that Arabic developed its maximal meaning as an identity-
linked marker that sets the Arabs apart from non-Arabs. This is clear from
the burgeoning references to Arabic in this period as the language of ḍād
(lughat al-ḍād), a name given to it (a) because of the belief that it was vir-
tually the only language that has this sound/phoneme,61 and (b) because
this sound created pronunciation difffijiculties to non-Arabs, thus acting as
a shibboleth or border-guard between the Arabs and non-Arabs. In my
view, it is during this period of inter-ethnic strife that grammar-making, as
an on-going practice in a never-ending standardization enterprise, devel-
oped a heightened ideological edge that attempted to discover the wisdom
of the Arabs in their language or, alternatively, sought to ascribe the excel-
lence of the language to the character of its people under the “wisdom of
the Arabs” principle. It is also during this period that linguistic works were
written specifijically to counter the shuʿūbiyya attacks against Arabic,62 the
Arabs’ infatuation with their language and Arabic grammar. Examples of
these works are Ibn Durayd’s (d. 321/933) al-Ishtiqāq, Ibn al-Anbārī’s
(d. 327/938) Kitāb al-aḍdād, Ibn Fāris’ (d. 395/1004) al-Ṣaḥibī fī fijiqh al-
lugha, and al-Zamakhsharī’s (d. 538/1143) al-Mufaṣṣal fī-l-naḥw. That the
last of these works was written well after the active embers of shuʿūbiyya
had abated testifijies to its enduring impact on Arabic linguistic thinking.
This impact has survived to this day, regaining some of its pre-modern
intensity in times of conflict and war as I have shown elsewhere.63
The principle of the wisdom of the Arabs has survived into the mod-
ern period. One of its foremost proponents is the Arab nationalist thinker
Zakī al-Arsūzī who adopted the following slogan to characterize his
nationalist thinking: “the genius of the Arab nation inheres in its lan-
guage” (ʿabqariyyat al-umma al-ʿarabiyya fī lughatihā). The starting point
for al-Arsūzī is the view that Arabic is both a primary/pristine (bidāʾī) and
59
See Anīs (1970: 192) and Goldziher (1966, vol. 1: 192).
60
See Suleiman (2003: 60–61).
61
In his book Sirr Ṣinā‘at al-i‘rāb 1, 214–15, Ibn Jinnī writes: “Let it be known that the
sound/phoneme /ḍ/ belongs to the Arabs alone; it is rarely [if ever] found in the speech
of the ʿajam.”
62
See Suleiman (2001).
63
See idem (2003).
ideology, grammar-making and standardization 21
64
This view is more or less shared by Constantine Zureik, one of the more sober cham-
pions of pan-Arab nationalism (1949: 137): “Along with the idea of the Arab Nation, a great
concerted efffort must be undertaken in order to revive Arabic in the mind and heart of the
Arabs. I do not mean by revival of Arabic that sort of efffort aiming at the glorifijication and
superiority of the language over other languages, and the denial [of the virtues] of those
languages as some nationalists proclaim . . . What I mean by the revival of Arabic is that
kind of efffort whereby old and spiritual meanings and connotations should be made alive
to the people and their way of thinking. Weakness has crept up in most of the living Ara-
bic expressions, the meanings of which have become obscure. [Consequently] the mind
has become vexed as to their true meanings and images to the extent that their actual
connotations have lost that magical power in the soul and heart of the people.” This view
was articulated by al-Jundī in the 1920s, thus confijirming the hold it had in thinking about
language, identity and nation: “[Arabic] is the soul of the Arabs . . . It is [their] homeland,
nationalism, life and esprit de corps. . . . From [this] relationship between language and
community, it appears to us quite evident that the regeneration of the community lies
in the regeneration of the language in the same way that the soundness of the language
is indicative of the soundness of the condition of the community that speaks it. It is so,
because the language is the spirit of the vitality of the community and the sustenance of
its nationalism. Can a body live without a soul, or can a soul hold on without a body?“
Chejne (1969: 20).
22 yasir suleiman
65
Suleiman (2003: 154–55).
66
The connection between akh and ākh is part of popular etymology. I remember my
mother making this connection whenever she wanted to impress on us as brothers and
sisters the need for sibling solidarity.
67
For the sun language theory see Aytürk (2004: 16–17) and Lewis (1999: 57–74).
68
Al-Arsūzī’s negative attitude toward Turks and Turkish is heightened by political
conflict, but at a more fundamental level it reflects a stereotyping of the Turks of some
historical depth in Arab culture. See Haarmann (1988).
ideology, grammar-making and standardization 23
after example from the Arabic lexicon to show that Arabic has a stronger
claim in this regard.
Let us now turn to Ibn Jinnī to show the link between his views and
those promulgated later by al-Arsūzī in the nationalist context of his day.
Starting with sound symbolism, Ibn Jinnī gives a number of examples to
show the natural/non-arbitrary link between signifijier and signifijied in
Arabic—what I have been referring to as sound symbolism or, following
Ryding, phonosymbolism.69 I will reproduce two of these examples here.
In the verb jarra (to pull), /j/ occurs as the fijirst sound because, as a tense
consonant, it iconically signals that the fijirst stage in pulling an object is
the hardest since it requires the greatest expenditure of energy. The trill
/r/ is repeated (through gemination) to (a) signify the continuity of the act
of pulling and (b) create the sound of pulling an object on the ground as
it bounces up and down.70 The second example involves the pair of words
khaḍima (to munch, as in soft textured foods) and qaḍima (to gnaw hard-
textured foods). Ibn Jinni says that the phonetically lax sound /kh/ occurs
with the former because of the soft-texture of the items it signifijies; by the
same token, the phonetically tense /q/ occurs with the latter because of
the hard-texture of the items it signifijies. With respect to word morphol-
ogy, Ibn Jinni says that many word patterns are suited to the meanings
they convey, for example the pattern faʿalān which iconically signifijies
the ideas of disturbance (iḍṭirāb) and movement (ḥaraka), as in naqazān
(leaping in the air out of fright) and ghalayān (boiling water).
The similarity between Ibn Jinnī’s ideas in the tenth century and those
of al-Arsūzī in the twentieth century points to the continuity of the prin-
ciple of the wisdom/genius of the Arabs in thinking about language in
lexicology and grammar-making. Although both of these views are not
offfered from an explicitly standardizing perspective in Ibn Jinnī, they do
point to the importance of this principle in framing the standardization
of the language as an enterprise with a cultural mission. More specifijically,
these views reveal that standardization is a historically situated activity
that is driven by an extra-linguistic objective: revealing the wisdom of the
Arabs as it inheres in their language.
69
Ryding (1997). For a general survey of sound symbolism in Arabic, see Zahrān
(1999).
70
See Ibn Jinnī, Khaṣāʾiṣ 2, 164.
24 yasir suleiman
Conclusion
The aim of this paper was to consider the extra-linguistic motives behind
grammar-making in the early Islamic period rather than its immediate
aim of codifying the language. Grammar-making is not a purely linguistic
exercise, but a process that is embedded in its own cultural milieu; it is
further informed by ideological considerations that derive their meaning
from the socio-political context against which they are framed. In analyz-
ing this extra-linguistic dimension of grammar-making, I have highlighted
the role of purity, correctness and the wisdom of the Arabs principle as the
most important factors in the standardization enterprise. In line with
the defijinition of ideology adopted above, these factors constitute an amal-
gam of ideas which, at the extra-linguistic level, dominate the standard-
ization of Arabic. As a strand in the cultural aesthetic of standardization,
purity stands for a host of positive values in society, including “whole-
ness, unitarianess, homogeneity, origanalness, inviolateness, true or origi-
nal essence, simplicity and correctness.”71 Purity is also related to feelings
of group identity, solidarity and superiority which treat the intrusion of
foreign elements into the language as a case of ‘bastardization’ or ‘hybrid-
ization’ the group must guard against.72 These elements in the aesthetic of
standardization explain the attitude of the Arab grammarians towards the
dialects of those Arab tribes that came into contact with non-Arabs: they
disqualifijied them as informants in grammar-making, preferring instead
the dialects of those Arab tribes that lived in isolation from non-Arabs.
As Thomas observes ‘purism is directed not so much at the alien culture
itself as against the use of elements of that culture by persons who belong
to one’s own group.’73 The same aesthetic explains the denial by some
Arab grammarians of the existence of any foreign elements in the Qurʾān
in spite of the fact that the origin of these elements was recognized by
early exegetes.
71
Thomas (1991: 31).
72
Thomas’ (1991: 42) observation that the “spontaneous dislike of foreign words does
not necessarily translate into avoidance of them” applies in this context. Lexical xeno-
phobia goes hand in hand with lexical accommodation vis-à-vis foreign influences. One
would characterize this as a case of linguistic hypocrisy were it not that this contradiction
between attitude and practice is of an ideological nature. In addition to these two areas,
the Arabic linguistic tradition includes in its scope khaṭāba (‘Greek’ rhetoric), balāgha
(Arabo-Islamic rhetoric) and ʿarūḍ (metrics or prosody); see Suleiman (1999b: 31).
73
Thomas (1991: 47).
ideology, grammar-making and standardization 25
In the Arab linguistic tradition, this concern with purity has a genealogi-
cal dimension the aim of which is to protect the bloodline of the language,
keeping it as a thoroughbred among languages. The place of genealogy
in grammar-making is in fact reflected in the inclusion by some gram-
marians of akhbār al-ʿarab (history of the Arabs) and, more signifijicantly
for our purposes here, ansāb al-ʿarab (genealogy of the Arabs) within the
scope of the Arabic linguistic tradition. The connection between language,
standardization and genealogy is therefore not just a matter of symbolic
meaning or rhetorical signifijication but one that involves the empirical
concerns of the Arabic grammatical tradition as a discipline. An exam-
ple of this genre is Ibn Durayd’s book al-Ishtiqāq which sets out to show
that “Arabic proper names are embedded in an etymology which defijines
what may be called linguistic genealogies by means of derivational net-
works . . . whose roots lie in the stock of the language.”74
The emphasis on the importance of correctness in grammar-making
reflects an ethical/moral strand in the aesthetics of Arabic standardization.
This paper provides examples of how incorrectness in speech is viewed as
a deviation from the right path in religious terms. This view of incorrect-
ness in speech was offfered by no other than the Prophet Muḥammad.
Incorrectness in language behaviour was likened to the smell of rotten
flesh: they are both repulsive and a sign of decay. Among members of the
elite incorrectness was the subject of ridicule or censure. Incorrectness
was also viewed, at least at the elite level in society, as a moral defect
that disfijigures a person’s personality. That the evaluation of utterances
in terms of grammaticality and acceptability in Sībawayhi is cast in ethi-
cal terminology suggests that this aesthetic strand in grammar-making is
more than a flavour: it touches the very substance of this activity. Lan-
guage is not just a system of items and their structural arrangements at
some set of abstract levels; it is also the basis of behaviour which, in the
Arabic cultural ethos, is amenable to evaluation on ethical and moral
grounds. In this context, correctness and purity are linked. The sustained
infringement of correctness can induce internally generated impurities
that can lead to disintegration and fracture in the language. For the purist,
the normalization of these impurities in language behaviour will eat away
at the attempt of standardization to “conserve what is best of the past,”75
its pristine character and uncorrupted innate disposition that preserve for
the language its cultural integrity.
74
Suleiman (2003: 60).
75
Thomas (1991: 39).
26 yasir suleiman
76
Shapiro (1989: 28).
77
See Edwards (2009: 220–23).
78
Lewis (1999).
79
Karimi-Hakkak (1989).
ideology, grammar-making and standardization 27
dialectic well when he says that the “genius of the Arabs inheres in their
language.” It is as if the language carries in it a DNA map of aspects of
the Arab character. At the extra-linguistic level grammar-making as an
aspect of standardization is one sure way for discovering this map. This is
a circular argument, but ideology is not beholden to the same standards
of validation as the empirical sciences. This is what gives ideology elas-
ticity and resilience, two factors that explain its ‘immunity’ from logical
prosecution. But it is also this that makes it useful as a tool for “promoting
[and] perpetuating . . . a social and cultural order.”80 Standardization, as an
ideology, performs this task.
But ideologies are contextually determined. Reflecting on this in dis-
cussing grammar-making in Arabic I have linked standardization to the
inter-ethnic strife of shuʿūbiyya during the fijirst centuries of Islam. This
linkage reveals the political nature of grammar-making. As an aspect
of standardization, grammar-making acquires symbolic meanings aris-
ing out of a web of politically anchored phenomena that include group
identity and solidarity, ethnic superiority and the imperative of defend-
ing the group and its culture against external and internal threats. The
prescriptivism of standardization and its orientation towards the past are
an inevitable consequence of framing grammar-making against this web
of phenomena.
References
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al-Siyāsiyya li-l-Jaysh wa-l-Quwwāt al-Musallaḥa.
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Hārūn. Cairo: Maktabat al-Khānjī, 1958.
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139.
THE ANDALUSIAN GRAMMARIANS, ARE THEY DIFFERENT?
Michael G. Carter
Although it is taken for granted that grammarians from Baṣra and Kūfa
belonged to scientifijically distinct grammatical “schools,”1 the same does
not apply to grammarians classifijied by other locations in the biographical
dictionaries, such as Egypt,2 Qayrawān and al-Andalus. This paper argues
that there were diffferences in grammatical thought among these regional
groups of grammarians, at least among the Andalusians. The ground has
already been covered well by Mutlak,3 and this paper simply adds some
details.4
Following the practice of those less familiar with this part of the Arab
world than Ibn Khaldūn, we shall take al-Andalus as standing for the
whole maghrib (henceforth Maghrib), as the “West,” a single geographi-
cal unit embracing both the African and the Spanish domains between
which scholars moved freely. However, a chronological division will be
made between al-Andalus under the Umayyads (139–423/756–1031) and
al-Andalus under the subsequent régimes up to the Reconquista of 1492.
The two periods are highly asymmetric, but the qualitative diffference
between them is equally extreme.
Umayyad al-Andalus displays an aggressive intellectual emulation of
the Arab East which has something in common with the cultural rival-
ries between America and Britain in recent centuries, with the same kind
of head-hunting and the wholesale acquisition of cultural treasures and
libraries from the old world to replicate the cultural environment in the
new world. The fijigure of al-Qālī (d. Cordova 356/967) immediately springs
1
The “Baghdad” school is largely a fijiction based on the assumption that the grammar-
ians there mixed the two schools of Baṣra and Kūfa; a Medinan school has been proposed
but the evidence is inconclusive.
2
Omar (1990), gives little detail on the theories of the Egyptian grammarians, though
he does observe, p. 248, that they were innovative in applying the “descriptive method”
(Ibn Wallād and al-Naḥḥās in particular) and in providing material later used by Ibn Jinnī.
He sees Ibn Wallād as “among the pioneers, if not the pioneer, of the science called: Uṣūl
an-naḥw.”
3
Mutlak (1967).
4
Two recent general works on al-Andalus, Jayyusi (1992) and Menocal (2000), are
specimens of almost perfect lipography, with scarcely a mention of Arabic grammar or
grammarians.
32 michael g. carter
5
Ibn al-Qifṭī, Inbāh 2, 85: balaghahu anna l-lugha bi-l-andalus maṭlūba wa-l-ādāb hunāk
marghūb fīhā min mulūkihā wa-raʿiyyatihā, see also Martinez-Gros (1995). Here lugha is to
be taken in the broad sense, not as “lexicography.” At one time it was a common miscon-
ception in Britain that Australian universities were stafffed by characters like Ṣāʿid.
6
The feeling was mutual: an important Andalusian fijigure such as Ibn Ṭalḥa was
well-known in the West and completely ignored in the East, see Humbert (1995: 97).
7
Al-Zubaydī, Ṭabaqāt, 336–7. Humbert (1995: 137) mentions the Andalusians’ aware-
ness that memorised information (riwāya) was inferior to intellectually acquired knowl-
edge (dirāya).
the andalusian grammarians, are they different ? 33
8
Rosenthal (1966: 2, 430 (his transliteration and American spelling are retained when
quoting him directly). See also 3, 300–305 for Ibn Khaldūn’s review of Qurʾānic and general
education region by region, and 3, 392–398, for a chapter on the role of memorisation in
education.
9
Ibid. 427–32, note especially 431: “In fact, many Maghribīs who have who have trav-
eled to the East in quest of knowledge have been of the opinion that [Būlāq adds: it was
their original nature which made the people of the East more awake and clever, and] the
intellect of the people of the East is, in general, more perfect than that of the Maghribīs.”
10
Al-Suyūṭī, Bughya 2, 59, citing al-Ṣafadī. Other sources give 25 days, but even this is a
short time in which to recite the text aloud for students to learn it, which was presumably
the purpose of the exercise.
11
There is a curious parallel in the Oxford historian A. J. P. Taylor, who recorded every
book he had read (presumably with tafaqquh and tafahhum) from 1921 to 1985. All his lists
are preserved except for 1926.
12
Here the fijigure of al-Adfuwī (d. 388/988) is of central importance in the transmission
of Qirāʾāt to the West, as he had many Andalusian pupils in Cairo.
13
Although there were Madrasas, “it is reasonably safe to say there that were not many
of them in Spain,” in fact they were “all but non-existent,” Makdisi (1973: 155, 157). Their
educational function was performed by the mosques instead.
34 michael g. carter
14
Al-Fīrūzābādī, Bulgha, 181.
15
Carter (2003).
16
Al-Zubaydī, Ṭabaqāt, 319f.
17
Al-Fīrūzābādī, Bulgha, 56 lahu ārāʾ fī l-ʿarabiyya wa-shudhūdh ʿan maʾlūf ahlihā, ẓāhirī
fī l-naḥw. His doctrinal position is clear in the title of his Tanzīh al-Qurʾān ʿammā lā yalīq
bihi min al-bayān.
18
See Abū Ḥayyān al-Gharnāṭī, Tadhkira, intro. 18 etc., and Manhaj, intro. xix, xx.
the andalusian grammarians, are they different ? 35
kadhā (so darāhima if the speaker intends between 3 and 10 dirhams, etc.)
drew the criticism of Ibn Iyyāz that this was “Ḥanafī reasoning,” kalām
al-muṣannif jārin ʿalā madhhab al-imām al-aʿẓam Abī Ḥanīfa.” The remark
is not proof that Ibn Muʿṭī was deliberately applying Ḥanafī legal methods
here, but is more likely a rebuke from a colleague who regarded this type
of exaggerated grammatical logic as going beyond common sense.19
Of course the biographies seldom give details about grammatical or
technical views, but in the case of the Andalusian al-Suhaylī (d. Marrakesh
581–8/1185–1192) we at least learn that he was outstandingly intelligent
and sharp-witted, and responsible for a number of “inventions and deduc-
tions” (ṣāḥib al-ikhtirāʿāt wa-l-istinbāṭāt), without being told what these
were. Instead al-Fīrūzābādī quotes his verse in praise of a famous cheese
doughnut, mujabbana, and thoughtfully provides the recipe!20 Fortunately,
thanks to Baalbaki, we now have a good idea of the nature of al-Suhaylī’s
grammatical innovations.21
That there was something diffferent about Westerners is, of course, a
commonplace. The Andalusians were renowned for their individualism:
champions of solitude and scholarly self-absorption such as Ibn Bājja and
Ibn Ṭufayl preach a pessimistic attitude towards society which would not
have been popular in the central Islamic lands (there is even a Ḥadīth
against living a separate life from the community), and it is surely signifiji-
cant that Ibn Ṭufayl shows himself to be a very patriotic Andalusian in his
introduction to Ḥayy b. Yaqẓān.22
The biographical literature portrays several eccentrics and individual-
ists, such as al-Ṭallāʾ al-Munajjim, so called because he was the fijirst to
introduce a kind of heavy Iraqi wine (ṭilāʾ) to Qayrawān. He died in al-
Andalus some time before al-Zubaydī (d. 379/989), apparently on the
run from the authorities, who were trying to arrest him for forging coins.
He was accused of “abandoning the faith” (al-khurūj ʿan al-milla), which
makes him an extreme case among our individuals and misfijits.23
19
Ibn Muʿṭī, Fuṣūl, intro. 23, text 244–5 and footnote there; further Carter (2003: 180f
and refs. in n. 28, correct Iyyār to Iyyāz). The same construction is mentioned in al-Ḥarīrī
(d. 516/1122), Durra, 100, where it appears to be something of an in-joke among the fuqahāʾ.
However it is a working expression, cf. kadhā wa-kadhā dīnāran in the papyri in blank
contracts used as models by the scribes (specimen in Khoury (1993: 149), not dated, for
obvious reasons, but certainly no later than the 5th/11th century).
20
Al-Fīrūzābādī, Bulgha, 131f.
21
Baalbaki (2008, esp. 290–97).
22
Andalusian individualism is vividly depicted by Hernández (1992), and he quotes Ibn
Ṭufayl’s preface on p. 789.
23
Al-Fīrūzābādī, Bulgha, 69, more details in al-Zubaydī, Ṭabaqāt, 263–4.
36 michael g. carter
24
Al-Fīrūzābādī, Bulgha, 96 (from al-Zubaydī, Ṭabaqāt, 256): Ḥamdūn knew the Kitāb
of Sībawayhi well, but “used to speak gutturally and with twisted mouth” (yataqaʿʿar fī
l-kalām wa-yatashādaq), and was obviously a difffijicult person to deal with.
25
Al-Fīrūzābādī, Bulgha, 187. The story is highly implausible and Bukhara has surely
been confused with Bijāya (now Bougie, in Algeria), which would have lain on his route
home to the al-Andalus, as in the account of al-Qifṭī, Inbāh 4, 195.
26
There is no mention of him in the Encyclopaedia of Islam or in Sezgin (1984). For what
is known of him see Humbert (1995 passim, esp. Ch. 6). In the Maghrib he was considered
to be the equal of the Baṣran al-Mubarrad (d. 285/898), and indeed they both share the
honour of establishing Kitāb studies in their respective homelands.
the andalusian grammarians, are they different ? 37
in all aspects, and to exploit it to its limits, in which they well deserve to be
called the leaders.”27
As if to make al-Andalus intellectually both equal to and independent
of the East, al-Rabāḥī introduced a version the Kitāb of Sībawayhi which
became the base text for a “Western” branch of transmission. The Kitāb was
certainly known in al-Andalus before him, but, as Humbert has shown, it
was al-Rabāḥī who created the “Western” tradition of Kitāb studies.28 The
textual diffferences between the Eastern and Western versions are only
minor, but the pride of the Andalusians in owning their own version is
manifest in the preamble afffijixed to this family of manuscripts.29
With Ibn al-Ṭarāwa (d. Malaga 528/1134) we are in the second histori-
cal phase, that of the Berber dynasties, specifijically the Almoravids, suc-
cinctly described as “a fundamentalist regime that suppressed the secular
arts.”30 Ibn al-Ṭarāwa seems to have been undisturbed by this, and has left
a specimen of grammatical reasoning of the most speculative and abstract
kind, which probably went over the heads of the Almoravid rulers, who
otherwise might well have been suspicious of the religious implications of
mixing logic with grammar.
His theory of sentences is an adaptation of the Aristotelian modal triad
of the necessary, the impossible, and the possible, as applied by logicians
to subjects and predicates.31 The class of necessary (wājib) words is repre-
sented by rajulun “man” and qāʾimun “standing,” of which there must be at
least one in existence somewhere (otherwise the words are meaningless);
the impossible category (mumtaniʿ) is illustrated by lā rajula “no man” and
lā qāʾima “no one standing,” which cannot be universally true, because at
least one of these must exist somewhere in order for it to be categorically
negated; the logically permissible ( jāʾiz, replacing the theological term
mumkin “possible”), i.e. contingent, is exemplifijied by the names “Zayd”
and “ ʿAmr,” which may or may not denote existing persons.
These can be combined in various predication structures, which we
shall not investigate in detail, but note that the pairing of two necessaries,
27
Al-Zubaydī, Ṭabaqāt, 336–7. The paragraphs preceding this quotation are also a valu-
able review of the state of scholarship, showing that at this stage the East was still the
admired model, as we would expect under the Andalusian Umayyads.
28
Humbert (1995, 141f and Ch. 7).
29
Ibid., Ch. 6. Even though al-Rabāḥī’s authorship is not totally certain, the motives for
the preamble are clear.
30
Alvarez (1998: 733).
31
Reported by al-Suyūṭī, Iqtirāḥ, 14 evidently from Abū Ḥayyān, though the exact source
remains to be found: Abū Ḥayyān briefly alludes to the topic in Manhaj, 46.
38 michael g. carter
32
See Zimmermann on al-Fārābī’s use of these concepts, and Raṣāʾil 3, 109, for the
Ikhwān, who place the categories in a much wider context, with diffferent aims.
33
Ibn Fāris, Ṣāḥibī, 179. The same notions appear in rhetoric, but after Ibn al-Ṭarāwa’s
time.
34
Al-Yamānī, Ishāra, 315. This is not the same Ibn Ṭalḥa who will be mentioned
below.
35
See Versteegh (1997: 140–152).
the andalusian grammarians, are they different ? 39
36
al-Gharnāṭī, Manhaj, 229–31.
37
Ibid., 137.
38
Ibid., 238f.
40 michael g. carter
already means “for all the time between then and now,” so no ilā is needed
to mark the end of the elapsed interval.
Ibn Ṭalḥa (b. near Seville, d. Mecca 518/1124) is on his own in the
view that there is no derivational relationship at all between verbs and
maṣdars, i.e. the former are not derived from the latter (Baṣrans) or vice
versa (Kūfans) but each class is independent of the other.39 His supporting
evidence is that there are verbs with no maṣdars and maṣdars with no
verbs, so they cannot be in a derivational relationship.
A certain Ibn Abī ʿĀfijiya (d. Granada 583/1187) is named as the only
grammarian to hold the view that la- is not lām al-ibtidāʾ when prefijixed
to predicates.40
Ibn Muʿṭī stands against the majority tradition on a grand scale. He is
described as having a unique opinion on no fewer than seventeen gram-
matical issues.41 The most famous example is his view on the verb mā
dāma, that inversion of the predicate or separation of the mā from dāma
are not permitted, in which, to quote Abū Ḥayyān, he “disagrees with
absolutely everybody.”42
An eighteenth item which can be added to those listed by the editor is
the assertion of Ibn Muʿṭī that the verbs kāna, aṣbaḥa etc. when used with
predicates are called “incomplete” (nāqiṣa) because in this function “they
have been deprived of their denotation of a maṣdar,” by which he seems
to mean that, apart from kawn, the maṣdars of these verbs are not used
with predicates. Ibn Muʿṭī makes no mention at all of the conventional
theory that they are called “incomplete” because they need to be syntacti-
cally completed by a predicate.43
Turning now to terminology, there are many features of Andalusian
grammar which, if they are indeed specifijic to that area (it is not easy to be
certain that a term or a concept is found only in the West), would confijirm
39
Ibid., 137.
40
Abū Ḥayyān al-Gharnāṭī, Tadhkira, 514 (biography in Suyūṭī, Bughya 1, 154). The pas-
sage appears to be fragmented, and a reliable interpretation is not possible.
41
Listed in Ibn Muʿṭī, Fuṣūl, editor’s intro. 55–77. Two examples are: (1) 62 (= p. 192 in
Ibn Muʿṭī’s text), the idea that the maf ʿūl lahu must be “more general” than its operating
verb; (2) 67 (= p. 177) in murra bihi “he was passed by” the phrase bihi is itself the nāʾib ʿan
al-fāʿil, i.e. the agent of the passive verb, something like “by him got passed.” Most of the
others concern individual words or patterns and even the editor admits that Ibn Muʿṭī is
not always the only person to hold such views.
42
Abū Ḥayyān al-Gharnāṭī, Tadhkira, 618; see Ibn al-Muʿṭī, Fuṣūl, 181, and cf. al-Juzūlī,
Muqaddima, 106. See Fuṣūl, editor’s intro. 55–60 for reactions to Ibn al-Muʿṭī.
43
Ibn Muʿṭī, Fuṣūl, 183, ʿalā l-jumla innamā summiyat hādhihi l-af ʿāl nāqiṣa li-annahā
sulibat al-dalāla ʿalā l-maṣdar ʿinda ʿadamihi fa-idhā wujidat dallat ʿalayhi, wa-minhu
qawluhu wa-kawnuhu ʿibāra ʿan shakhṣ.
the andalusian grammarians, are they different ? 41
that the grammar of the East and West were on divergent paths. A selec-
tion of the more obvious examples is given here, with the reservation that
there is still a great deal of work to be done.
Some terms may be no more than an informal alternative vocabulary
which does not indicate any systematic or theoretical diffferences, e.g. rasm
for “defijinition” and takhrīj for “analysis.”44 Others may be simply stylistic
variants, such as ʿarraja “to turn, incline” (in the sense of taking something
seriously),45 and ʿaḍada “to support, help,” for the way the evidence “sup-
ports” a grammatical analysis (e.g. yaʿḍuduhu l-samāʿ).46 One picturesque
metaphor is the verb ṭāfa, here probably “to wander about” (ṭ-w-f ) rather
than “to appear like a ghost” (ṭ-y-f ), in the discussion of the conjunction
baynā, which may only be annexed to single nouns if there is “a verbal
sense wandering about in them,47 i.e. if they are maṣdars, so that baynā
has the same meaning as ḥīna, e.g. baynā qiyāmi zaydin aqbala ʿamrun =
ḥīna qiyāmi zaydin. Another personifijication is ḍamīm “adjunct, travelling
companion,” lit. “person adjoined,” in reference to the fact that mā dāma
“as long as” cannot be used as a main clause, but must be attached to
some ḍamīm, i.e. a previously expressed accompanying idea.48
Other terms may well imply a diffference in theory: for example the
word iqāma “performance,” seems to be used to convey the sense of the
“active” voice of the verb, possibly related to iqāma in the context of
the performance of prayers.49 Abū Ḥayyān also refers to a category of adjec-
tives called nuʿūt al-iḥāṭa, lit “comprehensive epithets,” but it is difffijicult to
tell from the text what he means, except that they are distinguished from
participles.50 Al-qāṣir li-l-maf ʿūl for the intransitive verb is not familiar
44
Both seen together in Abū Ḥayyān al-Gharnāṭī, Tadhkira, 613, and passim. To be sure
in p. 715 takhrīj is put in the mouth of Yūnus b. Ḥabīb (d. 182/798), but the account may
have been restated in the words of Abū Ḥayyān or his source.
45
E.g. al-Qurṭubī, Sharḥ, 122, 283, 298. The Andalusian connection is reinforced by Ibn
Sīda’s use of the term, quoted in Lisān al-ʿarab on the word lahā.
46
Abū Ḥayyān al-Gharnāṭī, Tadhkira, 618.
47
Ibid., 511, idhā ṭāfa fīhā maʿnā l-fijiʿl ḥamlan ʿalā maʿnā ḥīna. Less likely, but more dra-
matic would be “when haunted by the ghost of a verbal meaning.”
48
Al-Juzūlī, Muqaddima, 105, possibly echoing the term ṣila, which denotes the adjunct/
relative status of the mā dāma clause itself.
49
Abū Ḥayyān al-Gharnāṭī, Tadhkira, 365. In a literal sense in p. 618: some allow the
intransitive verb to be made passive by putting its own maṣdar in the place of the agent,
iqāmat [al-maṣdar] maqām al-fāʿil.
50
Ibid., 281 and cf. iḥāṭa in the context of tawkīd with kull etc. in Ibn Muʿṭī, Fuṣūl,
intro 126, text 235f (from his master al-Juzūlī, see Muqaddima, 73fff); muḥāṭ also occurs in
the context of kull in Abū Ḥayyān, Manhaj, 276. Since Ibn Jinnī (d. 392/1002) has a whole
chapter on iḥtiyāṭ and tawkīd in his Khaṣāʾiṣ we should probably assume that Abū Ḥayyān
is modifying the terminology here rather than innovating.
42 michael g. carter
in the East, where lāzim is more usual.51 Likewise mubham for verbs which
are neither present nor future, by analogy with indefijinite nouns, suggests
a diffferent concept of the tenses from that which we fijind in the East.52
Abū Ḥayyān, or more likely his source, Ibn al-Akhḍar al-Ishbīlī (d. Seville
514/1120), uses rabaṭa for the way the conditional particles and the imper-
ative li- prefijix “tie up” a verb which was previously “loose” (muṭlaq), i.e.
modally unrestricted.53
The term lām al-tabriʾa, lit. “lā of quittance” for the categorical nega-
tive lā may be an Andalusian innovation. It is not found in the earliest
grammar and seems to have been popularised by Ibn Hishām (d. Cairo
761/1360), however it was used earlier, by the Andalusian Ibn ʿUṣfūr (d.
[Tunis ?] 663 or 669/1263 or 1270).54
Two interlocking factors contributed to the emergence of these new
terms and theories, one the desire to improve the teaching of the lan-
guage, the other the need for a dependable theory of grammar to support
theological and legal debate. The practitioners of all these disciplines were
invariably the same people, with overlapping competence, but usually
specialising in one or the other branch, and mutually reinforcing their
own authority and that of their colleagues.
Pedagogical texts throughout the Islamic world show a remarkable inge-
nuity in arrangement, and it would be difffijicult to single out any uniquely
Western features. From the earliest times grammars were produced in all
shapes and sizes to suit the learners and to demonstrate the expository
skills of the author. One way to impress was to fijit the subject matter into
a precise but arbitrary number of sections or categories (these examples
not all from the Maghrib): ten chapters in Ibn Bābashādh (d. 469/1077),
a hundred operators in al-Jurjānī (d. 471/1078), fijifty sections in Ibn Muʿṭī
(d. 628/1231), a thousand verses in Ibn Mālik (672/1274),55 a course promis-
ing to teach the whole language in twenty-four hours by a certain
51
Ibid., 618.
52
Ibn Muʿṭī, Fuṣūl, intro 115, text 163, with an extract from the commentary of Ibn Iyyāz,
and cf. intro. 101 for additional comments by Ibn Iyyāz. On the other hand, the prefijixing
of sa- to future verbs has always been seen as equivalent to the prefijixing of the def. article
to nouns, so mubham is only an extension of that idea.
53
Abū Ḥayyān al-Gharnāṭī, Tadhkira, 496f. In p. 270 irtabaṭa is used to denote the con-
nection between two conditional clauses.
54
Ibn ʿUṣfūr, Muqarrib 1, 51, lā llatī li-l-tabriya (sic). His place of death is not certain,
nor the manner, which was either by drowning or being pelted with oranges in a tavern,
see editor’s intro. to Muqarrib, 10f.
55
When it comes to originality, Ibn Muʿṭī’s rhymed grammar of a thousand lines pre-
dates the more famous work of Ibn Mālik by a generation, and Ibn Mālik knew this work
and taught it himself.
the andalusian grammarians, are they different ? 43
56
Al-Anṣārī, al-Tuḥfa fī l-naḥw, MS. Paris 4208 (Brockelmann 1938: S2, 921).
57
As Biesterfeld (1990: 50) points out, this tashjīr “tree-making” is not new, and was
used earlier by medical writers, e.g. Yūḥannā b. Māsawayhi (d. 243/857) and Ḥunayn b.
Isḥāq (d. 260/873). See also C. E. Bosworth (1998) for editions of Ibn Farighūn.
58
Ibn Muʿṭī, Fuṣūl, 184, and cf. 189 for istithnāʾ, 203 for an, 204 for idhan, 208 for
elements which are neither nouns nor verbs, 212 for prepositions.
44 michael g. carter
59
The closure occurred in the fourth/tenth century when the Baṣran view that there
would be no new data triumphed over the Kūfan view that new data might still emerge.
60
Rhetoric is an offfshoot of legal semantics and the last of the Islamic sciences to
appear, but that development simply took grammar into a new dimension without chang-
ing its principles.
61
Mutlak (1967: 18).
62
Al-Zubaydī, Ṭabaqāt, 249fff describes how Ibn Walīd al-Mahrī (d. 253/856) sought out
visiting Eastern grammarians and poets. The poetry of al-Andalus went through similar
stages, from trying to be as “Arabian” as possible to a conscious striving for independence
both thematically and metrically (Frolov 2000: 245fff, 249fff ).
the andalusian grammarians, are they different ? 45
63
E.g. ḥamūki in Abū Ḥayyān al-Gharnāṭī, Tadhkira, 278 (from the Cordovan Abū Bakr
Khaṭṭāb b. Yūsuf al-Māridī, d. after 450/1085), and ḥamūhā in Ibn Muʿṭī, Fuṣūl, editor’s
intro. 103, text 159. There was also an opinion that ḥam could denote a relative of the
husband as well, in both Eastern and Western lexica, in which case ḥamūka would cause
no problems.
64
Sezgin (1984: 59, 208, 249 for al-Naḥḥās, ibid., 108 for al-Fārisī). The latter work is
part of a majmūʿa which has not been separately catalogued, hence it is not listed among
the Kitāb commentaries in Sezgin, 58fff. The fijigure of “forty-odd” parsings for al-Naḥḥās is
taken from a secondary source in al-Qurṭubī, Sharḥ, 8, fn. 2 from the previous page.
65
Ibid., 62; there is no direct evidence, we rely on the secondary sources listed there.
46 michael g. carter
66
Ibid., 88–93. The fijigures are symbolic, as Sezgin counts as one item an author who
wrote three commentaries (no. 36, Ibn ʿUṣfūr), and further works are still coming to
light.
67
See Versteegh (1995: 3f ) for sources, in one of which the Maghribis are said to boast
of having written more than 120 commentaries on the Jumal. A quick look at the Īḍāḥ of
al-Fārisī and the Lumaʿ of Ibn Jinnī in Sezgin yields an inverse representation of Maghribi
commentators, who are decidedly in the minority.
68
Dahlgren (1998: ch. 2), gives a contrastive review of these opposing methodologies as
they afffect the linguistic analysis of Arabic.
the andalusian grammarians, are they different ? 47
was achieved in the legal schools, the Qurʾān Readings and the educa-
tional system, not to mention the architecture, script and poetry of the
Maghrib, so it was realised through a grammar which afffijirmed the separ-
ateness of the Maghribis from their fellow Muslims in the East.
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KHABAR / INSHĀʾ, UNE FOIS ENCORE
Pierre Larcher
Introduction
1
Ben Cheneb (1927 : Ibn Mālik).
2
Fleisch (1979 : 273 n. 1).
3
Larcher (1996).
4
Idem, (2007).
5
Baalbaki (2000).
50 pierre larcher
Le premier objet est une proposition, que l’on rencontre dans le pre-
mier chapitre du Tashīl, consacré au kalām et à la kalima, c’est-à-dire à
l’énoncé et à ses constituants. Après avoir rappelé qu’il y en a trois clas-
ses (nom, verbe, particule) et que le verbe lui-même est de trois espèces
(māḍī, muḍāriʿ, amr), Ibn Mālik (Tashīl 5) note à propos du māḍī (litt.
« passé ») qu’« il est converti en présent par la performance et en futur
par la jussion, la promesse, la coordination à ce dont le caractère futur est
connu et la négation par lā ou in après un serment » (wa-yanṣarif al-māḍī
ilā l-ḥāl bi-l-inshāʾ wa-ilā l-istiqbāl bi-l-ṭalab wa-l-waʿd wa-bi-l-ʿaṭf bi-mā
ʿulima istiqbāluhu wa-bi-l-nafy bi-lā wa-in baʿda l-qasam). Voici le com-
mentaire que Ibn Mālik fait de la première phrase dans le Sharḥ al-Tashīl
(1, 29–30) :
inshāʾ, dans la langue, est le maṣdar de anshaʾa fulānun yaf ʿalu kadhā [« Untel
s’est mis à faire telle chose »], c’est-à-dire ibtadaʾa [« il a commencé »].
Puis on a désigné par ce terme le fait d’efffectuer quelque chose que l’on
vise, au moyen d’une expression, la chose visée existant conjointement à
l’expression, ainsi le fait d’efffectuer le don en mariage au moyen de zawwajtu
[« je donne en mariage »], la répudiation au moyen de ṭallaqtu [« je répudie »],
la vente et l’achat au moyen de biʿtu [« je vends »] et ishtaraytu [« j’achète »].
Ces verbes et ceux qui leur sont similaires sont formellement passés, mais
sémantiquement présents, parce qu’ils ont pour but la performance, c’est-
à-dire l’efffectuation de leurs signifijiés, au moment de leur énonciation, et
c’est à ces verbes et à leurs semblables que fait référence notre afffijirmation
de « le passé se convertit en présent par la performance » (al-inshāʾ fī l-lu-
gha maṣdar anshaʾa fulānun kadhā ay ibtadaʾa thumma ʿubbira bihi ʿan īqāʿ
maʿnā bi-lafẓ yuqārinuhu fī l-wujūd ka-īqāʿ al-tazwīj bi-zawwajtu wa-l-taṭlīq
bi-ṭallaqtu wa-l-bayʿ wa-l-shirāʾ bi-biʿtu wa-ishtaraytu fa-hādhihi al-af ʿāl
wa-amthāluhā māḍiyat al-lafẓ ḥāḍirat al-maʿnā li-annahā quṣida bihā l-inshāʾ
ay īqāʿ maʿānīhā ḥāl al-nuṭq bihā fa-ilā hādhihi l-af ʿāl wa-naḥwihā l-ishāra
bi-qawlinā wa-yanṣarif al-māḍī ilā l-ḥāl bi-l-inshāʾ).
Ce commentaire permet aussitôt de reconnaître dans le inshāʾ arabe
l’équivalent de ce qu’on appelle dans la linguistique occidentale moderne,
depuis John Langshaw Austin (1911–1960), performatif 6. En ce qui concerne
l’intension du terme, on notera que, dans les deux extraits précités, il
désigne, non l’énoncé performatif, mais l’énonciation performative d’une
phrase (ce que nous rendons par « performance »), qui, dans un contexte
6
Austin, (1962 [1970]). Cette identifijication est proposée dans Larcher (1980). Elle l’est
également dans Moutaouakil (1982).
khabar / inshāʾ, une fois encore 51
particulier, revient à faire ce que l’on dit que l’on fait. En ce qui concerne
l’extension du terme, en revanche, les exemples qui en sont donnés cor-
respondent exactement aux premiers exemples de Austin, c’est-à-dire des
performatifs tout à la fois explicites7 et juridiques.
Le caractère juridique du inshāʾ est bien attesté par la défijinition qu’en
donne Ibn Mālik comme īqāʿ maʿnā bi-lafẓ yuqārinuhu fī l-wujūd, où appa-
raît le terme de īqāʿ. Ce dernier se rencontre, dès les plus anciens traités
de fijiqh—par exemple, le Jāmiʿ al-kabīr d’al-Shaybānī (m. 189/805)—pour
désigner l’efffectuation d’un acte juridique. Par ailleurs, dans cette défiji-
nition, on peut en principe hésiter sur ce qui, de lafẓ ou de maʿnā, est le
sujet et partant l’objet de yuqārinu. Mais l’ouvrage de Zarkashī, m. 794/1392
(Manthūr 1, 205) permet de trancher qui écrit īqāʿ lafẓ li-maʿnā yuqārinuhu
fī l-wujūd (« le fait qu’une expression réalise quelque chose que l’on
vise, cette chose existant conjointement à cette expression »). C’est une
variante de cette défijinition qu’on trouve dans le Sharḥ Shudhūr al-dhahab
(32) de Ibn Hishām al-Anṣārī (m. 760/1361), pour qui inshā’ est, par oppo-
sition à khabar et ṭalab, l’énoncé (kalām) où « l’existence de ce qu’il vise
et l’existence de son expression » (wujūd maʿnāhu wa-wujūd lafẓihi) « sont
en connexion » (yaqtarinā). S’il s’agit toujours du inshāʾ stricto sensu, il
désigne désormais, par une simple et banale métonymie du procès pour
son résultat, non plus seulement l’énonciation, mais encore l’énoncé per-
formatif. Et cette défijinition est répétée par Suyūṭī (Itqān 2, 76 et Hamʿ,
12), mais avec suppression de wujūd : al-kalām (. . .) in iqtarana maʿnāhu
bi-lafẓihi fa-huwa l-inshāʾ (« l’énoncé (. . .) si ce qu’il vise est connecté à son
expression, c’est le performatif ») . . .
Il y a plus. La seconde des deux propositions du Tashīl (wa-yanṣarif
al-māḍī (. . .) ilā l-istiqbāl bi-l-ṭalab) apparaît dans le Sharḥ al-Kāfijiya (2,
225) de Raḍī al-Dīn al-Astarābādhī (m. 688/1289), au chapitre du māḍī,
sous une forme légèrement diffférente : « Sache que le passé est converti
en futur par la performance jussive »8 (wa-iʿlam anna l-māḍī yanṣarif ilā
l-istiqbāl bi-l-inshāʾ al-ṭalabī). À l’expression de ṭalab, employée par Ibn
Mālik, est substituée celle de inshāʾ ṭalabī, qui désigne inshāʾ et ṭalab
7
Austin (1962 [1970 : 62]) appelle « explicites » (explicit performatives), ceux des perfor-
matifs nommant l’acte que leur énonciation accomplit, par exemple « je vous ordonne de
partir, » par opposition à « implicites » (implicit performatives), dont l’énonciation accom-
plit le même acte, mais sans le dire, par exemple « Partez ! ».
8
Dans Larcher (1980), ṭalab et ṭalabī sont traduits par « rogation » et « rogatif, » seule-
ment transparents aujourd’hui pour des latinistes. Ultérieurement, nous leur avons subs-
titué « jussion » et « jussif » qui, bien que d’origine latine, n’en sont pas moins intelligibles
à tous, du fait de leur utilisation dans la linguistique d’expression anglaise.
52 pierre larcher
9
īqāʿī étant un adjectif de relation (nisba) formé sur le terme juridique de īqāʿ, nous
reprenons à Austin (1970 : 42) le terme d’opératif (operative), auquel il a songé pour dési-
gner les énoncés performatifs : « parmi les termes techniques, il y a en un qui, peut-être
se rapprocherait le plus de ce que nous cherchons : il s’agit du mot operative, tel qu’il est
employé (au sens strict) par les hommes de loi, lorsqu’ils veulent se référer à la partie (i.e.
aux clauses) d’un acte juridique qui sert à efffectuer la transaction elle-même. »
10
Cf. Fleischer (1968[1885–1888] : 1, 779–780 et 3, 541–542).
11
Cf. Versteegh (2004), en particulier p. 281.
khabar / inshāʾ, une fois encore 53
qui désigne l’attitude du sujet (pensant, avant même que parlant) face au
dictum ou contenu propositionnel. En grammaire, les modes (indicatif,
impératif . . .) du verbe sont censés refléter cette attitude intellectuelle ou
psychologique. À première vue, une des trois formes conjuguées du verbe
reconnues par les grammairiens arabes, le fijiʿl al-amr ou « verbe d’ordre, »
i.e. l’impératif, semble porter une étiquette modale. Pourtant, dès le départ,
c’est bien plus en termes d’actes illocutoires (ou illocutionnaires)12 qu’en
termes de modes qu’elles sont caractérisées, comme cela apparaît par
exemple dans le premier chapitre du Kitāb de Sībawayhi (m. 177/793 ?)13:
La forme de ce qui n’est pas [encore] arrivé, c’est que tu dises, en donnant
un ordre, idhhab [« va ! »], uqtul [« tue ! »] et iḍrib [« frappe ! »] et, en fai-
sant une assertion, yaqtulu [« il tuera »], yadhhabu [« il ira »], yaḍribu [« il
frappera »], yuqtalu [« il sera tué »] et yuḍrabu [« il sera frappé »] et il en
va de même de la forme de ce qui ne s’est pas [encore] interrompu, mais
existe, quand on fait une assertion » (wa-ammā bināʾ mā lam yaqaʿ fa-innahu
qawluka āmiran idhhab wa-qtul wa-ḍrib wa-mukhbiran yaqtulu wa-yadhhabu
wa-yaḍribu wa-yuqtalu wa-yuḍrabu wa-kadhālika bināʾ mā lam yanqaṭiʿ wa-
huwa kāʾin idhā akhbarta).
Ici, c’est la syntaxe même qui désigne l’ordre et l’assertion comme des
« actes de parole » (speech acts)14: les participes actifs des verbes amara et
akhbara y apparaissent en fonction de « complément d’état » du maṣdar
qawl ; de ce fait, mais aussi du fait du pronom afffijixe—ka, représentant
logiquement le sujet du verbe, et de la phrase « citée » qui suit et qui en
est le complément d’objet, qawl est lui-même en fonction verbale ( yaʿmal
ʿamal fijiʿlihi).
Si l’on voulait parler du inshāʾ, synonyme de īqāʿ ou qualifijié de īqāʿī,
comme d’un mode, c’est seulement comme d’un mode particulier de réfé-
rence des mots aux choses qu’on pourrait le faire. C’est le commentaire
même que fait le Sharḥ al-Kāfijiya de Raḍī al-Dīn al-Astarābādhī (2, 225)
qui autorise cette conclusion :
12
Austin (1962 [1970] appelle ainsi l’acte de faire quelque chose dans le fait même de
dire quelque chose (« the illocutionary act is the act performed in saying something »),
par opposition à locutoire (ou locutionnaire), qui est simplement l’acte de dire quelque
chose (« the locutionary act is the act of saying something »), et perlocutoire (ou perlo-
cutionnaire) qui est l’acte de faire quelque chose par le fait de dire quelque chose (« the
illocutionary act is the act performed by saying something »).
13
Sībawayhi, Kitāb 1, 12.
14
C’est là la terminologie de Searle (1969).
54 pierre larcher
15
Nous limitons la citation du texte à l’essentiel. Pour une citation intégrale, cf. Larcher
(1990 : 199 et 213 pour le texte et sa traduction).
16
Austin (1962) substitue au terme traditionnel d’afffijirmation (statement) celui de
constat, afijin de restreindre la catégorie aux afffijirmations descriptives de faits et, par suite,
vraies ou fausses.
17
Dans l’expression maf ʿūl muṭlaq, muṭlaq s’oppose à muqayyad bi-ḥarf (« restreint par
une proposition ») : c’est le complément du verbe, dont le nom est dépourvu du syntagme
prépositionnel que l’on trouve dans les noms des quatre autres compléments du verbe
(bihi, fīhi, lahu, maʿahu). De ce fait, maf ʿūl doit être lu au premier niveau comme « efffet
khabar / inshāʾ, une fois encore 55
toire, entre autres cas, quand le maṣdar est « le substitut de l’énonciation
d’un verbe usité dans (. . .) une afffijirmation performative ou non » (p. 88)
(wa-yuḥdhaf ʿāmil al-maṣdar (. . .) wujūban (. . .) li-kawnihi badalan min
al-lafẓ bi-fijiʿl mustaʿmal (. . .) fī khabar inshāʾī aw ghayr inshāʾī). Les exem-
ples font défaut dans le Tashīl, mais le khabar inshā’ī est aussitôt exempli-
fijié dans le Sharḥ al-Tashīl (2, 187) :
Et ce qui vient, de cette catégorie [i.e. ce dont le régissant est obligatoire-
ment efffacé du fait qu’il est le substitut de l’énonciation d’un verbe utilisé],
dans une afffijirmation performative, c’est ḥamdan wa-shukran lā jazaʿan
[« Louange et merci, non impatience ! »], ʿajaban [« Merveille ! »] qasaman
la-af ʿalannahu [« Serment, je [le] ferai »] (wa-l-wārid minhu fī khabar inshāʾī
ḥamdan wa-shukran lā jazaʿan wa-ʿajaban wa-qasaman la-af ʿalanna)
et, de même, un peu plus loin, le khabar ghayr inshāʾī :
Quant à l’afffijirmation non performative, c’est, par exemple, ce qu’on dit en
faisant une promesse à un être cher af ʿalu wa-karāmatan wa-masarratan
[« je le ferai, et très volontiers »] ou ce que l’on dit à quelqu’un contre qui
on est colère lā af ʿalu wa-lā kaydan wa-lā hamman [« je ne le ferai pas, en
aucune manière »] et la-af ʿalanna mā yasūʾuka wa-raghman wa-hawānan
[« oui, je ferai ce qui peut te nuire, à titre de vexation et d’humiliation »]
(wa-ammā l-khabar ghayr al-inshāʾī fa-ka-qawlika fī waʿd man yaʿuzzu
ʿalayka af ʿalu karāmatan wa-masarratan wa-ka-qawlika li-l-maghḍūb ʿalayhi
lā af ʿalu wa-lā kaydan wa-lā hamman wa-la-af ʿalanna mā yasūʾuka wa-ra-
ghman wa-hawānan)18.
Avant la publication du Sharḥ al-Tashīl, je ne connaissais l’expression de
khabar inshā’ī, en dehors du Tashīl, malheureusement sans exemple, que
par le Jāmiʿ al-ṣaghīr de Ibn Hishām al-Anṣārī (56) :
son régissant doit être ellipsé s’il est le substitut de l’énonciation d’un verbe
usité dans une afffijirmation performative, ainsi ḥamdan wa-shukran lā kufran
[« louange et merci, non ingratitude ! »] (wa-yuḥdhaf ʿāmiluhu (. . .) wujūban
in kāna badalan min al-lafẓ bi-fijiʿl mustaʿmal (. . .) fī khabar inshāʾī ka-qawli-
him ḥamdan wa-shukran lā kufran).
Cet opuscule ne fait rien d’autre que répéter le Tashīl, mais il nous
conserve, pour les exemples, une leçon meilleure que celle retenue par
19
Ce dernier indique en note (2, 187, n. 5) que « à la place de lā jazaʿan wa-ʿajaban , il y
a dans [le manuscrit] B lā ʿajaban wa-kufran » ! Ce n’est pas prendre un grand risque que
de rétablir la leçon qui s’impose, à savoir lā-kufran suivi de ʿajaban.
khabar / inshāʾ, une fois encore 57
En déclarant dans le Tashīl que af ʿil (bihi) est une afffijirmation et non
un ordre et dans le Sharḥ al-Tashīl qu’il est formellement un ordre, mais
sémantiquement une afffijirmation, Ibn Mālik montre qu’il entend bien ici
khabar au sens sémantique de « constat. » Mais en qualifijiant ce khabar de
inshāʾī, il admet que ce n’est pas seulement un « constat, » encore est-ce
un performatif d’« admiration. »20
On peut alors dire que l’expression de khabar inshāʾī annonce celle de
inshāʾ juzʾuhu l-khabar dont Raḍī al-Dīn al-Astarābādhī se sert pour carac-
tériser le fijiʿl al-madḥ (« verbe d’éloge ») niʿma (Sharḥ al-Kāfijiya 2, 311) et
autres structures exclamatives21. À ceci près, qui n’est pas rien, que Ibn
Mālik le conçoit comme une afffijirmation à laquelle s’ajoute une dimen-
sion performative, alors que Raḍī al-Dīn al-Astarābādhī le conçoit comme
un performatif incluant un élément ( juzʾ) afffijirmatif. Autrement dit Ibn
Mālik le conçoit comme ce que l’on appellerait dans notre tradition une
afffijirmation « modifijiée, »22 tandis que Raḍī al-Dīn al-Astarābādhī ouvre
la porte à l’interprétation de l’élément khabar, non comme posé, mais
comme présupposé23. Cette interprétation est confijirmée par la description
que donne chacun de ces deux grammairiens du kam al-khabariyya (ainsi
appelé pour le distinguer du kam al-istifhāmiyya ou « interrogatif »). Ibn
Mālik y voit (2, 442) « un nom par quoi on vise l’assertion sur le mode
du takthīr » (ism yuqṣad bihi l-ikhbār ʿalā sabīl al-takthīr), alors que Raḍī
al-Dīn al-Astarābādhī (2, 94) voit dans kam rajulin laqītuhu (« combien
d’hommes j’ai rencontrés ! ») ce qu’il appelle un istikthār al-liqāʾ. Le terme
de istikthār ne fait que renouveler celui de takthīr, dont il précise le sens :
20
On ne perdra pas de vue que, dans son sens usuel, taʿajjub (litt. « admiration ») est
une « passion » (infijiʿāl), mais, dans l’expression fijiʿl al-taʿajjub, le nom grammatical arabe
d’une structure classée comme inshāʾ (cf. Sharḥ al-Kāfijiya 2, 307).
21
Le inshāʾ juzʾuhu l-khabar regroupe en efffet le kam al-khabariyya et rubba, étudiés au
chapitre des kināyāt (2, 94), les deux « verbes d’admiration », étudiés en II, 308, et les « ver-
bes d’éloge et de blāme », étudiés en 2, 311. Il fait l’objet du chapitre III de Larcher (1980).
Sur les exclamatives considérées d’un point de vue pragmatique, on peut lire aujourd’hui
Firănescu (2003).
22
La Grammaire générale et raisonnée de Port-Royal (p. 78) appelle « simple » une afffijir-
mation comme il aime, il aimait et « modifijiée » une afffijirmation comme quoiqu’il aimāt.
Pour Port-Royal, bien sūr, les marques des afffijirmations simples et modifijiées sont les
modes du verbe, l’indicatif pour les premières, le subjonctif pour les secondes, dont elle
note (p. 79) qu’il est appelé par certains modus potientalis ou concessivus.
23
Par la porte ainsi ouverte, s’engoufffre son propre commentateur ʿAlī b. Muḥammad,
dit al-sayyid al-sharīf, al-Jurjānī (m. 816/1413), qui, en marge du Sharḥ al-Kāfijiya 2, 311 indi-
que que « la bonté de Zayd » (ḥusn Zayd) par rapport à mā aḥsana Zaydan (« Que Zayd
est bon ! ») est un lāzim ʿurfī (« implication empirique ») et non un khabar. Dans la mesure
où ʿurfī s’oppose à ʿaqlī (« logique »), nous sommes ici très proches de ce qu’on appelle un
présupposé.
khabar / inshāʾ, une fois encore 59
il ne s’agit pas du sens factitif de « faire le peu prou » ( jaʿala l-qalīl kathīr),
seulement du sens estimatif de « considérer quelque chose comme kathīr »
(ʿadd al-shayʾ kathīran). En mettant dans le champ du istikthār le prédicat
et non l’argument, Raḍī al-Dīn al-Astarābādhī commet une erreur révéla-
trice : il tend à transférer à kam l’analyse de la plupart des classes d’énon-
cés, c’est-à-dire un marqueur d’acte illocutoire avec dans son champ un
contenu propositionnel24.
L’expression de khabar inshāʾī était annoncée de même par l’idée du
iḥtimāl al-iḫbār wa-l-inshā’ de Ibn al-Ḥājib (m. 646/1249) dans ses Amālī.
Nous avons jadis fait état de cette dictée25, d’après le rhétoricien Bahāʾ
al-Dīn al-Subkī (m. 773–1371) qui la cite dans le Sharḥ al-Talkhīṣ (2, 236).
La citation est fijidèle, le texte donné par Bahāʾ al-Dīn al-Subkī étant iden-
tique, à quelques variantes près, à celui donné par les Amālī (4, 149–150,
dictée n° 208) et que voici :
kam rijālin ʿindī [« Que d’hommes il y a chez moi ! »] peut être performatif
et assertif. Quant à la performance, c’est du point de vue du takthīr [à peu
près : le fait de tenir pour nombreux] parce que le locuteur a exprimé le
takthīr contenu dans son for intérieur en disant rijālin26. Le takthīr est un
objet que l’on vise, existant efffectivement dans l’esprit, n’ayant pas une exis-
tence au dehors telle qu’on puisse dire selon qu’il s’y conforme ou non qu’il
est vrai ou faux. L’assertion, c’est par rapport au fait d’être chez, car le fait
qu’ils sont chez lui a une existence au dehors et l’énoncé, sous ce rapport,
peut être vrai ou faux. C’est donc un énoncé qui peut être les deux choses
[i.e. assertif et performatif], selon les deux considérations diffférentes men-
tionnées (hādhā l-kalām yaḥtamil al-inshāʾ wa-l-ikhbār ammā l-inshāʾ fa-min
jihat al-takthīr li-anna l-mutakallim ʿabbara ʿammā fī bāṭinihi min al-takthīr
bi-qawlihi rijālin wa-l-takthīr maʿnā muḥaqqaq thābit fī l-nafs lā wujūd lahu
min khārij ḥattā yuqāl bi-ʿtibār an [sic]27 ṭābaqa fa-ṣidq wa-in lam yuṭābiq fa-
kadhib wa-l-ikhbār bi-ʿtibār al-ʿindiyya fa-inna kawnahum ʿindahu lahu wujūd
min khārij fa-l-kalām bi-ʿtibārihi muḥtamil li-l-ṣidq wa-l-kadhib fa-hādhā
kalām muḥtamil al-amrayn bi-l-iʿtibārayn al-madhkūrayn al-mukhtalifayn).
24
Cf. Sharḥ al-Kāfijiya 2, 97, où Raḍī al-Dīn al-Astarābādhī justifijie la première place de
kam par le fait qu’il contient la valeur performative, ajoutant que « en fait, ce qui contient
la valeur performative doit être en tête parce qu’il influe sur l’énoncé, qu’il fait sortir de
l’afffijirmativité ». Dans le cas de kam, cependant, le transfert n’est pas total, puisqu’il ne
fait pas sortir la phrase de l’afffijirmativité. Mais Raḍī al-Dīn al-Astarābādhī est confronté au
même problème en 2, 347 avec inna, qui « confijirme » (yuʾakkid), mais ne transforme pas
(lā yughayyir) le sens de la phrase dans son champ. Bien qu’analysée comme une phrase
nominale thème/propos, la phrase avec kam est, logiquement, plus proche d’une phrase
existentielle, où le nom dans le champ de kam et la phrase « propos » sont en fait dans la
relation de mawṣūf à ṣifa, soit : « Combien d’hommes [il y a, que] j’ai rencontrés ! »
25
Larcher (1991 : 261–262).
26
En tout état de cause, la marque du takthīr est kam.
27
La leçon du Sharḥ al-Talkhīṣ est meilleure : bi-ʿtibārihi in . . .
60 pierre larcher
Avant même de commenter cette dictée, on notera que les trois grands
grammairiens du VIIème/XIIIème siècle, tout en partageant l’idée de la
« mixité » de ces énoncés, ne s’en font pas moins, chacun, une idée dif-
férente : pour Ibn al-Ḥājib, c’est une parité du ikhbār et du inshāʾ, pour
Ibn Mālik une prépondérance du khabar sur le inshāʾ, pour Raḍī al-Dīn
al-Astarābādhī une prépondérance du inshāʾ sur le khabar. On conçoit
qu’une historiographie linguistique bien comprise sera ennemie de toute
standardisation et résolument variationniste.
Dans la dictée citée ci-dessus, Ibn al-Ḥajib développe une tout autre
conception du inshā’ (vs ikhbār). Au vrai, inshāʾ n’est défijini ici ni comme
énonciation, ni comme énoncé, mais comme signifijication, ou, pour le dire
en arabe, non comme kalām ayant un certain maʿnā, mais comme maʿnā
d’un certain kalām. Nous sommes donc ici moins dans la classifijication des
énoncés, devenue habituelle au VIIème/XIIIème siècle, que dans la tradition
antérieure des maʿānī l-kalām28. Dans la mesure où le ikhbār est caracté-
risé positivement par l’existence d’une référence objective et le inshāʾ, non
seulement négativement par l’absence d’une telle référence, mais encore
positivement comme l’expression d’une réalité psychologique, ikhbār
et inshāʾ peuvent donc parfaitement être compris ici comme les modes
objectif et subjectif du discours29.
Cette conception mentaliste du inshāʾ peut certainement être rappro-
chée d’une occurrence antérieure de inshāʾ que l’on rencontre à deux
reprises, avec maʿnā dans son champ, dans les Dalāʾil al-iʿjāz de ʿAbd
al-Qāhir al-Jurjānī (m. 471/1078). La première occurrence se trouve dans
le développement que Jurjānī consacre justement aux maʿānī l-kalām30 et,
en premier lieu, au khabar (p. 405 et suivantes). Il indique que celui-ci est
inconcevable, non seulement s’il n’y a pas deux choses, « ce qu’on afffijirme »
(mukhbar bihi) et « ce dont on l’afffijirme » (mukhbar ʿanhu), mais encore
une troisième, qui est « quelqu’un qui afffijirme » (mukhbir). Autrement dit,
Jurjānī est parfaitement conscient de la dimension « subjective » de l’afffijir-
mation et c’est en conclusion de ce développement qu’il écrit (p. 406) :
28
Les deux sont évidemment liées, dans la mesure où les mêmes termes se disent
métonymiquement soit du sens de l’énoncé, soit de l’énoncé dont c’est le sens. Les maʿānī
l-kalām constituent un célèbre chapitre du Ṣāḥibī de Ibn Fāris (m. 395/1004), étudié par
Buburuzan (1995).
29
Dans Larcher (1993), il est montré comment cette conception, rencontrant objective-
ment la conception « modale » de certains grammairiens arabisants comme Antoine-Isaac
Silvestre de Sacy (1758–1838), avait durablement occulté la conception sui-référentielle et
performative du inshāʾ.
30
Ce passage est également étudié par Bettini (1987–1988). Sur le khabar, chez Jurjānī,
on peut lire maintenant l’étude très détaillée de Ghersetti (2002).
khabar / inshāʾ, une fois encore 61
31
Selon la traduction proposée dans Larcher (2000). Il y a un autre cas, où le musnad
ilayhi est un SP, c’est celui du passif impersonnel, type nūdiya ilā l-ṣalāti (« on a appelé à
la prière »). On rappellera que le isnād (« prédication ») est caractéristique de la jumla et,
par suite, transcende la classifijication du kalām en khabar et inshāʾ.
32
Larcher (1994).
33
Le kalām al-nafs ou al-kalām al-nafsī (« discours ou énoncé mental ») représente le
maʿnā du kalām al-lafẓī (« discours ou énoncé oralo-verbal ») ou kalām tout court. La dis-
tinction des deux discours (trois si l’on y ajoute le discours écrit) est un héritage de la
philosophie antique : elle a été récupérée par la théologie islamique qui attribue à Allāh le
kalām al-nafs, qui, seul, est éternel, le kalām al-lafẓī advenant, lui, dans le temps.
khabar / inshāʾ, une fois encore 63
34
Dans le contexte, la forme faʿaltu est sūrement choisie pour sa valeur aspectuelle d’ac-
compli, c’est-à-dire marquant le résultat présent d’une activité psychologique antérieure.
Cf. la dictée 44 (4, 46), où est donné un second exemple : « de même, quand surgit dans
son esprit [i.e. celui du locuteur] un émerveillement et qu’il l’exprime en considérant son
existence comme objet de connaissance, il dit taʿajjabtu [« je suis émerveillé »], mais si,
d’aventure, il l’exprimait en le considérant indépendamment de cela, il dirait mā aḥsanahu
[« qu’il est bon ! »] et mā aʿlamahu [« qu’il est savant ! »] » (wa-ka-dhālika idhā qāma bi-l-
nafs taʿajjub fa-ʿabbara ʿanhu bi-ʿtibār ḥuṣūlihi mutaʿallaqan li-l-ʿilm qāla taʿajjabtu wa-law
ʿabbara ʿanhu bi-ʿtibārihi min ghayr dhālika la-qāla mā aḥsanahu aw mā aʿlamahu).
35
Cf. supra, citation du Miftāḥ.
36
Larcher (1993).
64 pierre larcher
« je loue, » ashkuru « je remercie, » uqsimu « je jure »), il n’en va évidem-
ment pas de même de aʿjabu (« je suis émerveillé »). En revanche, l’el-
lipse du verbe fait bien passer de la « représentation » à l’ « expression »
de l’émerveillement . . .
37
C’est Mike Carter qui attira, il y a près de vingt ans, mon attention sur ce texte.
38
Cette lecture ne fait évidemment pas sens dans le contexte et doit être corrigée en
ʿamalika.
66 pierre larcher
39
Son inadéquation tient surtout à son incapacité à représenter ce qui fait la spécifijicité
de la structure vocative : celle de transformer le nom propre Zayd, qui est un terme de
référence, en terme d’adresse. Jurjānī (Muqtaṣid 1, 95) en semble conscient : « ne vois-tu
pas que si tu disais adʿū ʿAbdallāhi, on ne saurait pas si tu l’appelles ou afffijirmes qu’il
est dans ton intention de l’appeler (. . .) ou as pour but d’informer quelqu’un d’autre que
tu appelles ʿAbdallāh » (a-lā tarā annaka law qulta adʿū ʿAbdallāhi lam yuʿlam annaka
tunādīhi aw tukhbir anna min niyyatika duʿaʾahu (. . .) aw taqṣid ikhbār ghayrihi bi-annaka
tadʿū ʿAbdallāhi).
khabar / inshāʾ, une fois encore 67
Conclusion
40
La remarque est incidente. Il s’agit ici de justifijier que yā Zaydu est bien un kalām,
bien que n’ayant aucun des deux schémas canoniques de la jumla, i.e. NN ou VN.
41
Pour des références, cf. Larcher (1991 : 262–266).
68 pierre larcher
Références
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al-Astarābādhī, Raḍī al-Dīn Muḥammad b. al-Ḥasan. Sharḥ Kāfijiyat Ibn al-Ḥājib. 2 vols.
Istanbul : Maṭbaʿat al-Sharika al-Ṣiḥāfijiyya al-ʿUthmāniyya. 1275 et 1310 H. [Réimp. Bey-
routh : Dār al-Kutub al-ʿIlmiyya, s.d.].
Ibn al-Nāẓim, Abū ʿAbdallāh Muḥammad Badr al-Dīn. Sharḥ Alfijiyyat Ibn Mālik. Ed. ʿAbd
al-Ḥamīd al-Sayyid Muḥammad ʿAbd al-Ḥamīd. Beyrouth, Dār al-Jīl, s.d.
Ibn Fāris, Abū al-Ḥusayn Aḥmad. al-Ṣāḥibī fī fijiqh al-lugha wa-sunan al-ʿArab fī kalāmihā.
Éd. Moustafa El-Chouémi. Beyrouth : A. Badran & Co, 1383/1964.
Ibn al-Ḥājib, Jamāl al-Dīn Abū ʿAmr ʿUthmān b. ʿUmar. al-Amālī al-naḥwiyya. Ed. Hādī
Ḥasan Ḥammūdī. 4 parties en 2 vols. Beyrouth : ʿĀlam al-Kutub et Maktabat al-Nahḍa
al-ʿArabiyya, 1405/1985.
Ibn Hishām al-Anṣārī, Abū Muḥammad ʿAbdallāh Jamāl al-Dīn b. Yūsuf b. Aḥmad b.
ʿAbdallāh. al-Jāmiʿ al-ṣaghīr fī ʿilm al-naḥw. Ed. Zubayq. Damas : Maktabat al-Ḥalbūnī,
1968.
——. Sharḥ Shudhūr al-dhahab fī maʿrifat kalām al-ʿArab. Ed. Muḥammad Muḥyī al-Dīn
ʿAbd al-Ḥamīd. Le Caire, s.l. s.d.
Ibn Mālik, Jamāl al-Dīn Muḥammad b. ʿAbdallāh b. ʿAbdallāh al-Ṭāʾī al-Jayyānī al-Andalusī.
Tashīl al-fawāʾid wa-takmīl al-maqāṣid. Ed. Muḥammad Kāmil Barakāt. Le Caire : Dār
al-Kātib al-ʿArabī li-l-Ṭibāʿa wa-l-Nashr, 1387/1967.
42
Cette subdivision négative est plus large que īqāʿī, permettant de regrouper tout ce
qui n’est ni khabar, ni ṭalab : pour le détail, cf. ibid., 255–262).
43
Pour le détail et des références, cf. Larcher (1991 : 261 et 1993 : 275).
khabar / inshāʾ, une fois encore 69
——. Sharḥ al-Tashīl. Ed. ʿAbd al-Raḥmān al-Sayyid et Muḥammad al-Makhtūn. 4 parties
en 2 volumes. Gizeh : Hajr li-Ṭibāʿa wa-l-Nashr wa-l-Tawzīʿ wa-l-Iʿlān, 1410H/1990.
Ibn al-Sarrāj, Abū Bakr Muḥammad b. Sahl. al-Uṣūl fī l-naḥw. Ed. ʿAbd al-Ḥusayn al-Fatlī.
3 vols. Beyrouth : Muʾassasat al-Risāla, 1405/1985.
Ibn Yaʿīsh, Muwafffaq al-Dīn Yaʿīsh b. ʿAlī. Sharḥ al-Mufaṣṣal. 10 vols. Le Caire : Idārat
al-Ṭibāʿa al-Munīriyya, s.d.
Jurjānī, ʿAbd al-Qāhir. Dalāʾil al-iʿjāz fī ʿilm al-maʿānī. Ed. Muḥammad Rashīd Riḍā. Bey-
routh : Dār al-Maʿrifa, 1402/1982.
——. al-Muqtaṣid fī sharh al-Īḍāh. Ed. Kāẓim Baḥr al-Marjān. 2 vols. Baghdad : Manshūrāt
Wizārat al-Thaqāfa wa-l-Iʿlām, 1982.
Kafawī, Ayyūb b. Mūsā al-Ḥusaynī. al-Kulliyyāt. Ed. ʿAdnān Darwīsh et Muḥammad
al-Miṣrī. 5 vols. Damas : Wizārat al-Thaqāfa wa-l-Irshād al-Qawmī, 1981.
Mubarrad, Abū l-ʿAbbās Muḥammad b. Yazīd. al-Muqtaḍab. Ed. Muḥammad ʿAbd al-Khāliq
ʿUḍayma. 4 vols. Beyrouth : ʿĀlam al-Kutub, s.d.
Sakkākī, Abū Yaʿqūb Yūsuf b. Abī Bakr Muḥammad b. ʿAlī. Miftāḥ al-ʿulūm. Le Caire :
Maṭbaʿat al-Taqaddum al-ʿIlmiyya, 1348H.
Shaybānī, Abū ʿAbdallāh Muḥammad b. al-Ḥasan. al-Jāmiʿ al-kabīr. Le Caire : Maktabat
al-Istiqāma, 1356H.
Sībawayhi, Abū Bishr ʿAmr b. ʿUthmān b. Qanbar. al-Kitāb. Ed. ʿAbd al-Salām Hārūn. 5 vols.
Beyrouth : Dār al-Kutub al-ʿIlmiyya, s.d.
Subkī, Bahāʾ al-Dīn. ʿArūs al-afrāḥ fī sharḥ Talkhīṣ al-Miftāḥ. In Shurūḥ al-Talkhīṣ. 4 vols. Le
Caire : Maṭba‘at ʿĪsā al-Bābī al-Ḥalabī, 1937.
Suyūṭī, Jalāl al-Dīn ʿAbd al-Raḥmān b. Abī Bakr. Hamʿ al-hawāmiʿ Sharḥ Jamʿ al-jawāmiʿ
fī ʿilm al-ʿarabiyya. Ed. al-Naʿsānī. Le Caire, 1327 H [reprint Bayrouth : Dār al-Maʿrifa,
s.d.].
——. al-Itqān fī ʿulūm al-Qurʾān. Beyrouth : al-Maktaba al-Thaqāfijiyya, 1973.
Zarkashī, Badr al-Dīn Muḥammad b. Bahādur al-Shāfijiʿī. al-Manthūr fī l-Qawāʿid. Ed. Taysīr
Fāʾiq Aḥmad Maḥmūd. 1ère éd, Kuwayt, 1402/1982, 2 vol. parus.
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les remarques de Duclos. Paris : Delalain (Réimpr. avec une introduction de Michel Fou-
cault, Paris : Paulet, 1969).
Austin, John Langshaw. 1962 [1970]. How to Do Things with Words. Oxford : Oxford Univer-
sity Press [tr. fr. Quand dire, c’est faire. Paris : Le Seuil. 1970].
Baalbaki, Ramzi. 2000. « The Occurrence of inshāʾ instead of khabar : The Gradual Formu-
lation of a Grammatical Issue. » Langues et littératures du monde arabe (LLMA) Linguis-
tique arabe et sémitique 1 : 193–211 [repris dans Grammarians and Grammatical Theory
in the Medieval Arabic Tradition, Asghate Publishing Variorum, ch. XVI, 2004].
Ben Cheneb, Mohamed. 1927. « Ibn Mālik. » In Encyclopédie de l’Islam, 1ère Édition. Leiden :
Brill et Paris : Picard.
Bettini, Lidia. 1987–1988. « Langue et rhétorique au Vème siècle. » In Atti del XIII Congresso
de l’Union Européenne d’Arabisants et d’Islamisants (Venezia 29 settembre–4 ottobre
1986. Quaderni di Studi Arabi 5–6 : 91–104.
Buburuzan, Rodica. 1995. « Signifijications des énoncés et actes de langage chez Ibn Fāris. »
In Proceedings of the Colloquium on Arabic Linguistics, Bucharest August 29–September 2,
1994. University of Bucharest : Center for Arab Studies, Part One, 103–114.
Firănescu, Daniela Rodica. 2003. Exclamation in Modern Literary Arabic : A Pragmatic Pers-
pective. Bucarest : Editura universităţii din Bucureşti.
Fleisch, Henri. 1979. Traité de philologie arabe. Vol. II : Pronoms, Morphologie Verbale, Par-
ticules. Beyrouth : Librairie Orientale.
70 pierre larcher
Nadia Anghelescu
This article puts forth some observations regarding the forms of semantic
and grammatical evolution manifested within a small category of elements
in literary Arabic, whose prototype is nafs (the initial, as well as the pres-
ent, lexical meaning of the lexeme is “soul” and “person”). To introduce
our hypotheses on this form of evolution, we shall make constant refer-
ence to the English self, which, like the Arab equivalent, develops out of
the same lexeme, usually called an “intensifijier” (my self ) and a “reflexive
marker” (I hate myself ). I must add that nafs often appears as an equiva-
lent to “same.” Other elements that are commonly grouped together in
Arabic in the above-mentioned category, given that they display partially
similar behavior, are ʿayn whose initial lexical meaning was “eye”—and
dhāt, which originally was the feminine form of a deictic (dhū) whose
meaning was that of “owner.” The lexical meaning of this feminine form,
which also set itself apart as an identifijier among deictics, was originally
that of “being,” “essence.”
In the past decades, several works have discussed the functions of ele-
ments similar to self from a typological perspective, i.e., trying to fijind
explanations of a typological nature for certain resemblances among lan-
guages, from the perspective we are interested in here—such as:
1
Schladt (2000).
2
For example, see König and Siemund (2000); Gast and Siemund (2006).
72 nadia anghelescu
from the point of view of most authors, the elements of the fijirst cat-
egory, intensifijiers, are at the origin of the second category, reflexive
markers.
d. the structures to which the above-mentioned elements are circum-
scribed, and, in relation to that, the problems associated with anaphora.3
In what follows, we shall start from some of the issues mentioned above
in order to derive observations on the expression of those meanings in
literary Arabic, both classical and modern. A common name shall be used
for elements such as nafs, ʿayn, dhāt—that of “identifijiers,” starting from
the hypothesis that the function of expressing identity and identifijication
is one from which others derive; we shall continue to keep the widely
used terms “intensifijiers” or “self intensifijiers,” as well as “reflexive markers”
to refer to certain specifijic functions within the more general function of
expressing identity.
Ever since ancient times, the concept of “identity” has held enormous
interest for philosophers, including those in the Arab world. Philosophers
commonly speak of three types of identity, or rather of three ways to
conceptualize identity: a numerical identity (two or more expressions for
what is one: “evening star” and “morning star” are a common example of
such a type of identity); a personal identity, of that which “remains itself”
despite the changes that come about during the course of its existence:
one’s genetic print, character etc. is said not to change over time; and, a
specifijic or qualitative identity, if, despite diffferences manifested in time or
space, there is a constant feature or quality that diffferentiates one object
or being from the next. The law of identity is formally expressed by a=a.
An interesting distinction regarding this topic is that made by Ricoeur
between identity as mêmeité (En. “sameness”) and identity as ipséité (En.
“selfhood”).4 Nafs and the other elements belonging to the same cat-
egory in Arabic can be equated in English with both same and self, i.e.
they express both types of identity. The testimonies of various languages
on the way the idea of identity is expressed, beginning with the iden-
tity of the person, are important for the very defijinition of the concept of
3
Reuland (2000), Frajzyngier et al. (1999).
4
Ricoeur (1992).
from lexical to grammatical 73
5
Haiman (1995) and Lakofff (2000).
6
Haiman (1995: 214).
7
See, for instance, the English “I can’t see myself doing such a thing.”
74 nadia anghelescu
we will refer to the evolution of the meanings of nafs as that which con-
cerns the making of the concept of person and personality in the Arab
culture, beginning with the pre-Islamic era.
8
Chelhod (1958).
9
Ibid., 30.
10
Ibid., 28.
from lexical to grammatical 75
The derivation seems simple in the case of the noun nafs: from the breath
of life to the soul and on to human being and person, and further to
essence, identity and self. All these meanings can be found beginning with
the fijirst texts that have reached us.
11
See also Lane, sub voce.
12
Seidensticker (1992).
76 nadia anghelescu
R. Blachère dealt with the manner in which nafs is present in the Qurʾān in
an article published in Semitica (1948).14 Apart from other meanings of the
lexeme nafs (“breath of life,” frequently; “locus of evil, greed, desire, temp-
tation,” the “heart” of the believer, answerable to divinity at Doomsday,
“soul,” or rather “what lies in the soul;” Blachère notes the more “evolved”
meaning of the word nafs, i.e. that of “human being,” “person,” as well as
the reflexive use of this noun, which:
sans perdre aucunement sa valeur nominale, paraît glisser à un sens plus
dégradé encore, ce qui permet de rendre en arabe la notion de réfléchi15
The action “befalls” the subject directly in examples 2 and 3 below, and
indirectly, through a preposition, in example 4.
13
Fleisch (1979: 113).
14
The version discussed here is the one republished in Analecta: Blachère (1975).
15
Ibid., 58.
from lexical to grammatical 77
16
Tawḥīdī, Imtāʿ 2, 45.
17
Ibid., 1, 129.
18
Jāḥiẓ, Bayān 1: 56.
19
Ibid., 4: 91.
20
Ibid., 1, 204.
21
Ibid., 3, 271.
78 nadia anghelescu
• “to say,” “to express oneself”: aqūlu li- nafsī “I say to myself;” man ʿabbara
ʿammā fī nafsihi “whoever expresses what’s in his soul;” aʿraba ʿan nafsihi
“expressed himself”
22
Ibid., 2: 221.
23
Ibid., 2, 322.
24
Tawḥīdī, Imtāʿ 2, 34.
25
Jāḥiẓ, Bayān 1: 273.
from lexical to grammatical 79
The word ḥaqq appears in the same source, as well as other authors,
with the same meaning of “true, authentic, real,” when it accompanies an
internal object, such as in:
Classical Arab dictionaries give as a primary meaning for the word ʿayn
that of “eye,” “organ of sight,” but include up to a hundred meanings of the
word. Among those, we are interested in the meaning of “important per-
son,” “personality” (especially with the plural aʿyān) and “essence,” “own
nature,” “concrete existence.” Dictionaries mention that the structures of
the type huwa bi-ʿaynihi can have a close or identical meaning to huwa bi-
nafsihi, i.e. “he himself,” “in person,” or can rather suggest it, in an example
such as rajul bi-ʿaynihi “a man who really exists,” i.e. not an abstract entity
or man as a species. This meaning equates the word in Lisān with nafs
and dhāt. It is also apparent that, unlike nafs, ʿayn relatively often accom-
panies non-human, sometimes abstract nouns, beginning as early as the
classical era.
Like nafs, in certain structures, ʿayn may mean “the same”: li-l-sababi
ʿaynihi/ li-l-sababi nafsihi “for the same reason.”
In Lisān, dhāt is explained as: haqīqat shayʾin wa khaṣṣatuhu “the real
essence of a thing,” “its intrinsic nature.” Dhāt is primarily used by transla-
tors of philosophy and by philosophers as an equivalent for “being” and
“essence.” As early as the classical age, it also appears as an emphazier,
but is less used in that capacity than nafs in everyday speech, as al-Fārābī
notes:26
hādhihi l-lafẓa [. . .] aʿnī “al-dhāt” wa-“mā bi-dhātihi” wa-“dhāt al-shayʾi” lay-
sat mashhūra ʿinda l-jumhūr wa-innamā hiya alfāẓ yatadāwaluhā l-falāsifa
wa-ahlu l-ʿulūm al-naẓariyya. Wa-l-jumhūr yastaʿmilūna makānahā qawlanā
26
Fārābī, Kitāb al-Ḥurūf, 110.
80 nadia anghelescu
27
Khalil Georr’s (1948: 62).
28
Wright (1971: 272).
from lexical to grammatical 81
The ancient Arab grammarians, starting with Sībawayhi, believed that the
identifijiers’ function, as well as that of quantifijiers’, was to emphasize, or
intensify, and that this function is manifest within the substitutive apposi-
tion (badal); more precisely, in a form that implies repetition, or reitera-
tion, as an intensifying or quantifying nominal, and also as an anaphoric
pronoun.
The “intensifying” function of nafs and associated elements is conceived
of as a result of identifijication (as one, alone, him and not another one, in
person, with no help). “The caliph” (al-khalīfa) is accompanied by nafs in
the examples given by a number of grammarians, precisely because he is
not expected to acomplish certain acts “in person” or “by himself”: see, for
instance, in Sakkākī:29
jāʾanī l-khalīfatu nafsuhu
“The caliph in person came to me.”
In the examples above, “the prince” (al-amīr) takes care himself, in per-
son, of punishing the thief.
We have previously discussed the manner this meaning is dealt with
in Ibn Jinnī,30 i.e. under the pairing ḥaqīqa “proper sense” / majāz “fijigu-
rative sense.” Language as a whole, says the Arab author, is made up of
elements that “go beyond” the proper sense: in the case of examples such
as qaṭaʿa l-amīru l-liṣṣa “the prince cut offf [the hand] of the thief” we
can understand (metonymically) that the prince had someone cut offf the
thief’s hand; however, if nafsuhu is appended to amīr, we are dealing with
the proper meaning.
Ibn Jinnī does come back to this in another chapter of his al-Khaṣāʾiṣ
in connection with the possibility of nafs appearing as a fijirst or second
word in a construct state.31 The authors who consider a structure such
as nafs al-shayʾ, “the nafs of the thing,” to be incorrect support this claim
by referring to the impossibility that a thing can be attributed to itself
(iḍāfat al-shayʾ ilā nafsihi). Ibn Jinnī attempts to demonstrate that nafs
can appear in an appended structure precisely because it does not express
the same thing as the name to which it is connected, but the essence of
29
Sakkākī, Miftāḥ, 267.
30
Anghelescu (2000 and 2004).
31
Ibn Jinnī, Khaṣāʾiṣ 3: 24–25.
82 nadia anghelescu
a thing, its “purest part” (khāliṣu l-shayʾ), i.e. “part of a whole” (al-baʿḍ
min al-kull). This interpretation is also valid for both Zayd nafsuhu “Zayd
himself ” and hādhā nafsu l-ḥaqq “this is the truth itself” (and not another
one, Ibn Jinnī adds). As proof that the nafs of a thing should be regarded
as the part is to a whole is apparent when the poet addresses nafs as if it
were another, shown in phrases such as aqūlu li-nafsī “I tell myself” and
yaqūlu lī nafsī “my self tells me.”
Ibn Jinnī’s observations (some of which resemble relatively recent
explanations related to the “divided Self”—see above) are important
because they:
In the work of later grammarians, for instance in Ibn ʿAqīl’s Sharḥ, the
explanations concerning the functions of nafs are similar to those given
by Ibn Jinnī.32 Ibn ʿAqīl shows that using the above-mentioned words is
meant to prevent us from misinterpreting the meaning of nafs. In the
case of identifijiers, a simple sentence such as jāʾa Zayd “Zayd has come”
could be interpreted as resulting from an elision or a fijigurative expression
(majāz). It could be, for instance, the news that Zayd is coming, or some-
one that Zayd has sent. In other words, placing nafs next to Zayd specifijies
the reference. The same might be said of several universal quantifijiers: kull,
kilā and kiltā, jamīʿ and ajmaʿ, to which Lisān adds ʿāmmat(an), following
Sībawayhi.
As detailed in the above discussion as well as in other works, it is appar-
ent that the ancient grammarians offfer suggestions regarding the interpre-
tation of “intensifijiers” as expressing the idea of “counter of expectation”:
the example provided earlier ( jāʾanī l-khalīfatu nafsuhu “the caliph in
32
Ibn ʿAqīl, Sharḥ, 606–609.
from lexical to grammatical 83
Identifier Structures
33
Note: The preposition bi is thought by the early grammarians to be an “expletive”:
zāʾid; however, it may have been originally used with the sense of “contiguity” or “accom-
paniment” which is peculiar to it: in Zayd bi-nafsihi, it might have meant “Zayd with him-
self [and no one else].”
34
Note: The structures where nafs appears in a construct state as a subject ( jāʾa nafsu
l-rajul “the same man came”) are to this day blamed by purists: it is said that nafs and
other identifijiers are used for corroboration in structures other than the “correct” one, i.e.
the one above.
84 nadia anghelescu
All the structures listed above (save for] the reflexive ones) are determi-
nant structures, and it is important to keep in mind] that they are identi-
cal with those of quantifijiers.36
In principle, nafs agrees with the determined noun in case and number;
the anaphoric pronoun agrees with the determined noun in gender and
number. Not all possibilities of nafs’ variations in function of agreement
are actually performed: in association with a dual noun, nafs is not always
employed in the dual form, as Wright notes, citing the ancient Arab gram-
marians: “some authorities admit in this case the use of the singular or the
dual: jāʾa l-zaydāni nafsuhumā (the two Zayd themselves came).”37 With
or without the grammarians’ permission, in modern language examples of
the agreement of nafs with the dual noun is not achieved (another proof
of the weakening of the dual). The following example is drawn from the
modern language (Ṭāha Ḥusayn):
The agreement of anaphoric elements draws attention to the fact that the
proper expression for identifijication is reiteration. Within structures con-
taining nafs and other identifijiers functioning as intensifijiers, we are deal-
ing not just with reiteration through the identifying anaphora, but with
35
See Badawi, Carter and Gully (2004: 2.8.3.3).
36
For quantifijiers, see also Anghelescu (2004: 335–355).
37
Wright (1971: 281).
from lexical to grammatical 85
We must note that the last examples highlight the formal identity of the
pronouns afffijixed to the verb and preposition, to those afffijixed to nafs: in
this situation, the requirement for semantic identity to be expressed by
formal identity is applied.
This identity is also manifest in the example provided by Sībawayhi
speaking of tawkīd “corroboration” in connection to the function held
by nafs:
38
See for instance Zamakhsharī, al-Mufaṣṣal, 111.
39
Sībawayhi, al-Kitāb, 393.
86 nadia anghelescu
seldom in the plural: yalūmu nafsahu “he blames himself.” The normal
word order is that when the object follows the verb: see, however, above
(11) regarding the proposed prepositional object, in the examples from
Jāḥiẓ, Bayān.
The personal pronoun is the common anaphora in old texts, in a variety
of situations in which the reflexive is licensed by the verb, for all three per-
sons. From a certain moment on (which cannot be precisely pinpointed),
instead of the personal pronoun, especially for the third person, the ana-
phora that includes nafs and (seldom) dhāt. As for the fijirst person, even
in the modern age, as the Modern Written Arabic authors note, frequently
“a simple object pronoun is used.”40 To this might be added that the verbs
in the sentences included in this source’s examples belong to a category
Arab grammarians call af ʿāl al-qulūb, a phrase often translated as “verbs
of the heart”:
40
Badawi, Carter and Gully (2004: 391)
from lexical to grammatical 87
The sentence that expresses trans-temporal identity (fr. mêméité), i.e. “he
remains the same” might take the following forms:
The form normatively acceptable is:
The form with nafs in the accusative plus pronoun as nominal predicate
The pressure of the system, within which the very idea of identity is
expressed iconically through verbal repetition, means that in a sentence
where continuity is asserted through the auxiliary mā zāla (lit.: “does not
cease being”) the predicate remains in the nominative (see 27), although
that auxiliary is part of a series of elements introducing temporal-aspec-
tual values, and which usually justify the accusative case of the predicate
nominal (25, 26).
Each identifijier in part is defijined not only by its own meanings and func-
tions, but also through the quasi-synonymous phrases and those it is in
opposition to, as will be shown further by examples in modern Arabic. It
should be noted from the beginning that in modern Arabic thus far there
has been no evidence of uses of the identifijiers that were absent, at least
in an incipient form, in the classical language.
88 nadia anghelescu
A. Nafs
Originating in “soul” (semantically related to “breath”), nafs is the most
appropriate form for expressing personal identity, the core of the concept
of identity in the modern language, as well as in the classical language.
• Non-human nouns can also be emphasized (in what follows, nafs sin-
gular refers to a dual noun)
• The Subject can see the Self, “with the eyes” or with the mind’s eye (in
the sense of “considering itself”):
from lexical to grammatical 89
• The Subject can impose upon himself, can put himself in a certain posi-
tion, or can “pose as”
(38) (. . .) bayda anna lladhīna aqāmū anfusahum ḥumātan li-l-ʿarabiyya (. . .)
(. . .) while those who posed as defenders of Arabic (. . .)
• The Self can be alien to the Subject, the Subject can lose and fijind the
Self
B. ʿAyn
• The meanings of individualization, concretization, also applied to
non-humans, are especially expressed through ʿayn, and more rarely
through dhāt:
(46) laysat al-lugha rābiṭan bayna aʿḍāʾ mujtamaʿ wāḥ id bi-ʿaynihi, wa-innamā
hiya (. . .)
Language is not only a connection between members of a certain society,
but (. . .)
C. Dhāt
• Apart from the functions mentioned in the examples above, repre-
sented here in (48), dhāt also appears in fijixed structures, as in (49)
and (50).
(52) yawmiyyāt nāʾib fī-l-aryāf lam yaqṣid nāʾib bi-l-dhāt wa-lā qarya bi-l-dhāt
(. . .) fahuwa yaqṣid nāʾib muʿayyan wa-ḥayāt bi-ʿaynihā lahā muyūluhā
wa-nawāziʿuhā wa ẓurūfuhā llatī qad tatakarrar kathīran fī ʿayn al-muḥīṭ
(. . .).
“The diary of a country prosecutor substitute” focused neither on a type of
prosecutor substitute, nor on a village in itself (. . .) It refers to a certain
prosecutor substitute, a specific life, with its own tendencies and circum-
stances that can repeat themselves in the same environment (. . .)
41
Note: The tendency to specialize shown by the three identifijiers discussed above can
be seen in the example below. Also see here the role of the sufffijixed pronoun hā, similar
to that of identifijiers.
92 nadia anghelescu
Hopper and Traugott,42 but also from other general works that underlie
the observations presented here on the presence of this process in Arabic.43
To these were recently added Brinton and Traugott, who treat grammati-
calization and lexicalization in relation to each other.44 From this latter
source come our defijinitions of the two correlated processes.45
Grammaticalization is thus defijined as: “the change whereby in certain
linguistic contexts speakers use parts of the construction with a gram-
matical function. Over time the resulting grammatical item may become
more grammatical by acquiring more grammatical functions and expand-
ing its host-classes.”
Lexicalization is defijined as: “the change whereby in certain linguistic
contexts speakers use a syntactic construction or word formation as a
new content-laden form with formal and semantic properties that are not
completely derivable or predictable from the constituents of the construc-
tion or the word formation pattern. Over time there may be further loss of
internal constituency and the item may become more lexical.”
What follows focuses on grammaticalization for all three identifijiers
(though we especially refer to nafs as a prototype of this category), while
processes that can be attributed to lexicalization will only be mentioned
in connection to dhāt.
The gradual evolution of the meanings of nafs and associated elements
toward abstract meanings, seen as grammatical, and the stabilization of
structures in which nafs, and dhāt function as identifijiers are manifesta-
tions of the three identifijiers’ tendency toward grammaticalization.
42
Hopper and Traugott (2003).
43
Anghelescu (2004).
44
Brinton and Traugott (2005).
45
Ibid., 144–145.
from lexical to grammatical 93
coexisted. We must not forget that Sībawayhi, who made certain interest-
ing observations on the “emphatic” function of identifijiers, lived in the 8th
century, while other grammarians whom we referenced in various chap-
ters lived between the 10th and 13th centuries. They all remark on the
status of these elements in texts that date primarily from before the 8th
century (the Qurʾān and pre-Islamic poetry).
Lacking a corpus that includes various types of medieval texts (includ-
ing translations), it is only possible to formulate a hypothesis on the evolu-
tion of certain identifijiers’ meanings. The trajectory of the nafs’s meaning
as it evolved toward abstractization might be:
soul → person → Self: reflexive (1) → corroborative → same→ reflexive (2)
The above outline, as well as previous observations, suggests that the
grammatical meanings of nafs progression was from reflexive to corrob-
orative and not the other way around. Another possibility is that both
meanings result, somewhat simultaneously, from diffferent (but perhaps
complementary) concepts of the person. Such hypotheses have been pre-
viously formulated on the evolution of identifijiers in other languages:
46
Gast and Siemund (2006: 375).
94 nadia anghelescu
and, within that, to the article and other quantifijiers. Some uses of the
defijinite article al- (baytuka l-baytu “your house is the [real] house”), as
well as some uses of kull together with the defijinite form of the noun
(al-fatā kull al-fatā “the young man, the real young man”) have a super-
lative or emphasizing value also found in structures with nafs and ʿayn
(we referred to them as a superlative expression of the concept, equiva-
lent to “real”).
What is of interest here is not just some specifijic uses, but also the rela-
tion between the meanings of identifijiers as intensifijiers, and universal
quantifijiers. This relation is explained by the early Arab grammarians as
stemming from the common function of “corroboration.” Ibn Jinnī even
speaks of a more direct semantic relation between quantifijiers and identi-
fijiers, suggesting that the idea of “part of a whole” or “other part” expressed
by identifijiers is of the same nature as that expressed by quantifijiers. From a
slightly diffferent vantage, Ibn Hishām speaks of the meaning of “globality”
(iḥāṭa) introduced by the pronoun attached to some indefijinite quantifijiers
(kulluhum “all of them”) and defijinite quantifijiers (thalāthatukum “all three
of you”), which might also explain the role of these anaphoric pronouns
attached to identifijiers used as emphasizers.47
However, if we admit that these are noun determinants in both catego-
ries (emphasizers and quantifijiers), classes of elements that some authors
see as “overlapping” with the nuclear sentence, we are dealing with a pos-
sible justifijication of common structures.
Various languages treat the reflexive as a separate grammatical cat-
egory, whether we are considering the inherent reflexive (expressed, in
Arabic, through some T-derived forms) or about the Self reflexive, fore-
most expressed in Arabic through nafs. When speaking of “coindexing
two arguments of the verb” in the case of the reflexive, that can be trans-
lated by identifying the two arguments. It may be presupposed that what
underlay certain nafs reflexive forms in the classical language might have
been a dual concept of the person, split between the social “face” and the
inner “self” (such a concept existed in other societies as well, and endures,
under certain forms, in today’s societies).
A dual concept of the person might explain the reflexive with nafs in
dicendi verbs (verbs of saying), considering the fact that several authors
in the classical era mention utterances as “un-covering” hidden meanings,
covered in the mind or conscience (i.e. nafs). Modern-day reflexives are
47
Ibn Hishām, Mughnī 2: 510.
from lexical to grammatical 95
48
König and Siemund (2000: 60–63).
49
See other examples under 35, 36, 37, 41.
96 nadia anghelescu
C. As for the combinatorial possibilities, it can only be noted that there
are some tendencies in combining identifijiers as intensifijiers with the
nouns (nafs tends to combine with human nouns, although it can also be
combined with non-human nouns). In the case of reflexive markers, the
tendency is to combine with certain verbs (see the observations above) or
certain persons of the verb (the third person seems best suited for reflex-
ive constructions).
50
See Baalbaki (1999).
from lexical to grammatical 97
and the evolution of their meanings also influence the structures that
integrate them. Dhāt, as previously discussed, is the peripheral element.
Conclusions
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LA COORDINATION À UN CONSTITUANT DU NOYAU EN ARABE
Hassan Hamzé
1. La coordination
1
Dubois et al. (2002 : 120–121).
2
Nous avons comparé l’édition de 2002 à celle de 1973 présentée à l’époque comme
étant « la dernière édition revue et corrigée. »
3
On retrouve cette même analyse dans le Dictionnaire de la linguistique de G. Mounin
qui considère la juxtaposition comme une forme de coordination.
102 hassan hamzé
2. Le noyau
4
Roman (2001 : 1, 135).
5
Cependant, cette caractéristique doit tenir compte des contraintes propres à la nature
de certains éléments. Ainsi, à titre d’exemple, dans une coordination qui lie un nom à
un pronom conjoint en arabe, c’est obligatoirement le pronom conjoint qui est antéposé.
L’on doit dire :
/raʾay—tu ka wa zayd-an/
Litt. J’ai vu toi et Zayd (a)
mais jamais :
*/raʾay tu zaydan wa ka/
De même, on dit : /anā wa-anta/,= « Moi et toi, » et /anta wa-zayd-un/,= « Toi et zayd »
avec une antéposition de la 1ère personne par rapport à la 2ème, et de la 2ème par rapport à
la 3ème, etc.
la coordination à un constituant du noyau en arabe 103
6
Roman (2001 : 1, 46).
7
Il s’agit, en fait, d’un morphème de personne qui est un pronom. Mais, dans la tra-
dition grammaticale arabe, le pronom, tout comme l’adjectif et les formes dérivées sont
considérés comme des sous-classes du nom. Cette hiérarchisation des parties du discours
permet une « économie » remarquable du système selon l’expression de Guillaume (1988 :
25). Voir Hamzé (1994 : 93–97).
8
Les modalités, lorsqu’elles sont des mots comme c’est le cas des modalités d’appel,
de négation, d’interrogation, etc., font partie de la classe des particules dans la tradition
arabe.
104 hassan hamzé
:9
La flèche à double tête symbolise la relation d’interdépendance et de réciprocité qui
relie les deux constituants du noyau. Elle est reprise à Roman (1990 : 87).
10
Dans l’original : /al-naḍr/,= « al-Naḍr, » au lieu de /al-Ḥārith/.
la coordination à un constituant du noyau en arabe 105
11
∅ = morphème de signifijiant zéro.
106 hassan hamzé
12
X signifijie un élément absent.
la coordination à un constituant du noyau en arabe 107
1ère pers. katab tu ( je) anā (moi) wa ʿamr-un/ J’ai écrit, moi et ʿAmr
2ème pers. Katab- ta (tu) anta (toi) wa ʿamr-un/ Tu as écrit, toi et ʿAmr
katab- ∅ (il) huwa wa ʿamr-un/ Il a écrit, lui et ʿAmr
3ème pers. (lui)
Kataba- ∅ (il) zayd- wa ʿamr-un/ Il a écrit, Zayd et ʿAmr
un(Zayd)
3ème pers. *kataba- zayd-un huwa wa ʿamr-un A écrit, Zayd, lui et ʿAmr
13
Voir la justifijication de cette analyse dans Hamzé (1999 : 128–135), et (1987 : II, 557–
562).
108 hassan hamzé
14
Ces énoncés, rares, ont été considérés par les grammairiens arabes comme non
conformes à la norme. Voir Hamzé (2010 : ch. 3) et (1987).
15
Les grammairiens arabes donnent souvent comme exemple le verset 148 de la Sourate
al-Anʿām [Coran, 6/148] : /mā ashrak-nā wa-lā ābā’-u nā/,= « nous n’aurions pas été Asso-
ciateurs, non plus que nos pères » (traduction de Blachère). Voir Ibn Abī l-Rabīʿ (688/1290)
qui considère le deuxième procédé comme étant moins conforme à la norme que le pre-
mier (al-Basīṭ, I, 345), ou Ibn ʿUṣfūr (669/1271) qui traite la question en termes de rection
(Sharḥ al-Jumal 1, 241).
16
Ibn al-Ḥājib, al-Īḍāḥ 1, 455.
17
Sībawayhi, al-Kitāb 2, 378.
la coordination à un constituant du noyau en arabe 109
est forte entre le pronom [et le verbe], dit al-Jurjānī (m. 471/1079), plus la
coordination est évitée. »18 Ainsi
/kataba- ∅ X wa ʿamr-un/
serait moins conforme que
/katab- tu X wa ʿamr-un/
le pronom étant non marqué dans le premier énoncé, donc plus lié, et
marqué dans le second.
Dans notre analyse, le morphème verbal et le morphème de personne
sont inséparables. Ni l’un, ni l’autre, ne peut donc être coordonné, ni ser-
vir de base à une coordination, contrairement à ce qui est généralement
adopté par la Tradition. ʿAbbās Ḥasan s’étonne que l’un des grammairiens
anciens ait pu afffijirmer : « Je ne vois pas un seul exemple de la coordina-
tion d’un verbe à un autre. »19 Dans des énoncés de type :
/qāma wa qaʿada ʿaliyy-un/
Litt. Il s’est levé et il s’est assis Ali (nom)
« c’est une phrase et non pas un verbe, qui est coordonnée [à une autre]. »
L’objection de ʿAbbās Ḥasan accusant ce savant ancien de n’avoir pas
saisi « la diffférence, fijine » entre la coordination de deux phrases et la coor-
dination de deux verbes au niveau de la forme, i.e. la rection, et au niveau
du sens ne nous semble pas pertinente20. Les deux énoncés qu’il donne
pour prouver son point de vue ne fournissent aucune preuve valable :
/yuʿjib-u-nī an ta-qūm-a wa ta-khruj-a vs wa
takhruj-u/
Litt. Cela me plait que tu te lèves (sub) et tu sortes (sub) vs et
tu sors (ind)
/lam taqum wa takhruj vs wa takhruj-u
Litt. Ne pas tu te lèves (apoc) et tu sors (apoc) vs et tu sors (ind)
En efffet, la diffférence relevée entre les variantes des deux énoncés sui-
vants n’est pas due à deux types de coordination (coordination de deux
verbes dans un cas, et de deux phrases dans l’autre), mais, tout simple-
ment, à une ellipse de /an/,= « que » dans le premier exemple et de /
lam/,= « ne pas » dans le second. La coordination dans les deux cas est,
18
al-Jurjānī, al-Muqtaṣid 2, 958–959.
19
Ḥasan (1975 : 3, 645).
20
Ibid. 3, 644–647.
110 hassan hamzé
forcément, une coordination de deux noyaux, puisque tous les verbes des
deux énoncés sont munis de leurs morphèmes de personne sujet, le mor-
phème de la deuxième personne /ta/,= « Tu » :
/yuʿjib-u nī an ta-qūm-a wa [an] ta-khruj-a vs wa
takhruj-u/
Litt. Cela me plait que tu te lèves (sub) et [que] tu sortes (sub) vs et
tu sors (ind)
Cela me plait que tu te lèves et [que] tu sortes vs et tu sors
/lam taqum wa [lam] takhruj vs wa
takhruj-u
Litt. Ne pas tu te lèves (apoc) et [ne pas] tu sors (apoc) vs et
tu sors (ind)
Tu ne t’es pas levé et tu [n]’es [pas] sorti vs et tu sors
Il en ressort qu’une coordination à l’un des deux constituants du noyau
verbal est impossible, et que toute tentative de coordonner à l’un des deux
constituants se transforme, de facto, en une coordination de deux noyaux.
Toutefois, d’autres éléments peuvent être insérés entre les segments coor-
donnés. Dans le cas présent qui nous intéresse, nous faisons une difffé-
rence fondamentale entre deux types d’éléments séparateurs :
Cette extension peut être l’une des expansions de l’arabe (annexion, iden-
tifijication, etc.) ou encore, une extension d’une extension du constituant.
Exemple : cette expansion d’annexion du 1er constituant du noyau :
/bāb-u l-bayt-i wa nawāfijidh-u-hu maftūḥat-un/
Litt. La porte [de] la maison et ses fenêtres [sont] ouvertes
21
Les grammairiens arabes distinguent ce qui est premier de ce qui est antéposé et ce
qui est deuxième de ce qui est postposé (Ibn Yaʿīsh, Sharḥ al-Mufaṣṣal 1, 97–98). Ils envi-
sagent trois cas de fijigure quant à la position du deuxième élément du noyau nominal, le
khabar (l’énonciatif ) : il est, soit obligatoirement postposé, soit obligatoirement antéposé,
soit postposé ou antéposé. Ibn Hishām, Awḍaḥ al-masālik 1, 145–152).
112 hassan hamzé
2) (b + b’) <—————————–> a
Exemple, ce vers de mètre Ramal du poète Īliyā Abū Māḍī :
/(a (qadīm-un am jadīd-un) anā fī hādhā l wujūd-i
Est-ce (ancien ou nouveau) moi dans ce monde ?
3) a <———————————> (b + b’)
Exemple, cette hémistiche de mètre Ṭawīl du poète Ibn al-Rūmī :
/wa qāla l-ḥarāmāni (l-mudāmat-u wa l-sukr-u)/
Litt. Il dit : les deux illicites [sont] (le vin et l’ivresse)
22
Nous ne prenons pas en compte ici les cas particuliers où l’interchangeabilité n’est
pas possible. L’on dit, par exemple /anā wa anta/ en antéposant le pronom de la pre-
mière personne et non pas /anta wa anā/ (toi et moi), /anā wa-fulān/ et non pas /fulān
wa-anā/ (un tel et moi), /zayd-un wa-akhū-hu/ et non pas /akhū-hu wa-zayd-un/ (son
frère et Zayd), etc.
23
Les parenthèses sont utilisées pour les deux éléments coordonnés.
la coordination à un constituant du noyau en arabe 113
4) b <—————————> (a + a’)
Exemple, le verset 11 de la sourate Hūd [Le Coran, xi/11] :
/la hum (maghfirat-un wa ajr-un) kabīr-un/24
Litt. A eux (un pardon et une rétribution) grande
En revanche, les deux schémas 5 et 6 présentent un type particulier de
coordination, puisque l’élément candidat à la coordination est séparé de
sa base par l’autre constituant du noyau. Ainsi (b) est intercalé entre (a)
et (a’) dans le premier cas : (énoncé 5), et (a) est intercalé entre (b) et (b’)
dans le deuxième cas : (énoncé 6).
5) a <————————————> b + a’
Exemple :
/zayd-un ẓarīf-un wa ʿamr-un/
Zayd (n) [est] gracieux et ʿAmr (n)
6) b <——————————————> a + b’
Exemple :
/ʿarabiyy-un muhru-ka wa aṣīl-un/
Litt. arabe [est] ton poulain et de race pure
Nous estimons que la coordination ne se fait pas entre (a) et (a’) dans
l’énoncé (5), et elle ne se fait pas entre (b) et (b’) dans l’énoncé (6) non
plus. Autrement dit, il ne s’agit pas dans ces deux énoncés d’une coordi-
nation à un constituant du noyau, mais d’une coordination entre deux
noyaux. Tout schéma du type 5 ou 6 doit être réinterprété en restituant
un constituant ellipsé :
a <——> b + a’ ————> (a <——> b) + (a’ <——> [b’])25
b <——> a + b’ ————> (b <——> a) + (b’ <——> [a’])
Ainsi pour :
/zayd-un ẓarīf-un wa ʿamr-un / ———>
/zayd-un ẓarīf-un wa ʿamr-un [ẓarīf-un]/
Zayd (n) [est] gracieux et ʿAmr [est] [gracieux]
24
Analyser /la-hum/,= « à eux, » comme un prédicat ou comme une expansion complé-
tive d’un prédicat ellipsé, analyse que nous adoptons, n’a aucune incidence sur la démons-
tration. Un autre exemple : le vers de mètre ṭawīl du poète omeyyade Jamīl b. Maʿmar :
/sawāʾ-un ʿalay-nā yā jamīl-u bn-u maʿmar-in idhā mitta (baʾsāʾ-u l-ḥayāt-i wa- līn-
u-hā)/
[Est] égal pour nous, Ô Jamil b. Maʿmar ! lorsque tu es mort (le malheur [de] la vie et
sa douceur)
b <———————————————————————> (a + a’)
25
L’élément entre crochets est un élément ellipsé qu’on doit restituer pour qu’il y ait
une coordination de deux noyaux.
114 hassan hamzé
et pour :
/ʿarabiyy-un muhru-ka wa aṣīl-un ————>
/ʿarabiyy-un muhru-ka wa aṣīl-un [muhru-ka]
Arabe [est] ton poulain et de race pure [est] [ton pou-
lain]
Nous estimons que les deux segments candidats à la coordination /
zayd-un/ et /ʿamr-un/, ainsi que les deux segments /ʿarabiyy-un/ et /
aṣīl-un/ séparés de leurs bases par l’autre constituant du noyau, ne sont
pas coordonnés l’un à l’autre pour, au moins, trois raisons :
Références
Sources Primaires
Farrāʾ, Abū Zakariyyā Yahyā b. Ziyād. Maʿānī l-Qurʾān. Eds. Muḥammad ʿAlī al-Najjār et
Aḥmad Yūsuf Najātī. 3 vols. Beyrouth : ʿĀlam al-Kutub, 1403/1983.
Ibn Abī l-Rabīʿ, ʿUbayd Allāh b. Aḥmad b. ʿUbayd Allāh. al-Basīṭ fī sharḥ Jumal al-Zajjājī. Ed.
ʿAyyād b. ʿĪd al-Thabītī. 2 vols. Beyrouth : Dār al-Gharb al-Islāmī, 1407/1986.
Ibn al-Ḥājib, Abū ʿAmr ʿUthmān b. ʿUmar. al-Īḍāḥ fī sharḥ al-Mufaṣṣal. Ed. Mūsā Banay
al-ʿAlīlī. 2 vols. Baghdad : Maṭbaʿat al-ʿĀnī, 1402/1982.
Ibn Hishām, Abū Muḥammad ʿAbdallāh Jamāl al-Dīn b. Yūsuf b. Aḥmad b. ʿAbdallāh.
Awḍaḥ al-masālik ilā Alfijiyyat Ibn Mālik. Ed. Muḥammad Muḥyī l-Dīn ʿAbd al-Ḥamīd.
3 vols. Beyrouth : Dār Iḥyāʾ at-Turāth al-ʿArabī, 5ème éd. 1966.
Ibn ʿUṣfūr, ʿAlī b. Muʾmin b. Muḥammad b. ʿAlī Abū l-Ḥasan al-Ishbīlī. Sharḥ Jumal
al-Zajjājī, al-Sharḥ al-kabīr. Ed. Ṣāḥib Abū Janāḥ. 2 vols. Baghdad : Muʾassasat Dār
al-Kitāb, 1400/1980.
Ibn Yaʿīsh, Muwafffaq al-Dīn Yaʿīsh b. ʿAlī. Sharḥ al-Mufaṣṣal. 10 vols. Le Caire : Maktabat
al-Muthannā, s.d.
Jurjānī, ʿAbd al-Qāhir b. ʿAbd al-Raḥmān. al-Muqtaṣid fī sharḥ al-Īḍāḥ. Ed. Kāẓim Baḥr
al-Marjān. 2 vols. Baghdad : Dār al-Rashīd, 1982.
Sībawayhi, Abū Bishr ʿAmr b. ʿUthmān b. Qanbar. al-Kitāb. Ed. ʿAbd al-Salām Hārūn. 5 vols.
Le Caire : al-Hayʾa l-Miṣriyya al-ʿĀmma li-l-Kitāb, 1971–1977.
26
Ce schéma est valable quel que soit l’élément antéposé : (a b + a’b’), (a b + b’a’), (b
a + a’b’) ou (b a + b’a’).
la coordination à un constituant du noyau en arabe 117
Sources Secondaires
Blachère, Régis. 2005. Le Coran, traduction du Coran. Paris : Maisonneuve et Larose.
Dubois, Jean et al. 1973. Dictionnaire de linguistique, Paris : Larousse.
Dubois, Jean et al. 2002. Dictionnaire de linguistique. Paris : Larousse-Bordas.
Guillaume, Jean-Patrick. 1988. « Le discours tout entier est nom, verbe et particule. » Lan-
gages 92 : 25–36.
Hamzé, Hassan. 1987. Les théories grammaticales d’az-Zajjājī. Thèse d’Etat ès lettres. Lyon :
Université Lyon2.
——. 1989. « La coordination à un pronom conjoint. » Arabica 36 : 249–271.
——. 1994. « Les parties du discours dans la tradition grammaticale arabe. » in Les classes
des mots, Traditions et perspectives. Ed. Louis Basset et Marcel Perennec. Lyon : Presses
universitaires de Lyon, 93–115.
——. 1999. « La position du sujet du verbe. » in Langage et linéarité. Ed. Pierre Cotte. Lille :
Presses Universitaires de Septentrion, 127–149.
——. 2010. al-Waḥda wa-l-tanawwuʿ fī l-naẓariyya al-naḥwiyya al-ʿarabiyya. Beyrouth :
Librairie du Liban Publishers [sous presse].
Ḥasan, ʿAbbās. 1975. al-Naḥw al-wāfī. Le Caire : Dār al-Maʿārif.
Mounin, Georges (dir.). 1985. Dictionnaire de la linguistique. Paris : Quadrige/Presses uni-
versitaires de France.
Roman, André. 1990. Grammaire de l’arabe. Paris : Presses universitaires de France, collec-
tion Que sais-je ?
——. 2001. Systématique de la langue arabe. Kaslik, Liban : Université Saint-Esprit de
Kaslik.
MUSTAQĪM, MUḤĀL, ḤASAN, QABĪḤ
LES CRITÈRES DE RECEVABILITÉ DANS LE KITĀB DE SĪBAWAYHI
Georgine Ayoub
1
Nous justifijions nos traductions au §1.
2
Le premier chifffre renvoie à la page, celui après le point à la ligne. Comme la plupart
des références renvoient au tome I, nous n’indiquerons le tome que s’il s’agit du tome II.
3
Cf. Ayoub (2003 : 32) et surtout Ayoub (2005).
120 georgine ayoub
l’action de parler, et non seulement son résultat, qu’il n’a pas de pluriel.
Au niveau conceptuel, il n’est réductible à aucun des termes théoriques
que distingue la linguistique moderne (langue, langage, parole, énoncé et
discours) et les désigne tous. Il n’est, au vrai, langue au sens de Saussure
que dans la mesure où la langue ne peut être saisie que par le discours. C’est
là un des fondements épistémologiques de la pensée sur le langage dans la
tradition arabe. Un des fondements de la grammaire arabe elle-même.
La littéralité des termes disant la valeur du kalām a une résonance
esthétique et éthique, apparente le jugement linguistique aux jugements
esthétique et éthique. On sait, depuis Carter (1968), qu’une bonne part du
lexique du Kitāb relève de l’éthique4. Il en est d’emblée ainsi pour ḥasan,
qabīḥ, mustaqīm. Seul muḥāl, à connotation sémantique et logique, sem-
ble sortir de ce champ sémantique. Au vrai, ḥasan qui signifijie ‘beau,’ ‘bon,’
et son antonyme qabīḥ qui signifijie ‘laid,’ ‘vilain,’ relèvent, à la fois, de l’es-
thétique et de l’éthique, qualifijiant, dès les textes les plus anciens, à la fois
la beauté ou la laideur des formes et celle des actions5. Cette ambiguité
se retrouve dans le Kitāb. Le terme jamīl, qui y est synonyme de ḥasan a
seulement une valeur esthétique ; khabīth, radīʾ, synonymes de qabīḥ, ont
une résonance éthique. Nous retiendrons les termes « bon » et « vilain »
pour traduire ḥasan et qabīḥ6. Ils disent bien cette duplicité du jugement
linguistique, à la fois linguistique, esthétique et éthique, cette dernière
4
En fait, la thèse de Carter est la suivante : une bonne partie du lexique du Kitāb est
empruntée à l’éthique. C’est la thèse de l’emprunt. El-Amrani Jamal (1986), rejetant la
thèse de l’emprunt, donne à cette rencontre un caractère fortuit. Versteegh (1993 : 35), très
sceptique quant à l’emprunt, souligne néanmoins l’interdisciplinarité qui est le propre des
savants du 8e s., interdisciplinarité qui rend très difffijicile d’isoler une terminologie propre à
une discipline donnée. Ce contact et cette influence des disciplines les unes sur les autres
ne signifijient pas toutefois la prééminence d’une discipline sur d’autres. Il attire plutôt
l’attention sur la thèse de Rundgren 1976 selon laquelle c’est la philosophie grecque, à
partir de traductions perses et syriaques, qui aurait déterminé une telle classifijication des
énoncés où se croisent catégories logiques et linguistiques. Versteegh souligne l’influence
de la grammaire grecque où ce croisement était courant depuis l’introduction des théories
stoïciennes en grammaire.
5
Si al-Khalīl dans Kitāb al-ʿAyn, al-Jawharī dans al-Ṣiḥāḥ ne s’étendent pas sur la défiji-
nition des deux termes, se contentant pour qubḥ d’un « bien connu » après avoir présenté
l’antonyme, ils spécifijient bien que le terme est général et s’applique à toute chose (ʿāmm
fī kull shayʾ). Ibn Sīda spécifijie que le ḥusn s’applique à la fois aux formes et aux actions
( fī l-ṣūra wa-l-fijiʿl).
6
Le choix de « vilain » pour qabīḥ fait signe aux préoccupations à la fois éthiques et
esthétiques des premiers savants : Abū ʿAmr b. al-ʿAlāʾ (m. 154/770), lecteur de Baṣra et
grand collecteur de la poésie ancienne, al-Khalīl (m. 175/791) fondateur de la métrique
et connu pour sa grande probité. « Mauvais » eût été sans doute plus en accord avec les
termes français qui disent la valeur. Mais il correspond plutôt à l’antonyme de ḥasan qui
relève clairement de l’éthique, soit sayyiʾ, jamais utilisé dans le Kitāb, Troupeau (1976 : 113)
recensant uniquement 3 occurrences de aswaʾ. Cette articulation du correct, de l’éthique,
mustaqīm, muḥāl, ḥasan, qabīḥ 121
courants dans ceux jugés kalām ghayr mustaqīm (énoncé non droit). Bref,
pour entendre muḥāl, qui se présente dans ce titre du chapitre VI comme
l’antonyme de mustaqīm, et pour entendre son statut linguistique, cette
acception de tour déviant, impossible, défijinitivement corrompu, nous
semble plus adéquate que celle, retenue parfois, d’absurde. Celle-ci est
trop restrictive. Retenant cette acception, nous rejoignons Sīrāfī dans son
Sharḥ. Car c’est bien cette acception de « déviance, » en tant que kalām
dévié de son tour droit que retient Sīrafī :
wa-maʿnā l-muḥāl annahu uḥīla ʿan wajhihi l-mustaqīm.10
Et le sens de muḥāl est qu’il a été dévié de son tour droit.
L’acception de déviance que nous retenons se démarque peu de l’accep-
tion courante de muḥāl dans la langue du 8e s. Or celle-ci est vivante dans
le Kitāb. En témoigne l’usage des mots de la même racine : ainsi le verbe
aḥāla à la voix passive :
wa-innamā dhakara l-Khalīlu hādhā li-taʿrifa mā yuḥālu minhu wa-mā
yaḥsunu 219.18
al-Khalīl n’a mentionné cette question qu’afijin que tu saches ce qui en est
déviant et ce qui en est bon.
ou le verbe yastaḥīl, utilisé dans une opposition à mustaqīm :
wa-innamā dhakartu laka hādhā li-taṣarrufiji wujūhihi wa-maʿānīhi wa-an lā
tastaḥīla minhu mustaqīman. 383.22–384.1
Je ne t’ai mentionné cette question que parce que ses formes et ses signifijica-
tions se modifijient [et sont complexes] et afijin que tu ne juges point déviants
des énoncés droits.
Compris ainsi, le muḥāl serait un terme où le métalangage se distingue
peu du langage [courant], semblable en cela à bien des termes du méta-
langage du Kitāb. Et, à l’instar de mustaqīm, muḥāl fait résonner, dans le
jugement linguistique, un écho éthique. Ainsi l’ensemble du lexique de la
valeur du kalām dans le Kitāb se révèle parfaitement homogène.
10
Sīrāfī, Sharḥ Kitāb Sībawayhi 2, 90.
mustaqīm, muḥāl, ḥasan, qabīḥ 123
ses propres axiomes, postulats et analyses, que toute théorie pose les
valeurs des productions langagières. On l’a vu, rien n’est plus instructif,
à cet égard, que de tenter de traduire, d’une langue à une autre, d’une
théorie à une autre, les valeurs d’une grammaire déterminée, ici celle du
Kitāb. Si elles avaient été de l’ordre de l’intuition, il eût sufffiji de considé-
rer les exemples pour qu’elles fussent immédiatement évidentes. Or leur
explicitation n’a rien de trivial. Elles ont donné lieu à des interprétations
diffférentes, y compris au sein de la tradition. Qu’en est-il donc de la valeur
linguistique exacte de ces termes dans le Kitāb ?
D’emblée, Sībawayhi pose explicitement le prédicat d’inégalité qualita-
tive entre les productions langagières comme principiel, dans la mesure
où il le pose dans la Risāla. Or poser, dans une théorie, la question de
la valeur des productions langagières requiert un préalable : que toute
production langagière puisse être identifijiable dans les termes de la théo-
rie grammaticale, en tant qu’unité ayant statut linguistique, fût-elle pré-
cisément mal formée. Construire le concept du grammatical, c’est donc
construire au préalable un domaine considéré comme celui de l’unité lan-
gagière susceptible d’acquérir telle ou telle valeur, que cette unité soit la
phrase, l’énoncé, le mot, ici le kalām. Et, en efffet, le chapitre VI qui dit la
valeur fait suite, dans l’ordre de l’exposé, au chapitre III qui pose la rela-
tion de prédication, constitutive du kalām11. Son titre est, par ailleurs, bien
clair : c’est bien le kalām, que nous avons traduit ici par « énoncé, » qui
est dit droit ou déviant. Cette démarche fonde, dans l’ordre de la gram-
maire, l’instabilité de l’irrecevable, recevable, dès lors, comme « vilain, »
« déviant, » en fonction des lois de construction de l’unité linguistique.
L’incorrect (khaṭaʾ) devient du kalām « vilain, » du kalām « non droit, »
ou du kalām « déviant. » Et la même séquence fait, du point de vue de la
loi, l’objet d’un prédicat global : lam yajuz (cela n’est point permis, n’est
point possible), khaṭaʾ, et est qualifijiée, par ailleurs, d’un prédicat partiel :
« vilain », « pas bon », « non droit » ou « déviant. »12 C’est que « ce qui ne se
dit pas, » antécédent à la distinction syntaxique/asyntaxique, sémantique/
asémantique, se laisse analyser en plusieurs prédicats dès que la théorie
grammaticale tente de répondre, dans ses propres termes, aux questions
suivantes : En quoi et comment cette séquence est-elle mal formée ?
11
Cf. § 5.3.1.
12
Cf. pour lā yajūz analysé ensuite en muḥāl : 199.13 ; 211.2–3 ; pour lā yajūz et lā yastaqīm
111.4–7 ; pour lam yajuz et qabīḥ : 52–53.1–2, etc.
124 georgine ayoub
13
Plusieurs études ont examiné la concordance entre la terminologie attribuée à Khalīl
dans le Kitāb et sa terminologie quand il est cité ailleurs. Pour un bon aperçu sur la ques-
tion, voir Versteegh (1993 : 16 sq.) qui conclut que Sībawayhi reprend, en ses propres ter-
mes, les théories de Khalīl.
14
Voir § 6 pour l’analyse et la traduction de ces exemples.
15
On notera que lā yastaqīm ne s’applique pas ici au kalām mais au mot.
16
Cf. § 4.4.3.
mustaqīm, muḥāl, ḥasan, qabīḥ 125
Le discours déviant (muḥāl) c’est parler pour ne rien dire. Le discours droit
(mustaqīm), c’est parler pour dire quelque chose. L’erreur (khaṭaʾ) c’est parler
pour dire quelque chose que tu n’avais pas l’intention de dire. Le discours vain
(laghw) c’est parler pour dire quelque chose qui ne te concerne pas. Le faux
(kadhib) c’est parler pour dire quelque chose qui trompera (ton interlocuteur).
La comparaison avec le texte de Sībawayhi fait ressortir une diffférence
saillante : alors que la typologie de Sībawayhi est une typologie des énon-
cés fondée sur des critères de recevabilité dont les termes ont une conno-
tation éthique, la typologie de Khalīl semble, en dehors de toute défijinition
du kalām, une classifijication des types de discours à partir de critères éthi-
ques. mustaqīm et muḥāl y sont caractérisés de manière générale, peu
exploitable linguistiquement : pour muḥāl : parler pour ne rien dire17 ; pour
mustaqīm, parler pour dire quelque chose. Toutefois, comme le remarque
Versteegh (1993 : 34) qui commente le passage, mustaqīm et muḥāl évo-
quent l’acception de Sībawayhi. Et cela sous deux aspects, à notre sens :
ils sont présentés comme antonymes et ils qualifijient le contenu du dire et
sa capacité à faire sens et à dire le monde. Ces catégories sont prises dans
une typologie plus générale des discours relative au rapport du locuteur à
son dire (intentionnalité du dire : khaṭaʾ ; légitimité du discours : laghw),
et du rapport du locuteur à l’interlocuteur (kadhib). Kadhib, laghw, khaṭaʾ
sont également utilisés par Sībawayhi, mais en des sens qui nous sem-
blent diffférents. L’acception de Khalīl ne peut aider, non plus, à compren-
dre mustaqīm/muḥāl dans le Kitāb. Hors contexte, rien n’indique qu’elle
se situe au niveau linguistique.
17
Nous comprenons la défijinition de muḥāl de manière diffférente de Versteegh (1993 :
34), qui traduit par : « parler de quelque chose qui n’existe pas ».
18
Pour le sens étymologique du mot laḥn, ainsi que pour ses usages linguistiques, cf.
Fück (1952), Ayoub (2007).
126 georgine ayoub
19
Cf. Troupeau (1976 : 188).
mustaqīm, muḥāl, ḥasan, qabīḥ 127
∞ kadhib ∞ kadhib
ḥasan qabīḥ
2.3.1.3. Il existe une relativité des énoncés les uns par rapport aux
autres eu égard au même prédicat : cela est valable pour ḥusn et qubḥ, non
pour istiqāma et iḥāla. En efffet, une détermination importante du ḥusn
et du qubḥ relevée à juste titre par Carter (2004 : 63), est qu’ils admettent
le comparatif aḥsan/aqbaḥ (meilleur/plus mauvais) ou aqallu ḥusnan
(moins bon . . .)21. En comparaison, la paire mustaqīm/muḥāl n’admet pas
un « plus » ou un « moins. » Un énoncé est mustaqīm ou muḥāl. Il n’est
pas « plus muḥāl » ou « moins muḥāl, » « plus mustaqīm » ou « moins
mustaqīm. » Ce trait s’explique aussi immédiatement si l’on pose que c’est
bien la paire mustaqīm/muḥāl qui trace la ligne de césure décisive entre
correct et incorrect. L’énoncé muḥāl ou jugé non droit (lā yastaqīm) est
« corrompu » et non améliorable. L’istiqāma est la correction initiale, celle
requise comme condition nécessaire mais non sufffijisante, pour qu’il y ait
kalām. Reste à savoir ce qui détermine cette correction initiale.
20
Nous avons trouvé un exemple en 117.19.
21
Selon Troupeau (1976), aḥsan est utilisé 108 fois. aqbaḥ 6 fois : il y a donc une nette
diffférence dans l’emploi des deux termes. Cela est sans doute normal. Après tout, dans
une grammaire, on cherche à améliorer un énoncé. Occasionellement, on dit que cette
manière de dire est encore plus vilaine que telle autre.
22
Cf. par exemple 58.17 ; 127.13, où c’est yaḥsunu wa-yastaqīmu qui est utilisé.
mustaqīm, muḥāl, ḥasan, qabīḥ 129
23
Ces citations seront reprises, traduites et analysées plus bas.
24
Dans cet exemple, la double proposition conditionnelle introduite par man tient lieu
de substantif, comme l’explique Sībawayhi dans le chapitre. Elle fonctionne, en fait, comme
un sobriquet. Littéralement : quel de ceux. . . . i.e. quel homme. . . . ou quel groupe. . . .
25
Cf. 211.3 ; 220.3.
26
Cf. 211.3.
130 georgine ayoub
27
Litt : je suis passé près d’un homme égal avec le néant, i.e. Je suis passé près d’un
homme qui n’est rien.
28
Si tu l’emploies, malgré sa mauvaise qualité, tu assignes le nominatif à al-‘adam.
mustaqīm, muḥāl, ḥasan, qabīḥ 131
ʿasharatin abūhu, et marartu bi-abī l-ʿasharati abūhu ( je suis passé près
d’un homme dont le père a dix enfants) sont qualifijiés en ces termes : yajūzu
ʿalā stikrāh (la suite se dit, bien que détestable) 200.17. Le même énoncé
est taxé de qabīḥ mais néanmoins recevable, en 207.11–12. Mais le cas le
plus exemplaire où l’énoncé peut se dire, reste recevable ʿalā qubḥihi, est,
bien sûr, le cas des licences poétiques29, la poésie étant lieu de contraintes
(mawḍiʿ iḍṭirār). Sībawayhi le pose explicitement dès l’épître. Le chapitre
VII y est consacré : le qubḥ du kalām est toléré en poésie, tant que le kalām
y est droit et non contradictoire :
yaḥtamilūna qubḥa l-kalāmi ḥattā yaḍaʿūhu fī ghayri mawḍiʿihi li-annahu
mustaqīmun laysa fīhi naqḍun. 9.12
. . . Ils [les Arabes] tolèrent la vilaine [qualité] du kalām au point qu’ils met-
traient les vocables dans une place autre que la leur vu que le kalām est droit
et qu’il ne comporte pas de contradiction.
Nous le soulignions ailleurs30, la tolérance a rapport au shādhdh, à l’irré-
gularité, et se tient dans des limites strictes ; l’anomalie ne peut concerner
la rectitude de l’énoncé.
29
Cf. Ayoub (2003 : 44–46), Carter (2004 : 62), Ayoub (2005).
30
Ayoub (2003 : 46) et (2005).
132 georgine ayoub
31
Hārūn atteste al-ẓarīfayni en II.387.
32
Pour la valeur heuristique de cette dernière suite, voir plus bas.
mustaqīm, muḥāl, ḥasan, qabīḥ 133
qu’une suite puisse être améliorée, dans cette théorie ? Car, s’il existe un
qabīḥ et un aqbaḥ, un ḥasan et un aḥsan, cela signifijie que le prédicat
ḥusn/qubḥ est de l’ordre d’un analysable dont les valeurs ne se réduisent
pas à deux. Qu’est-ce qui permet ce « plus » du aḥsan et du aqbaḥ ? Com-
ment est-il repérable ? Existe-t-il une échelle à plusieurs valeurs discrètes
ou s’agit-il d’un continuum ?
3. Lafẓ / Maʿnā
3.1. Acceptabilité
Jusqu’ici, nous avons parlé de correction initiale requise pour istiqāma,
d’incorrection ou d’irrecevabilité absolue pour muḥāl, et d’irrecevabilité
relative pour qabīḥ, sans plus caractériser les critères de recevabilité. Des
linguistes ont distingué, dans la recevabilité, entre l’acceptabilité liée à la
performance, la grammaticalité, qui fait signe à la validité des règles syn-
taxiques et la sémanticité qui fait signe à la correction des règles sémanti-
ques. Une suite correcte mais peu intelligible du fait de sa complexité—des
enchâssements trop nombreux, par exemple—, peut être tout à fait inac-
ceptable. Si l’acceptabilité se fonde sur la performance du locuteur, la
grammaticalité et la sémanticité se fondent sur sa compétence.
On peut écarter d’emblée l’acceptabilité comme fondant un critère de
recevabilité, dans le Kitāb. En efffet, des suites tout à fait complexes et dif-
fijicilement intelligibles avec plusieurs propositions enchâssées, sont jugées
correctes (ṣaḥīḥ), sans autre commentaire :
(2) e ayyu man in yaʾti-nā nuʿṭi-hi nukrimu-hu tuhīnu 353.13
lequel-nom qui si vient -fp ψ- nous donnons-fp ψ -lui tu honores fp-u -lui
tu dédaignes-fp u
Quiconque nous honorons, -des « si l’on vient à nous, nous leur faisons des
largesses »-, tu le dédaignes
3.3. Lafẓ, maʿnā
En fait, plusieurs lectures ont été proposées de la paire mustaqīm/muḥāl
par rapport à ḥasan/qabīḥ. Elles s’accordent généralement à mettre la
paire mustaqīm/muḥāl du côté de la correction sémantique, alors que
ḥasan/qabīḥ est placé du côté de la correction formelle ou structurale.
En somme, le premier ferait signe à la sémanticité, le second à la gram-
maticalité.
Dans la tradition, Abū l-Ḥasan al-Akhfash interprète muḥāl du côté de
la correction sémantique : mā lā yaṣiḥḥu la-hu maʿnan.33 Nous avons vu,
pour partie, l’acception de Sīrafī du muḥāl. Considérée dans sa totalité,
son acception est bien plus générale : elle implique le sens mais ne dit pas
que la violation est sémantique. Nous y reviendrons plus bas.
Dans les études récentes, Carter (1968) discute en détail des critères
de recevabilité. La paire ḥasan/qabīḥ associée au mawḍiʿ, désigne ce qui
est grammaticalement correct/incorrect34. 3 thèses caractérisent istiqāma,
selon Carter (1968) :
33
Hārūn, I, 26 note 1.
34
Carter (1968 : 225–26).
mustaqīm, muḥāl, ḥasan, qabīḥ 135
35
Selon Carter (1968 : 230), muḥāl implique une contradiction grammaticale.
136 georgine ayoub
36
Voir les travaux de J.-C. Milner, en particulier Milner (1978).
mustaqīm, muḥāl, ḥasan, qabīḥ 137
4.2. Qubḥ, lafẓ
Du kalām mustaqīm qabīḥ, le Kitāb donne une défijinition. Elle utilise deux
concepts fondamentaux de la théorie :
wa-ammā l-mustaqīmu l-qabīḥu, fa-an taḍaʿa l-lafẓa fī ghayri mawḍiʿihi. 7.17
Quant au droit et vilain, c’est que tu mettes le vocable en une place qui n’est
pas la sienne.
La traduction, faute de mieux, par « vocable » de lafẓ, a le mérite d’être
la plus neutre et la plus vague possible. On vient de le voir, lafẓ constitue
le premier terme d’une opposition fondamentale, le second terme étant
maʿnā. Cette paire a déjà fait l’objet d’un titre de chapitre dans la Risāla,
le chapitre IV : hādhā bābu l-lafẓi li-l-maʿānī (Du lafẓ au regard des maʿānī).
L’opposition lafẓ/maʿnā rappelle, bien sûr, l’opposition forme/sens et tout
ce qui la redouble et y fait écho dans les grammaires : l’opposition signi-
fijiant/signifijié, expression/contenu, etc. Il n’est pas exagéré de dire que
cette opposition est ce qui, du Kitāb, permet d’en ramasser les fijils. Le
terme lafẓ garde un écho de son sens littéral ; il évoque l’idée d’une exté-
riorité, très sensible dans l’emploi verbal de la racine : lafaẓa : prononcer,
proférer, c’est littéralement jeter ou rejeter au dehors.
Le lafẓ, dans cette citation, est donc ce qui, dans la langue, se laisse
appréhender comme matérialité proférée. Remarquons que Sībawayhi
n’emploie pas ici le terme ḥarf qui est un des termes fondamentaux du
Kitāb. Le terme lafẓ est bien plus indéterminé, dans son acception, que
ḥarf. Alors que ḥarf désigne l’unité linguistique, lafẓ peut désigner une
ou plusieurs unités linguistiques, l’ensemble de l’énoncé ou du texte, un
marqueur grammatical, etc. Il fait signe à ce qui, du langage, est de l’ordre
du sensible.
Qu’en est-il du mawḍiʿ dans : an taḍaʿa l-lafẓa fī ghayri mawḍiʿihi ? waḍaʿa
est proprement « poser » et le terme mawḍiʿ, du fait même de sa for-
me—ou de son schème maf ʿil—, est ce que Sībawayhi appelle justement
ism mawḍiʿ (II,263.12) et les grammairiens ultérieurs ism makān (nom de
138 georgine ayoub
lieu). Aussi bien donc par sa forme que par le sens lexical de la racine,
mawḍiʿ renvoie au topos, à une topique. Il est proprement position, place37.
Il reste néanmoins à savoir ce que, dans cette théorie, précisément, cela
signifijie : s’agit-il d’une position linéaire comme les exemples le suggérent ?
On sait, depuis les travaux de Carter, que mawḍiʿ est un concept clé de
cette grammaire et qu’il est loin de se réduire à la linéarité. Il nous sufffijira
ici de poser que mawḍiʿ défijinit une notion de contexte relativement abs-
trait par lequel l’unité se laisse identifijier par les relations grammaticales
qu’elle entretient avec d’autres éléments de l’énoncé, acquiert une identi-
fijication par autre chose que par sa forme phonique. Ainsi, dans le qubḥ,
le vocable, forme phonique, est mis dans un contexte (forme ou confijigu-
ration relationelle) qui n’est pas le sien. Autant par le concept de lafẓ que
par celui de mawḍiʿ, le qubḥ a donc partie liée à la forme, une forme qui
semble ne pas impliquer le sens.
4.3. Exemples
Et il est de fait que bien des exemples jugés qabīḥ ont rapport au lafẓ, en
tant que le lafẓ est forme qui n’implique pas le sens. Nous en fournirons
trois séries :
4.3.1. La cliticisation
(4) a aʿṭā-hū-nī 335.19
il a donné-lui-moi (pour : il me l’a donné)
b raʾaytu fī-hā iyyā-ka 334.14
j’ai vu dans-elle support acc.-toi (pour : Je t’y ai vu)
c marartu bi-rajulin mukhāliṭin iyyā-hu dāʾun 193.14–15
je suis passé près d’un homme mêlé supp.acc.-lui un mal (Je suis passé près
d’un homme malade)
En (4), le pronom n’est pas « à sa place. » Le clitique de 1ere personne doit
précéder le clitique de 3e personne en (4) a. En (4) b, le pronom objet
n’est pas cliticisé sur le verbe. Néanmoins, ces incorrections n’afffectent
pas le sens de la séquence qui se laisse tout à fait entendre. C’est bien
« mettre le vocable en une place qui n’est pas la sienne » de la Risāla. Relève
37
C’est ainsi qu’il est traduit par Troupeau (1976). Bien que mawḍiʿ ait un statut lin-
guistique afffijirmé, abstrait et relationnel, qui le rapprocherait du terme « position, » plus
employé dans les terminologies linguistiques, nous optons pour « place » car la notion de
mawḍiʿ n’est pas seulement géométrique. Les marqueurs eux-mêmes ont des propriétés
qui font qu’ils ont telle ou telle place (cf. exemples (9)).
mustaqīm, muḥāl, ḥasan, qabīḥ 139
38
Le tamthīl est un exemple « qui ne se dit pas » mais qui est là aux seules fijins de rendre
explicites les relations grammaticales dans l’énoncé. cf. Ayoub (1990).
39
Cf. Ayoub (1991 : 45–50). Pour une présentation de la théorie du ‘amal dans sa dimen-
sion formelle et dans son rapport au ma‘nā, cf. ibid, 45–72 ; pour une présentation de la
théorie dans leur influence subséquente sur la tradition, cf. Baalbaki (2008 : 83 sq.).
140 georgine ayoub
– kāna ne doit pas être séparé des groupes nominaux qu’il gouverne par
un élément (X) gouverné par un autre gouverneur :
(7) kānat zaydan al-ḥummā taʾkhudhuhu 27.9
A X B
était Zayd-acc la fijièvre elle prend (pour : Zayd était pris de fijièvre)
où al-ḥummā est gouverné par kāna, et Zayd est l’objet du verbe taʾkhudhuhu.
4.3. Qubḥ/maʿnā
Néanmoins, force est d’admettre qu’il n’en est pas toujours ainsi du qubḥ,
car les agencements eux-mêmes, le lafẓ en rapport avec le mawḍiʿ, sont
producteurs de sens.
(8) b et c sont jugés du kalām ḥasan, (8) a est jugé qabīḥ. La raison en est
ainsi donnée :
fa-huwa qabīḥun in jazamta wa-laysa wajha kalāmi l-nāsi li-annaka lā turīdu
an tajʿala tabāʿudahu mina l-asadi sababan li-aklihi 400.15–16
Ceci est vilain (qabīḥ) si tu assignes l’apocope [au verbe], et ce n’est pas là la
manière [correcte] de parler des gens car tu ne veux nullement dire que le fait
qu’il se tienne loin du lion est cause qu’il soit dévoré.
C’est bien l’interprétation à laquelle donne lieu l’apocopé qui rend le
kalām qabīḥ. Et Sībawayhi confijirme, deux lignes plus loin, ce rapport du
qubḥ au sens :
wa-innamā qabuḥa l-jazmu fī hādhā li-annahu lā yajīʾu fīhi l-maʿnā lladhī
yajīʾu idhā adkhalta l-fāʾa. 400.19
L’apocope est vilaine ici car elle ne produit pas le même sens que celui obtenu,
si tu introduisais le fāʾ (avant le verbe).
On remarquera que (8) a est absurde au niveau de la vérifijication empiri-
que : il est absurde de penser que le fait de ne pas s’approcher du lion est
cause qu’on soit dévoré par lui. Néanmoins, dans l’ordre de la langue, cet
énoncé n’est pas muḥāl. Il est seulement qabīḥ !
4.3.2. La conditionnelle
L’emploi du marqueur idhā à la place de in donne un énoncé vilain. C’est
là la diffférence entre (9) a, jugé ḥasan, et (9) b, jugé qabīḥ :
(9) a ātī-ka idhā ḥmarra l-busru 315.21
Je viendrai-toi idhā (quand) rougit les-dattes
Je viendrai chez toi quand mûriront les dattes
b *ātī-ka in ḥmarra l-busru 315.21
Je viendrai-toi in (si) rougit les-dattes
La raison en est tout à fait sémantique, relative à la valeur de l’un et l’autre
marqueur quant à la théorie de la détermination :
idhā tajīʾu waqtan maʿlūman . . . in abadan mubhamatun. 315.20–22
idhā advient pour un moment déterminé (connu) . . . in est toujours indéterminé.
C’est bien la valeur des marqueurs in et idhā qui rend (9) b vilain, valeur
qui n’est pas adéquate avec le contenu propositionnel : on sait que les dat-
tes mûriront à tel moment déterminé de l’année. Or in est indéterminé,
142 georgine ayoub
dit Sībawayhi. Nous dirions, dans nos termes, qu’elle induit un parcours,
contrairement à idhā dans l’état de langue du 8e s. On remarquera que ce
cas de qubḥ, tout à fait sémantique, n’infijirme nullement la défijinition du
chapitre VI : in n’est pas à sa place !
4.3.3. La lamentation
Un exemple très clair qui montre que le qubḥ peut avoir une raison séman-
tique ou énonciative, et nullement structurale, ayant rapport aux agence-
ments, est le cas de la nudba (lamentation). Les séquences suivantes :
(10) a wā-rajulāh 281.20
vocatif-homme-acc-h (Ô homme)
b yā rajulāh 281.20
vocatif-homme-acc-h (Ô homme)
sont jugées qabīḥ par Yūnus et Khalīl. Ce dernier en donne la raison
suivante :
wa-qāla l-Khalīlu innamā qabuḥa li-annaka abhamta. a-lā tarā annaka law
qulta wā-hādhāh kāna qabīḥan li-annaka idhā nadabta fa-innamā yanbaghī
laka an tafajjaʿa bi-aʿrafiji l-asmāʾi wa-an takhtaṣṣa fa-lā tubhima li-anna l-nu-
dbata ʿalā l-bayāni. 281.21–24
Khalīl a dit : Cela est vilain car tu n’as donné aucune détermination [au nom].
Ne vois-tu pas que si tu disais : wā-hādhāh (ô celui-ci), cela serait vilain car si
tu te lamentes, tu ne dois te lamenter que par les plus défijinis des noms et tu
dois déterminer le particulier (takhtaṣṣa) en évitant l’indétermination, car la
lamentation doit porter sur du manifeste.
(9) est donc qabīḥ car l’homme sur lequel le locuteur se lamente ne peut
être identifijié. C’est un indéfijini spécifijique non identifijié, qu’aucune pro-
priété ne vient même déterminer. C’est donc une raison sémantique—
l’ibhām (l’indétermination)—et l’impossibilité de construire une référence
appropriée qui est explicitement donnée par Khalīl, et à sa suite, par
Sībawayhi, comme cause du qubḥ.
(11) semble une variante de 6. En fait, la suite, jugée vilaine, n’est pas amé-
liorable. L’explication qu’en donne Sībawayhi semble bien relever des pro-
priétés interprétatives et référentielles du nom, et non point seulement de
la forme, puisque seul le nom peut être qualifijié :
kāna qabīḥan li-annahu waṣafahu fa-jaʿala ḥālahu ka-ḥāli l-asmāʾi. 198.12–13
Cela est vilain car le locuteur a qualifijié ḍārib. Ce faisant, il en a fait un nom.
40
Nous traduisons la lecture de Hārūn : ḥālan li-l-nakira (I, 361.10), qui nous semble plus
adéquate, plutôt que celle de Derenbourg : ḥālan ka-l-nakira.
41
Comme dans nos travaux précédents, nous traduirons ʿamal par gouvernement, en
étant bien conscient que toute traduction est une approximation. Aucun terme, qu’il soit
puisé à la linguistique contemporaine ou à la grammaire traditionnelle, ne rendra exac-
tement la notion. Ce qui importe sont les déterminations du concept de ʿamal, celles qui
mustaqīm, muḥāl, ḥasan, qabīḥ 145
Si ces analyses sont correctes, il s’ensuit qu’il est difffijicile de distinguer des
raisons structurales et des raisons sémantiques dans le modèle du Kitāb :
tout agencement, toute assignation casuelle aboutissant à une interpréta-
tion ou résultant de paramètres énonciatifs. Le ʿamal, les agencements, les
formes, construisent du sens et sont produits par du sens. Si tel est le cas,
le qubḥ ne peut être réduit à la pure forme.
4.3.8. Ḥasan/aḥsan ; qabīḥ/aqbaḥ
Enfijin, l’analyse de ce qui permet le « plus » et le « moins, » c’est-à-dire la
gradation des jugements de grammaticalité, fournit un argument dans le
même sens.
le rapprochent comme celles qui le distinguent des concepts de ces théories. Ce sont ces
déterminations qui doivent demeurer présentes à l’esprit. cf. (Ayoub 1991), Baalbaki (2008 :
83–84).
42
Ayoub (1991 : 67–70).
43
Ibid., 61–67.
146 georgine ayoub
44
wa-ammā « ẓanantu dhāka, » fa-innamā jāza l-sukūtu ʿalayhi li-annaka qad taqūlu
« ẓanantu » fa-taqtaṣiru [kamā taqūlu dhahabtu] thumma tuʿmiluhu fī l-ẓanni kamā
tuʿmiluhu fī l-dhahābi. fa-« dhāka » hāhunā huwa l-ẓannu, ka-annaka qulta : « ẓanantu
dhāka ẓannan ». I, 40/I,13.2–5
mustaqīm, muḥāl, ḥasan, qabīḥ 147
45
Voici un contexte où aḥsan (meilleur) est substitué à ajmal (plus beau) qui est dans
la phrase précédente. Les deux termes sont synonymes.
46
Des diffférences importantes, y compris pour l’analyse, existent entre l’édition de
Hārūn (I,125) et celles de Derenbourg et Būlāq. Le premier présente, par ailleurs, des exem-
ples qui ne sont attestés que par un seul manuscrit. Comme ils ne sont pas essentiels à
notre démonstration, nous les laissons de côté.
148 georgine ayoub
Le verbe ẓanna détermine une place qui le suit. Dans le cas d’un tour
avec ilghāʾ, l’interprétation de cette place doit rester indéterminée.
Les valeurs des énoncés, discutées plus haut, se déduisent, à partir de là.
(14) e est bon parce qu’en l’absence de tout élément lexical, il est clair que
le verbe ẓanna ne gouverne pas. Le tour est immédiatement intelligible.
Tous les autres tours sont faibles et vilains bien qu’il soit spécifijié que (14) a
puisse se dire, du fait de l’interprétation du démonstratif et du pronom
qui est celle-là même du maṣdar. Alors que dhāka, ayant une interpréta-
tion indéterminée, aurait dû être préférable, il serait plus vilain s’il avait
pour valeur le maṣdar, le « plus » se justifijiant par un autre principe de la
grammaire, le principe de hiérarchie concernant le premier et le dérivé47.
On le voit, bien que dans l’ilghāʾ, le fijil directeur de la discussion soit
la question du ʿamal, c’est un autre principe, un principe de sémantique
grammaticale, celui d’une intelligibilité plus grande de l’énoncé, qui déter-
mine la gradation des jugements de grammaticalité.
Un énoncé peut donc être meilleur qu’un autre car, au regard du même
principe, les éléments de langue ne fonctionnent pas de la même manière,
vu leurs propriétés. Autrement dit, il y a de l’hétérogène dans la langue.
Plus les propriétés des éléments sont en accord avec le principe gramma-
tical, meilleur l’énoncé est. C’est dire que le prédicat d’inégalité (meilleur,
moins bon) des énoncés s’articule dans les termes même de la théorie
grammaticale et au regard de celle-ci. Mais c’est dire aussi qu’un prin-
cipe grammatical permet d’explorer les propriétés empiriques des termes.
Dès lors, comparer les énoncés à partir d’une variation que nous avons
appelée minimale48 revêt une valeur heuristique fondamentale ; il y est
systématiquement fait recours dans le Kitāb. C’est bien les propriétés des
éléments et leur concordance avec le principe grammatical, et non la force
du raisonnement grammatical, qui nous semble déterminer le meilleur et
le moins bon. Dans la gradation des jugements de grammaticalité, le choix
des éléments compte.
On pourrait multiplier les exemples. Le principe d’explication serait, à
chaque fois, diffférent ; mais nous retrouverons la confijiguration que nous
venons d’élucider. Ainsi en est-il pour la violation du principe de localité :
la confijiguration où le verbe est séparé de la particule qui le gouverne,
est jugée plus vilaine que celle où le nom est séparé de la particule qui le
47
Pour les hiérarchies des éléments linguistiques dans le Kitāb, cf. Baalbaki (2008 :
113fff ).
48
Ayoub (2010). On se reportera aussi à Baalbaki (2008 : 207–215).
mustaqīm, muḥāl, ḥasan, qabīḥ 149
doivent se ranger les passages en II, 163.10 ; II, 298.20 ; II, 361.20 où il s’agit
de considérations morpho-phonologiques relatives à des formes nomina-
les ou verbales.
Pour nous, ce sens d’istiqāma n’est pas dissocié du premier ; au contraire,
il le confijirme, puisque nous avons posé que l’istiqāma était la correction
initiale, celle sans laquelle il n’y aurait pas de kalām. Néanmoins, comme
l’istiqāma ne porte pas sur le kalām, mais sur l’unité catégorielle, ism ou
fijiʿl, ils ne concernent pas notre propos. En revanche, à chaque fois que
istiqāma porte sur une séquence, même si le terme peut se traduire par
« juste » et quel que soit le tour utilisé, nous avons considéré la séquence
dans notre étude de la notion.
Malgré cette diffférence dans l’usage, d’emblée, dès le titre du chapitre
VI, muḥāl est présenté comme l’antonyme de mustaqīm. cf. aussi 383–384,
déjà cité (an tastaḥīla mustaqīman) ; naqḍ, terme central dans la défijini-
tion de muḥāl est aussi opposé à mustaqīm en 9.12 (li-annahu mustaqīmun
laysa fīhi naqḍun) ; muḥāl est opposé à ḥasan, en 219.18 (mā yuḥālu minhu
wa-mā yaḥsunu).
Mais un troisième terme vient compliquer cette fijigure : celui de lā
yastaqīm. Nous avions retenu, au § 3, que muḥāl était l’irrecevabilité abso-
lue. En est-il de même de lā yastaqīm ? Qu’est-ce qui distingue muḥāl de
lā yastaqīm ? Comment se situent ces concepts les uns par rapport aux
autres ?
49
Faʿala et sa-yaf ʿalu jouent un rôle privilégié dans les exemples de Sībawayhi. Sur
cette question et d’autres connexes, relatives à l’analyse de la sémantique verbale dans le
Kitāb, on se reportera à Ayoub (à paraître).
50
Wa-ammā l-muḥālu, fa-an tanquḍa awwala kalāmika bi-ākhirihi 7.15
152 georgine ayoub
5.3. Lā yastaqīm
Quel type de violation de règles est qualifijié de non droit (lā yastaqīm) ?
fa-idhā qulta kāna Zaydun fa-qad badaʾta bi-mā huwa maʿrūfun ʿindahu
mithlahu ʿindaka fa-innamā yantaẓiru l-khabara. fa-idhā qulta : ḥalīman,
fa-qad aʿlamtahu mithla mā ʿalimta . . . fa-in qulta : kāna ḥalīmun aw rajulun,
fa-qad badaʾta bi-nakiratin, wa-lā yastaqīmu an tukhbira l-mukhāṭaba ʿani
l-mankūri, wa-laysa hādhā bi-lladhī yanzilu bihi l-mukhāṭabu manzilataka fī
l-maʿrifati. 17.15–18
Si tu disais : kāna Zaydun, tu aurais commencé [ton énoncé] par ce qui est
connu de lui [de ton interlocuteur], comme de toi, et il aurait attendu l’infor-
mation [nouvelle]. Aussi si tu dis : ḥalīman, tu l’aurais informé autant que toi
tu es informé . . . Mais si tu dis : kāna ḥalīmun ou bien rajulun, tu aurais com-
mencé ton énoncé par un indéfijini/non-identifijié. Il n’est pas droit/juste que tu
informes l’interlocuteur à propos de quelque chose qui n’est pas identifijié, et ce
n’est point cela qui le rendra aussi informé que toi.
Tout acte d’énonciation « informatif » (ikhbār), selon ce passage, suppose
une dissymétrie entre locuteur et allocutaire : le locuteur informe son allo-
cutaire de quelque chose que l’allocutaire ne connaît pas concernant quel-
que chose ou quelque être qu’il connaît. Cet acte est « droit » ou « juste »
si l’on peut dire, si, à la suite de l’énonciation, l’allocutaire en sait autant
que le locuteur. Dans la suite hādhā anta, il n’y a aucune information
nouvelle. Dans l’information donnée sur quelque chose de non identifijié,
l’allocutaire ne sait pas sur quoi porte l’information, et l’acte informatif
échoue. Il n’est pas « droit. »
C’est cette loi fondamentale que violent (22) a et c. Elle est ici relative
aux deux protagonistes de l’énonciation dans leur rapport à l’information
contenue dans l’énoncé. C’est pourquoi ces séquences ne sont pas droites.
résulter d’une cause syntaxique, ainsi par exemple un Cas mal assigné dont
ne résulte aucune interprétation acceptable. En somme, le « non droit »
n’a pas trait à la position, mais à des lois de construction du sens plus
élémentaires, plus fondamentales, constitutifs de tout énoncé et réglant
tout acte de communication.
51
Nous nous appuyons pour notre traduction, non pas sur le sens de l’expression dans
les dictionnaires mais sur la glose du Kitāb de ces exemples.
mustaqīm, muḥāl, ḥasan, qabīḥ 159
Quoique impliquant la même agrammaticalité que (17), (23) est plus com-
plexe : le premier verbe est un verbe aspectuel ʿadā qui, selon la glose
de Sībawayhi, garde encore son sens lexical d’« aller au-delà » (mā aʿdū
glosé par mā ujāwizu52, 383.21). Il introduit un verbe principal après an.
Le passage étudie les combinaisons possibles des formes de conjugaison
du verbe principal et du verbe aspectuel, ainsi que leur sens. Toutes les
combinaisons sont possibles :
(24) fs an fp
fs an fs
fp an fs
fp an fp
Bien que aʿdū soit une forme en af ʿal (i.e. une forme préfijixale) dont la
valeur temporelle, selon Sībawayhi, est mā lam yamḍi, donc susceptible
d’exprimer le futur, mā aʿdū an jālastuka ne peut avoir qu’une seule valeur,
celle de passé, glosée par : ay an kuntu faʿaltu dhālika, 383.20. Autrement
dit, le temps de la proposition est celui du verbe principal : jālasa, et non
celui du verbe introducteur. D’où les agrammaticalités jugées muḥāl en
(23), les déictiques contredisant la valeur temporelle grammaticalisée sur
la forme verbale. Dans nos termes, l’ancrage temporel des énoncés est
indécidable car contradictoire.
On le voit, ce qui est considéré ici muḥāl est en total accord avec les
exemples du chapitre 6 (cf. (17)).
52
La glose de Sīrafī le confijirme (Hārūn III, 55. note 2).
160 georgine ayoub
53
Cf. Mosel (1980).
mustaqīm, muḥāl, ḥasan, qabīḥ 161
Tous les cas qui précèdent peuvent être ramenés à un seul : 1 même
élément grammatical a deux valeurs contradictoires. L’interprétation de
la séquence est indécidable.
54
Sībawayhi glose maʿrūf par lā shakka (219.2).
55
Il s’agit bien d’un pronom personnel coréférent et non d’un huwa impersonnel
comme le prouvent les autres exemples : anā ʿAbdullāhi munṭaliqan.
mustaqīm, muḥāl, ḥasan, qabīḥ 163
6.3.2. al-Khalf
(28) b est repris dans une analyse qui se fonde sur les paramètres de la
situation énonciative, et se réclame de Khalīl lequel fait attention à ces
considérations, contrairement aux « naḥwiyyūn à qui peu importe l’arrière
s’ils connaissent le Cas » (mimmā yatahāwanūna bi-l-khalfiji idhā ʿarafū
l-iʿrāba) 219.16. L’arrière (al-khalf ) ici renvoie au lieu où se trouve le locu-
teur au moment de l’énonciation : S’il se trouve derrière un mur et qu’il
dise (28) b, le kalām est bon. Mais s’il est devant son interlocuteur, (28) b
est muḥāl car le locuteur qui veut informer sur le départ de Zayd, par son
usage du pronom huwa, le suppose connu de son interlocuteur et n’a pas
besoin de le lui présenter :
wa-innamā dhakara l-Khalīlu raḥimahu llāhu hādhā li-taʿrifa mā yuḥālu
minhu wa-mā yaḥsunu, fa-inna l-naḥwiyyīna mimmā yatahāwanūna bi-l-khalfiji
idhā ʿarafū l-iʿrāba. wa-dhālika anna rajulan min ikhwānika wa-maʿrifatika
law arāda an yukhbiraka ʿan nafsihi aw ʿan ghayrihi bi-amrin fa-qāla : anā
ʿAbdullāhi munṭaliqan wa-huwa Zaydun munṭaliqan, kāna muḥālan, li-an-
nahu innamā arāda an yukhbiraka bi-l-inṭilāqi wa-lam yaqul huwa wa-lā anā
ḥattā staghnayta anta ʿani l-tasmiyati, li-anna « huwa » wa « anā » ʿalāmatāni
li-l-muḍmari, wa-innamā yuḍmiru idhā ʿalima annaka qad ʿarafta man yaʿnī.
illā anna rajulan law kāna khalfa ḥāʾiṭin, aw fī mawḍiʿin tajhaluhu fīhi wa-
qulta « man anta ? » fa-qāla « anā ʿAbdullāhi munṭaliqan fī ḥājatika, » kāna
ḥasanan. 219.15–21
al-Khalīl, Dieu l’ait en sa miséricorde, n’a mentionné cette question qu’afijin que
tu saches ce qui en est déviant et ce qui en est bon, car les naḥwiyyūn négli-
gent l’arrière s’ils connaissent le Cas. Ainsi, si un homme de ta connaissance
voulait t’informer de quelque chose le concernant ou concernant autrui et qu’il
te disait : « je suis Abdallah, en route » et « il est Zayd en route, » cela serait
muḥāl, car il veut t’informer sur son départ et dès qu’il a dit « huwa » (il) ou
« anā » (moi), tu t’es passé du nom propre, car « huwa » et « anā » sont les
signes d’un implicite. Et il n’a recours à l’implicite que s’il sait que tu sais de qui
il parle. Toutefois, si un homme était derrière un mur, ou dans un lieu [donné],
que tu ignorais qu’il y était et que tu dises : « Qui es-tu ? » et qu’il réponde :
« anā ʿAbdullāhi munṭaliqan fī ḥājatika » ( je suis Abdallah partant pour ton
afffaire), cela serait bon.
Comme il est clair dans ce passage, ce sont donc ce que nous appelons les
coordonnées de la situation énonciative qui sont décisives pour juger de
la qualité de (28) b, plus précisément les coordonnées spatiales lesquelles
déterminent le savoir du locuteur quant à l’identité de son interlocuteur.
7.1. iḍmār an
L’énoncé (31) est loin de ne rien signifijier. Il est tout à fait correct :
(31) jiʾtuka li-tafʿala 362.1
je suis venu-toi pour-tu fais (fp-a)
Je suis venu afijin que tu fasses
Ce qui rendrait néanmoins le kalām muḥāl est de ne pas sous-entendre
‘an, et ce pour une raison proprement syntaxique, à savoir que li- assigne
le Cas indirect aux noms, et non le naṣb aux verbes, comme le fait an :
law lam tuḍmirhā [an] la-kāna l-kalāmu muḥālan li-anna l-lām wa-ḥattā
innamā taʿmalāni fī l-asmāʾi fa-tajurrāni wa-laysatā mina l-ḥurūfiji llatī tuḍāfu
ilā l-af ʿāli fa-idhā aḍmarta an ḥasuna l-kalāmu. 362.2–3
Si tu n’avais point sous-entendu an, l’énoncé (kalām) aurait été déviant, car
le lām et ḥattā ne gouvernent que les noms et ils leur assignent le jarr. Ils
ne comptent pas parmi les particules qui s’annexent au verbe. Aussi si tu
sous-entends an, le kalām devient bon.
7.3. Gouvernement et muḥāl
Sous le chapitre de ḥattā se présente une suite dont l’interprétation est
absurde. Mais ce qui est dit muḥāl, c’est le gouvernement du verbe (c’est
d’assigner la désinence -u à fp), non l’interprétation que la désinence
induit ; Une autre désinence (fp-a) est qualifijiée de muḥāl dans ce contexte.
Dans les deux cas, le muḥāl est de nature syntaxique :
(32) a sirtu ḥattā adkhulu-hā wa-taṭluʿu l-shamsu 372.4
j’ai voyagé jusqu’à ce que j’entre fp-u-elle et se lève-fp-u le soleil
J’ai voyagé jusqu’à tant/ si bien que j’y suis entré et que s’est levé le
soleil.
b sirtu ḥattā adkhulu-hā wa-taṭluʿa l-shamsu 372.5
j’ai voyagé jusqu’à ce que j’entre fp-u- elle et se lève-fp-a le soleil
J’ai voyagé jusqu’à tant/ si bien que j’y suis entré et [afijin] que se levât le
soleil[/jusqu’au moment où s’est levé . . .]
c sirtu ḥattā adkhula-hā wa-taṭluʿa l-shamsu 372.5
j’ai voyagé jusqu’à ce que j’entre fp-a-elle et se lève-fp-u le soleil
J’ai voyagé jusqu’au moment où j’y suis entré et que le soleil s’est levé.
Ces suites présentent, après ḥattā, une coordination entre deux propo-
sitions, dont la première a un verbe fp à flexion -u en (32) a et b57. Vu
la contrainte de symétrie qui pèse sur les éléments coordonnés, le 2d
verbe doit donc être aussi un fp-u, ainsi en (32) a. Or, si le verbe après
ḥattā est à flexion -u, cela signifijie que le procès qu’il désigne est la consé-
quence du procès indiqué par le verbe qui précède ḥattā. Cela aboutirait à
l’interprétation selon laquelle c’est la marche du locuteur qui serait cause
du lever du soleil (wa-lam yakuni l-raf ʿu li-anna ṭulūʿa l-shamsi lā yakūnu
an yuʾaddiyahu sayruka 372.5–6). Le raf ʿ est donc muḥāl ( fa-hādhā
56
Cf. Ayoub (1991 : 52–54).
57
On se reportera à Talmon 1993 pour une étude de ḥattā dans le Kitāb.
168 georgine ayoub
8. Muḥāl /qabīḥ
8.1. la détermination
Dans un chapitre où il discute du Cas des noms qui sont des « qualifiji-
catifs » (ṣifāt) sans néanmoins ressembler au nom d’agent ( fāʿil) et qui
fonctionnent normalement comme des noms substantifs, tels abū ʿashara
(père de dix [enfants]) en (33), le Kitāb présente le paradigme suivant :
(33) a marartu bi-rajulin abī ʿasharatin abū-hu 200.12–13
je suis passé près d’un homme-gén père-gén dix-gén père-nom-lui
Je suis passé près d’un homme dont le père est père de dix enfants
b marartu bi-rajulin abū ʿasharatin abū-hu/ b’ bi-ʿAbdillāhi abī l-ʿasharati
abū-hu
je suis passé près d’un homme-gén père-nom dix-gén père-nom-lui/
père-nom les-dix-gén
Je suis passé près d’un homme père de dix dont le père est père de dix
enfants
c marartu bi-rajulin ḥasanin abū-hu 200.13
je suis passé près d’un homme-gén beau père-nom-lui
Je suis passé près d’un homme dont le père est beau/bien
En (33) a, abī ʿasharatin fonctionne comme un gouverneur ( fijiʿl,ʿamal)
assignant le nominatif à abūhu. C’est un qualifijicatif, similaire en cela à
ḥasan dans le tour (33) c (200.13). Sībawayhi lie cette possibilité à une
condition relevant de la référence : que abū ʿasharatin ne réfère pas à des
individus spécifijiques et identifijiés (qawman bi-aʿyānihim qad ʿarafahum
al-mukhāṭabu 200.17). S’il y réfère, la séquence est muḥāl. S’il n’y réfère
pas, la séquence se dit, bien qu’elle soit détestable (idhā lam yakun shayʾan
bi-ʿaynihi yajūzu ʿalā stikrāhin). Si abū ʿashara désigne des individus spé-
cifijiques et identifijiés, le seul Cas possible qu’il peut porter est le nomi-
mustaqīm, muḥāl, ḥasan, qabīḥ 169
9. Muḥāl kadhib
10. Conclusions
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AN AFRIKAANS FOOTNOTE TO THE HISTORY OF ARABIC GRAMMAR:
SHEIKH ISMAIL GANIEF’S GRAMMAR OF ARABIC (CA. 1958)1
Kees Versteegh
Since the middle of the 17th century, there has been a thriving Muslim
community in South Africa. The fijirst Muslims to arrive in the Cape Col-
ony were free people from Malaysia and the Indonesian archipelago, the
so-called Mardijckers; they were joined by deportees and political exiles
from the Dutch East Indies. At a later stage, larger numbers of Muslims
were brought in as slaves and labourers from India and South Asia. In
addition, many members of the Black community in South Africa con-
verted to Islam. Collectively, the Muslims in the Cape were sometimes
called ‘Cape-Malays,’ although the majority of them had no connection
with Malaysia at all.2 By the 19th century a rich scholarly tradition had
been established in the Muslim communities, initially based on texts
written in Arabic and/or Malay.3 In the second half of the 19th century,
however, many scholars started to write their treatises in Afrikaans, often
transcribed in Arabic script.
Afrikaans is a variety of the Dutch language that was brought by the
colonists who founded the Cape Colony in 1652. Their language was taken
over in creolized form by some of the inhabitants, who spoke Khoisan or
Bantu languages. Although Afrikaans was the language variety spoken by
the White and part of the Black population, Dutch remained the standard
language of the Cape Colony until 1925, when Afrikaans was recognized
as an offfijicial language. There is a fijierce controversy, fuelled by ideological
considerations, about the extent to which this standard form of Afrikaans
is based on the creolized variety or represents a somewhat modifijied ver-
sion of the Dutch language.4
1
I wish to thank my former student Iris Hoedemaekers, who collected a large number of
photocopies of Arabic-Afrikaans literature during her stay in South Africa in 2005, among
them the text of the grammar analyzed in the present article. In her M.A. thesis, Hoede-
maekers (2006) presented an analysis of the writing system and the language of these
works, see also Hoedemaekers and Versteegh (2009). I also thank my former colleague
Abdulkader Tayob, now professor at University of Cape Town for helping me to procure
some of the literature for this article and for his enthusiastic support of this research.
2
On the use of this label in the Cape Colony, see Stell (2007: 90, 93); Stell et al. (2007:
291–293).
3
Davids (1980).
4
Valkhofff (1972); Van Rensburg (1989).
178 kees versteegh
5
Stell et al. (2007: 293).
6
Tayob (1999: 108–110).
7
Stell (2007: 115–116).
8
Stell et al. (2007: 295–296); Hoedemaekers (2006).
9
Davids (1991).
arabic grammar in afrikaans 179
that in the text presented here, the fāʾ with three superscript dots tran-
scribes Afrikaans w, whereas v is represented by normal fāʾ.
The notation of the vowels presented a complicated problem for the
writers of Arabic-Afrikaans, since Afrikaans has a large inventory of vow-
els.10 The solution they chose was to vocalize the texts throughout, using
various combinations of vowel signs and glides to represent those vow-
els that do not exist in Arabic. There was considerable variation in the
orthography used, partly because there was no standard form of Afrikaans
as yet, and partly because writers tended to devise their own system of
transcription. For a list of the vowel signs in the grammatical treatise pre-
sented here see Table 1.11
10
Ibid.
11
From Hoedemaekers and Versteegh (2009: 291).
180 kees versteegh
When Cape Afrikaans was written using the Roman alphabet, the system
of transcription chosen to represent the Arabic names and loanwords
was based entirely on pronunciation and used the rules of Dutch spelling.
Thus, for instance Arabic /u/ was mostly represented by oe, /ḥ/ by g, as
in the name Mogamat (Muḥammad), and /gh/ by qh, as in loeqha (lugha).
Most of the literature in Arabic-Afrikaans concerned religious topics. A
list of the extant literature, containing more than seventy-four treatises,
is given by Kähler,12 with additions by Davids.13 This list shows that from
the earliest examples (van Selms 1953) till the last products of this Arabic-
Afrikaans literature in the fijirst half of the 20th century, the vast majority
of the works was devoted to religious matters. There are exceptions, but
these are few and far between. One example is an election pamphlet from
1872, which shows that Arabic-Afrikaans was indeed used as a practical
language for everyday life and was not restricted to the school curricu-
lum.14 It is very well possible, and indeed probable, that there were more
examples of this non-religious use of the language, but these have disap-
peared or are still awaiting discovery in one of the many personal archives
in the Cape.
Along with the core religious sciences, published writings in Arabic-
Afrikaans also dealt with some of the ancillary Islamic sciences, such
as grammar or recitation (tajwīd). One author who was prolifijic in pub-
lishing such works composed the grammatical treatise presented in this
paper. The author’s name on the title page is Ismāʿīl b. Muḥammad Ḥanīf
al-Azharī; he was commonly known as Sheikh Ismail Ganief Edwards and
lived from 1908 till 1958.15 His English surname probably came from one
of his ancestors, who may have taken the name of his employer after the
abolition of slavery in the Cape Colony; Sheikh Ganief did not use it when
writing in Arabic.
After his initial training in a Cape Town madrasa and later in a public
school, he studied in Mecca from 1923 till 1924, but left the city for Egypt
when Wahhabi rule was established.16 From 1924 till 1931, he studied at the
Azhar University in Cairo, where he obtained his M.A. in Islamic studies.
Upon returning to Cape Town, he held various teaching positions and
became imam at the Nur al-Islam Masjid in Bo-Kaap in Cape Town.17
12
Kähler (1971).
13
Davids (1990, 1993); see also Haron (1996; 1997).
14
Hoedemaekers (2006: 75–77).
15
Ebrahim (2004).
16
Ibid., 84–86.
17
Ibid., 102–119.
arabic grammar in afrikaans 181
Sheikh Ismail Ganief left behind more than thirty works written in Ara-
bic-Afrikaans, some of them translations, but also original compositions.18
He published treatises on fijiqh and kalām, collections of ḥadīth, collections
of khuṭab, burial rituals, the celebration of the Prophet’s mawlid, recita-
tion, marriage and divorce law, pilgrimage, tafsīr, and ethics. His fijirst and
largest work, al-Muqaddima al-Ḥaḍramiyya, a compendium of Shāfijiʿi fijiqh,
was published in Cairo in 1928. His last published work is the grammati-
cal treatise discussed in the present article, one of a series of textbooks
for the teaching of Arabic, which also include a small dictionary and a
conversation manual for pilgrims traveling to Egypt and Saudi-Arabia.
The grammar of Arabic is intended for speakers of Afrikaans and con-
stitutes one of the last examples of Arabic-Afrikaans literature. The text
is handwritten and was probably multiplied by cyclostyle. The title page
mentions in a print letter “[Kaapstad] [ca. 1948],” i.e. Cape Town, possibly
an addition by the archive or library. The treatise consists of two parts,
the fijirst concerned with mabādiʾ al-lugha al-ʿarabiyya, the second with
al-qawāʿid al-naḥwiyya.
The fijirst part of the grammar is entitled Nayl al-arab fī lughat al-ʿArab,
transcribed in Latin letters on the title page as Nailoel ‘arabie fee loeqhatiel
‘arabie, and translated in Afrikaans as Handboek van Arabies en Arabiese
grammatica and in English as Handbook of Arabic and Arabic grammar. It
consists of a few short chapters in which fijirst the letters and then the dif-
ferent terms of Arabic grammar are explained briefly. Pp. 11–30 contain an
alphabetical list of Arabic verbs with their Afrikaans equivalent, followed
by a thematic vocabulary with example sentences.
The second part is entitled al-Qawāʿid al-naḥwiyya li-tadrīs al-lugha
al-ʿarabiyya, transcribed as Al Kawaa’iedoe ’n-nahweeyatoe lie tadriesie
’l-loegatiel-’arabeeyatie, and translated in Afrikaans as Die grammatiese
beginsels vir die onderrig van die Arabiese taal and in English as The gram-
matical principles for the teaching of the Arabic language. This part is
more directly concerned with grammatical rules and deals with the entire
grammar of Arabic. The grammatical defijinitions and rules are explained
in Arabic, which is translated sentence by sentence, sometimes word by
word, into Afrikaans.
At times, the translation is very literal, even to the point where the
particle fa-, whenever it occurs in the Arabic text is represented by a
redundant nou ‘now, then’ in the Afrikaans text; likewise, inna is always
18
Ibid., 132–151.
182 kees versteegh
translated with waarlek ‘indeed’. The Arabic verb-fijirst word order is sim-
ply taken over in Afrikaans, even though it is incorrect. In some cases, it
is obvious that the author simply replaces the Arabic words with Afri-
kaans words, especially in relative sentences, where the Arabic ʿāʾid (bihi)
is repeated in Afrikaans (met hom):
fa-l-mubtadaʾ ism ubtudiʾa bihi l-jumla
nou di mubtadaʾ is een isem wat di jumla met hom bagin wort
“The mubtadaʾ is an ism with which the jumla is started [lit. which the jumla
is started with him” (II, 24.2–3)
The question to consider here is whether the Arabic text was taken over
from an Arabic source by Sheikh Ismail Ganief, or written by himself and
then translated into Afrikaans. The author was known for his creativity in
composing texts and for opposing authors who simply copied the Arabic
texts. In this respect, he followed the standards set forth by his teachers at
the Azhar University, like Mahmud Shaltut and Rashid Rida, who followed
the reformist ideas of Muḥammad ʿAbduh and were very much in favour
of freeing themselves from the shackles of taqlīd.19 His approach difffered
from that of most of the other Muslim authors in the Cape community.
That Sheikh Ganief regarded himself as the original author of his work
seems to be implied by the Arabic title page of the Nayl, where he calls the
grammar his taʾlīf (establishing his authorship with the additional remark
ḥuqūq iʿādat ṭabʿ hādhā l-kitāb maḥfūẓa li-l-muʾallif ).
Another reason for assuming that he regarded himself as the author
is that he explicitly mentions his didactic aims. Thus, for instance, he
explains in the fijirst part (I, 3.13–17) that he will deal with the pronouns
and the nouns here, rather than in the grammatical part later on, because
he wishes the beginners to become acquainted with grammar gradually,
starting with what is essential, and progressing gradually to more compli-
cated issues.
The reason why I speak about ḍamīr precisely here in the fijirst part of the
book, and not about the other species of ism, is that the knowledge of how
to attach the ḍamāʾir to the ism that is manifest and to the fijiʿl is necessary
for the beginner; without this, he is unable to translate any sentence cor-
rectly. (di rede wat ek spesiaal net praat hier in di eeste part fan di kitaab op
di ḍamīr en nie op di andre soorte fan di isem nie dier di gawetenskap hoe om
aan te las di ḍamāʾir an di isem wat openbaar is en an di fijiʿl is nootsaaklek fijir
di begener dier sonder det is hei onbekwaam om een sin reg te fertaal)
19
Ibid., 90–98.
arabic grammar in afrikaans 183
This seems to suggest that he determined the order of the materials rather
than slavishly adhering to the source he was translating. Nonetheless, it
turns out that he did indeed translate an existing treatise. Not surpris-
ingly, he did not follow any of the grammatical models that were used at
this time for the description of Dutch and other European languages. The
teaching of Arabic in the Muslim community in South Africa was closely
related to that in the Arab world and, given the orientation of the South
African Muslims and the initial use of Malay in the local madrasas, also to
that in the Malay world. The traditional method of teaching Arabic in the
Malay-speaking world consisted in the translation of Arabic grammatical
treatises. The teacher translated an entire Arabic text into Malay sentence
by sentence, while the student wrote this translation between the lines
of the Arabic text. No understanding of grammatical rules was involved
here,20 just the memorization of the text.
In the 19th century, a new method of teaching was introduced, the
so-called ‘Meccan’ method.21 In this system, the students fijirst received
lessons in spelling, and then progressed to the elementary terms and the
rules of inflection. Next, they learned the rules of grammar, exemplifijied by
sentences that had to be parsed. This method was fairly progressive in that
the students actually learned about Arabic grammar rather than simply
learning a text by heart, and understanding it through a literal translation.
There is some information on the kind of Arabic treatises that were used
in Indonesia at the time22 and that are still in common use in Indonesia
in the curriculum of the pesantren schools.23 The most popular texts were
the Taṣrif ʿIzzī by ʿIzz al-Dīn al-Zanjānī (d. 660/1262); the ʿAwāmil al-miʾa
by ʿAbd al-Qāhir al-Jurjānī (d. 471/1078); the Marāḥ al-arwāḥ by Aḥmad b.
ʿAlī b. Masʿūd (d. before the beginning of the 8th/14th century);24 and of
course the Ājurrūmiyya by Ibn Ājurrūm (d. 723/1323) and the Alfijiyya by
Ibn Mālik (d. 672/1274), as well as the numerous commentaries on these
last two works.
The ‘Meccan’ method was in line with a larger trend in the Malaysian
world, to move away from the traditional manuscript tradition and the
passive learning of Arabic towards the active reading of newly printed
Arabic books, whose availability may be seen as a sign of modernity.25
20
Kaptein (2000: 333).
21
Drewes (1971).
22
Ibid.
23
van Bruinessen (1990).
24
Cf. Åkesson (2001: 7–8).
25
Lafffan (2008).
184 kees versteegh
Some Malay scholars even wrote manuals of Malay grammar, the most
famous one being the Bustān al-kātibīn and the Kitab pengetahuan bahasa
by Raja Ali Haji (ca. 1809–ca. 1872). He wished to teach his students to
write Malay correctly and for this purpose wrote elementary textbooks in
Arabic and Malay, using the model of Arabic grammar in both.26
In the Arab world, an even more revolutionary change in teaching
grammar took place at the end of the 19th century, when modern text-
books were introduced to replace the traditional treatises, at least in pri-
mary and secondary schools. During his studies in Mecca and at the Azhar
University, Sheikh Ganief must have become acquainted with this new
graded approach to teaching grammar and with the new didactic materi-
als that had been developed. Thanks to a piece of fijirsthand evidence, we
can even trace the exact source for his own grammar. In 1921, the Dutch
consul in Jeddah, Emile Gobée, wrote a report about the new school cur-
riculum that was introduced in the Hijaz.27 He describes the curriculum
and the exams that were taken in Jeddah in 1918–1920, and notes that
the traditional texts for the study of grammar, the Ājurrūmiyya and the
Alfijiyya, had been replaced by a more recent text, the Qawāʿid al-lugha
al-ʿarabiyya by Ḥafnī Bak Nāṣif and others.28
According to the introduction to the Qawāʿid, this book had been printed
originally in Cairo as two textbooks for secondary schools, one about
grammar by Ḥafnī Bak Nāṣif, Muḥammad Bak Diyāb, Muṣṭafā Ṭumūm,
Maḥmūd Afandī Ghamr, and the second about rhetoric, by the same
authors (except for the fourth author who had been replaced by Sulṭān
Bak Muḥammad). The grammar book was approved by the inspectorate
for the secondary schools in 1309 A.H., with the support of the Sheikh al-
Azhar. The second part was approved by the inspectorate in 1892. When a
fourth year was added to the secondary school curriculum in 1905, the two
parts were slightly revised and printed together that same year in Cairo
under the title Kitāb Qawāʿid al-lugha al-ʿarabiyya li-talāmīdh al-madāris
al-thānawiyya.
That this was the source used by Sheikh Ganief in his grammatical
textbook is immediately obvious from the defijinitions he gives at the
beginning of the second part (II, 1–2). ‘Grammar’ is defijined as al-naḥw
qawāʿid yuʿraf bihā aḥwāl awākhir al-kalimāt al-lugha [sic!] al-ʿarabiyya.
This defijinition is almost identical to the one with which the Qawāʿid
26
See Kaptein (2000).
27
van Bruinesse (1990).
28
Gobée (1921).
arabic grammar in afrikaans 185
29
Carter (1981: 6.8–9).
30
Carter (1981: 12).
31
Ibid., 14–34.
186 kees versteegh
al-Fārūq sanatan wa-shahrayni ‘the army of Islam laid siege to the city of
Alexandria for one year and two months during the caliphate of ʿUmar’
(II, 44.20) to illustrate the parsing process. The procedure in itself is not
unknown in the Arabic tradition, but is usually applied to verses from
the Qurʾān. On the other hand, there are defijinitely cases where he has
borrowed his examples from the Qawāʿid. In the chapter on tawkīd, for
instance, the examples from the Qawāʿid (28–29), qadima qadima l-ḥājj;
al-ḥaqq wāḍiḥ wāḍiḥ; naʿam naʿam; ṭalaʿa l-nahār ṭalaʿa l-nahār; aktub
anā; kunta anta l-raqība ʿalayhim, have been copied faithfully in the Nayl
(II, 38; instead of nahār he uses fajr). As for the thematic vocabulary in the
fijirst part and the parsing exercises in the second part, these seem to con-
sist of exercises he invented for the practical teaching of Arabic. The sen-
tences to be parsed, such as tamurr al-furaṣu marra l-saḥāʾibi l-sāijirati ‘the
occasions pass like the passing of the traveling clouds’, al-ikhwānu zīnatun
fī l-rakhāʾi ‘brothers are an ornament in prosperity,’ biʿtu kulla amlākī illā
ʿishrīna kitāban ‘I sold all my possessions except for twenty books’ (Nayl II,
47–48) look like proverbs or made-up examples, not necessarily drawn
from any specifijic source.
The dependence on the Qawāʿid is also clearly visible in the order in
which the various parts of grammar are treated (Table 2). The order of
topics matches almost exactly that in the textbook by Ḥafnī Bak Nāṣif
and his co-authors, in particular the fact that the grammar starts with
the treatment of the verb, whereas the traditional order in grammatical
treatises follows the order of the parts of speech, fijirst the nouns, then
the verbs, and fijinally the particles. The presentation of morphology is
mixed with that of syntax, so that for instance all constructions involving
nouns are dealt with under the heading of the noun. The general category
of tawābiʿ in the Nayl includes adjectives, coordination, apposition and
emphasis, just like the arrangement in the Qawāʿid.
Table 2 (cont.)
The book is not simply a copy of the Qawāʿid, however. The author repro-
duces only the essential rules and leaves out the more complicated con-
structions. It is, of course, possible, that there circulated simpler versions
of the Qawāʿid for the earlier years of secondary schools, which could have
served as his source, but since these are not available, it is impossible to
check whether the graded method the authors of the Qawāʿid advocate
extended to elementary textbooks for the lower grades.
188 kees versteegh
Even though the Nayl was therefore not an original work by Sheikh
Ganief, he deserves praise for the initiative he took in adapting the Arabic
sources for a non-Arabic audience. His didactic qualities are clear and he
transformed this Arabic textbook into a suitable textbook for his South-
African students. The use of Afrikaans, although it had become customary
in Muslim scholarship in South Africa, still took a lot of efffort. For an Afri-
kaans description of Arabic, a host of technical terms had to be coined,
and since there are no known examples of any predecessors one has to
assume that most of these technical terms were his own doing. What
strikes one immediately, apart from the exotic character of the Arabic
script to represent Afrikaans, is the use of Arabic loanwords, most of them
integrated syntactically, sometimes even morphologically in Afrikaans.
The use of these loanwords is not limited to grammatical terminology,
since they are found everywhere in Cape Afrikaans writings, especially for
religious notions.32 To quote a few examples: af ʿāl is translated with fijiʿls
‘verbs,’ i.e., the singular of the Arabic term is used with an Afrikaans plu-
ral ending -s (I, 10.7). Likewise, one fijinds mithāls ‘examples’ (II, 18.5) and
isems ‘nouns’ (II, 41.10), and, with another Afrikaans plural ending, kitāpe
‘books’ (II, 48). On the other hand, di ḥurūf ‘the letters’ (I, 1.12) is used with
an Arabic broken plural. In some cases, the Arabic nouns are used with
verbal prefijixes, as in wat ga-iʿrāb wort ‘that which is declined’ (II, 14.11)
with the prefijix of the past participle, or they are used as an infijinitive, e.g.
hoe om te iʿrāb ‘how to decline’ (II, 43.1). Compounds with Arabic loan-
words are also found, e.g. kitaapverkoper ‘bookseller’ (I, 39, left column 7),
or jāʾizskap ‘permissibility’ (II, 38.2).
The integration of loanwords is not restricted to those borrowed from
Arabic, but also applies to those adopted from English. The interference
from English, not only visible in the use of English loanwords, but also
in the use of prepositional idioms and perhaps even in the word order,
“points to all-purpose code-switching from Afrikaans to English among
the Cape Malay community at the time of the author’s writing.”33 In the
vocabulary in part I we fijind, for instance, for ḥikma the word wisdom (I,
41, right column 4); for fī l-safar the translation in di trefel lit. ‘in the travel’
is given (I, 41, left column 12); and the usual translation of maʿnā is meen-
ing (I, 9.3). Other examples of English loanwords include: difrent patrone
‘diffferent patterns’ (I, 1.10); in di eeste part ‘in the fijirst part’ (I, 3.14), eidar
32
See Kähler (1971: 199–202).
33
Stell et al. (2007: 299–300).
arabic grammar in afrikaans 189
‘either’ as translation for immā (II, 13.11); mesteik ‘mistake’ (II, 18.19), oder
‘order’ (II, 19.19), and ekspelenasi ‘explanation’ (II, 43.11).
In other varieties of Cape Afrikaans, Malay loanwords often occur,34
but at the late stage when Sheikh Ganief wrote his grammar book for
use in the schools, the knowledge of Malay among the Muslim com-
munity had dwindled, and the language of the madrasa had already
shifted to Afrikaans. Accordingly, Malay loanwords were used much
less in writing.35 Some Malay loanwords, however, had become so cur-
rent in the lexicon, that they were preserved even when the speakers no
longer used Malay. Examples are bayang ‘many’ (II, 13.7), baca ‘to read’
(II, 43.12), and pisangs for ‘bananas’, with an Afrikaans plural ending
(I, 35, right column 15).
The use of English, Malay, and Arabic loanwords in the language of
Sheikh Ganief’s writings is consistent with the variety of Cape Afrikaans
that was current at the time of the author, and that is still spoken by
Muslims today.36 In some cases, it is not entirely clear, whether he writes
his own idiolect, for instance, when he omits the indefijinite article, as in
is foorbeeld instead of is een foorbeeld (I, 7.12). But the majority of the lin-
guistic features of his language are attested from other writings and must
therefore be part of the general structure of Cape Afrikaans. In the fijield
of phonology, for instance, we fijind lat for dat ‘that [conjunction]’ (e.g., II,
15.6); the prefijix ga- in the past participle rather than ge-,37 e.g. gagee ‘given’
(II, 48.4; Standard Afrikaans gegê, Standard Dutch gegeven); dj for j,38 e.g.
djaar for jaar ‘year’ (I, 38 left column 15), djou ‘you’ instead of jou (II, 13.7);
further the elision of r in words like eeste (Afrikaans eerste) ‘fijirst.’39
Morphologically, the language of Sheikh Ganief’s writings is character-
ized by a creative use of neologisms with the help of Dutch/Afrikaans
derivational sufffijixes. Stell gives some examples of such neologisms, such
as maakloon ‘creation; creator’ (from Afrikaans maak ‘to make’).40 In the
case of grammatical terminology, we fijind, for instance pleklek for (iʿrāb)
maḥallī, which can hardly be regarded as an existing Afrikaans/Dutch
34
Kähler (1971: 47–64).
35
Cf. Stell et al. (2007: 299).
36
Ibid.
37
Ibid., 296.
38
Ibid., 297.
39
Ibid., 297.
40
Stell (2007: 101–102).
190 kees versteegh
word (< plek ‘place’; II, 40.19) and wereksloon ‘verbal action’ (< wer(e)k
‘work;’ II, 27.14).
Syntactic features in Sheikh Ganief ’s work that are characteristic of
Cape Afrikaans include the use of the preposition fijir ‘for’ to introduce an
animate object,41 which may be connected to Malay grammar,42 and the
frequent use of the word order SVX in subordinate clauses, possibly as a
result of interference from English.43 With respect to word order, it may
also be noted that the word order VSX occurs relatively frequently in his
work; this may be the result of a too literal translation from Arabic.
For the grammatical technical terminology, Sheikh Ganief did not
have an Afrikaans model on which he could fall back. He introduced
some terms in their Arabic form, as we have seen above (ḥurūf ‘letters,’
fijiʿl ‘verb,’ iʿrāb ‘declension,’ etc.), but not all grammatical technical terms
are represented by loanwords. Some of them are translated into Afri-
kaans. Even those terms which are always used in their Arabic form are
translated at their fijirst occurrence, possibly as a form of explanation.
Thus, for instance, the author gives the following translations for the
three parts of speech (Nayl I, 2) naam, werekwoort, artikel. It may be
noted here that the terms are not quite the same as in Dutch grammati-
cal terminology (instead of naam one would expect naamwoort, and
instead of artikel one would expect partikel). After this fijirst explana-
tory translation, the Arabic terms are used consistently, sometimes with
a Dutch plural ending, like fijiʿls ‘verbs,’ and sometimes with an Arabic
plural, e.g. di ḥurūf ‘the letters’ (I, 1.12). Likewise, the term fāʿil is fijirst
translated as doener ‘doer’ (II, 21.14), after which the Arabic term is used.
Mubtadaʾ is translated the fijirst time as di wat bagin wort meen lit. ‘that
with which it is begun’ (II, 23.22), and khabar as verteleng lit. ‘narration’
(ib.). In some cases, the Arabic term is followed by det meen ‘this means’
with an Afrikaans paraphrase.
For some terms, Afrikaans translations are apparently preferred because
they always occur in this form. In Table 3, some examples of translated
terms are given.
41
Ibid., 105–106; Stell et al. (2007: 302).
42
For a discussion of the origin of this construction see Raidt (1976).
43
Stell et al. (2007: 307–310).
arabic grammar in afrikaans 191
The fijirst three terms represent the traditional Malay names for the vowel
signs in the Jawi script that is based on Arabic: (baris) di depan or hadapan
‘(written) in front,’ i.e. ḍamma; (baris) di atas ‘(written) above,’ i.e. fatḥa;
and (baris) di bawah ‘(written) under,’ i.e. kasra.44 The Malay names are
themselves calques of the Persian names for the vowel signs: pīsh ‘front,’
zebar ‘upper side,’ zīr ‘under side.’ The fourth term in the Nayl, di dua,
must be a mistake, since in Jawi script (baris) dua ‘(written) twice’ is used
for the tanwīn, whereas the sukūn is usually called mati ‘eye.’ In the rest of
the grammatical treatise, only the Arabic terms for the vowel names are
used, without any translation.
The Arabic grammar was not only Ismail Ganief Edwards’ last schol-
arly work, but it also marked the end of the Arabic-Afrikaans tradition.
The literature in Cape Afrikaans written with Arabic characters died out
in the early 1960s, although even today there may still be a few people
who sometimes use it for private correspondence.45 At present, Arabic is
learnt in South Africa both within Qurʾānic schools and within an aca-
demic setting, for instance at the University of Cape Town; in addition, it
is also studied by people in private or in groups.46 Yet, teaching has pro-
gressed from the religious and academic context and has come to include
communicative use of the language. The model used in this curriculum
is the Western model for teaching grammar, and the model of the Arabic
grammarians is no longer used, except possibly in some of the Qurʾānic
schools.47 In this sense, Sheikh Ismail Ganief’s work marks the end of an
era in which the teaching of Arabic was inextricably connected with the
use of the Arabic grammatical model.
References
Primary Sources
Nayl = Sheikh Ismail Ganief, Nailoel ‘arabie fee loeqhatiel ‘arabie/Handboek van Arabies en
Arabiese grammatika/Handbook of Arabic and Arabic grammar. [Kaapstad] [ca. 1948].
Qawāʿid = Ḥafnī Bak Nāṣif, Muḥammad Bak Diyāb, Muṣṭafā Ṭumūm, Maḥmūd Afandī
ʿUmar, and Sulṭān Bak Muḥammad. Kitāb qawāʿid al-lugha al-ʿarabiyya li-talāmīdh
al-madāris al-thānawiyya. Cairo: Wizārat al-Maʿārif al-ʿUmūmiyya, [1905].
44
See Herbert and Milner (1989: 103).
45
Tayob (p.c.).
46
See Jeppie (2006).
47
Cf. Mohamed (1998).
arabic grammar in afrikaans 193
Secondary Sources
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PROFILES OF GRAMMARIANS
PIONEERS OF ARABIC LINGUISTIC STUDIES
Monique Bernards
Both the origins as well as the originality of the Arabic linguistic tradition
continue to attract the attention of students of Arabic linguistics. Some
scholars assert the existence of foreign influence, while others ardently
argue against it. Most of these studies take grammatical evidence from
extant sources as the only valid basis for studying the roots of Arabic
linguistics, though some have explored social circumstances as well.1 In
this article, the issue of the origin and originality of Arabic linguistics is
discussed from the perspective of its practitioners rather than the con-
tents of their works. Reports from the literary genre of awāʾil—describing
inventors and inventions—that have been traditionally ascribed to Arabic
linguists from the fijirst four centuries of Islam, will be scrutinized to pro-
vide insight into how the linguistic tradition itself marked the highlights
of its development.
The term awāʾil derives from the expression awwalu man . . ., “the fijirst per-
son who . . .,” or awwalu ma . . ., “the fijirst time something . . . .” It refers to
narratives about inventors and inventions, about someone doing some-
thing for the fijirst time or something having been done for the fijirst time.
The genre of awāʾil probably found its origin in the development of histor-
ical awareness or in a universal curiosity about humankind’s background.
It is not limited to the Arabic-Islamic tradition; the Chinese have a large
literature on the origin of Chinoiserie and, in the Western world, there are
various works dating from the late Middle Ages that bear the title De origi-
nibus rerum. In the Arabic-Islamic tradition the genre dates from the very
beginning and individual awāʾil are found in the earliest ḥadīths. The fijirst
awāʾil compilations started to appear in the early years of the third/ninth
century, initially in the form of separate chapters in ḥadīth collections
1
Versteegh (1993: 20–36) summarizes the divergent theses on the subject of possible
foreign influences on the development of Arabic grammar.
198 monique bernards
(Ibn Abī Shayba’s Muṣannaf ), then as a genre of its own (Kitāb al-Awāʾil
by Ibn al-Kalbī and al-Madāʾinī).2
Awāʾil are globally divided according to their subject matter into three
classes: information (a) on pre-Islamic innovations, (b) on the Prophet
and his Companions, and (c) on historical events of the Islamic era from
the Prophet’s time onwards. Information on innovations from pre-Islamic
times is mostly legendary, as indicated by the many references to biblical
fijigures. Awāʾil of the second kind revolve around sayings of and acts by
the Prophet and his Companions, and serve as basis for the introduction
and justifijication of certain manners and customs in Islam, for instance,
dyeing one’s beard, using tooth-picks, or cutting one’s nails. Awāʾil of the
third kind tell about historical events, referring back to authoritative indi-
viduals who did something for the fijirst time which, in retrospect, had a
long lasting efffect—introducing a new tool, originating a science, going
where no one ever dared to go before and so forth. These so-called his-
torical awāʾil probably have their roots in the origin and development of
isnāds, a device for authorizing and legalizing practices by referring back
to someone authoritative—and in the case of awāʾil to the inventor or
initiator—through uninterrupted chains of transmission.
It is this last kind of narrative, the historical awāʾil, that are of concern
here. Although historical awāʾil are part of a tradition whose authenticity
has to be considered with great care, they have one important advantage
that makes them very useful: awāʾil express pride about the glory of Islam
and whoever wants to stress the inventiveness, originality and creativity
of a person, people, nation—not avoiding exaggeration—will probably,
as commonsense dictates, tend to date an invention earlier than it actu-
ally happened, but not later. In other words, awāʾil, if invented, would
generally not postdate an event but rather predate it. So when an awāʾil
informs us, for instance, that al-Khalīl’s Kitāb al-ʿAyn was introduced for
the fijirst time in al-Andalus by someone who died in the year 302/914–5,
it is very unlikely that it took place later than the end of the third/ninth
or the beginning of the fourth/tenth century. Awāʾil thus provide us with
a maximum limit in dating the events they describe.3
2
For the genre of awāʾil in general, see Rosenthal (1986); for its relevance to historical
research see Juynboll (1983: 10–12, 104–105). Awāʾil as a literary genre still exists in our day
and age; cf. Fuʾād Sayyid’s Muʿjam al-Awāʾil, of which chapter 18, for instance, includes the
fijirst person to translate the English works of Jubrān Khalīl Jubrān into Arabic, see Sayyid
(1992: 352) and the fijirst Egyptian to obtain the Thèse Doctorat from the Sorbonne, see
ibid., 375.
3
This argumentation follows Juynboll (1983: 104–105). For a more exact dating of events,
account has to be taken of a scholar’s active years before his demise, amongst other fac-
tors. This point will be taken up later under the heading “Chronology.”
pioneers of arabic linguistic studies 199
Twenty-nine linguists (4% of the total of 704 known grammarians who lived
up to the year 400 AH) have been accredited by the sources with one or
more awāʾil of various kinds. Information regarding these linguists and their
awāʾil have been plotted in the two following graphs that show the distribu-
tion over time in terms of centuries of (1) all linguists who have an explicit
300
200
100
0
First Second Third Fourth
Centuries
4
Data come from my Ulama Project database containing 704 linguists (naḥwiyyūn and
lughawiyyūn) of the fijirst four Islamic centuries, that is, up to the year 1000 of our era.
Focusing on what the biographical dictionaries include as awāʾil—instead of, for instance
going systematically through awāʾil works that aim to be thematically complete, in search
for particular topics—increases the chances that the image that emerges reflects more of
the historical development as seen from the biographical tradition, which is my goal here.
The limitation of sources used accounts for the fact that the awāʾil-stories granting the
Caliph ʿAlī the honor of being the fijirst “grammarian” are not discussed because ʿAlī is not
a grammarian/linguist according to the biographers’ selection. See for a description of the
selection of linguists Bernards (2005: 427–429).
200 monique bernards
14
12
10
0
First Second Third Fourth
Centuries
year of death that falls before or in the Islamic year 400 and (2) those who
meet these same criteria but have additionally an ascribed awāʾil.5
The fijirst graph shows a gradual increase over time of general linguistic
activity; the sharp curve of the second graph, however, clearly illustrates
a burst of innovative activity in the second century: 40% of awāʾil date
from that century.6
3. Categorizations of Awāʾil
Now that we have obtained insight into numbers and chronological set-
ting, we can move to matters of substance. The awāʾil ascribed to the
5
The exact years of death of these linguists fall between 69/688–9 and 385/995.
6
Three of the twenty-nine linguists who have an awāʾil do not have a recorded year
of death. Their approximate death-years are 238/852–3, 275/888–9 and 334/945–6. If they
would have been included in the graph, the curve downwards would have been a bit more
gradual. The omission of a year of death is rather curious since the story of an inventor or
invention would considerably benefijit from an explicit date attached to the event. I think
that a biographer would do his utmost to present complete information and this idea is
corroborated by the fact that a relatively large proportion of awāʾil-bearers have alterna-
tive years of death: 44% of them have an alternative death year whereas the proportion
of the whole group is 28% (of the 480 whose years of death are explicitly mentioned, 135
have alternative years of death). So it seems that when an awāʾil was involved, the biog-
rapher tried to embed the story in a plausible historical context even if it included a bit
of guesswork.
pioneers of arabic linguistic studies 201
Table 1 (cont.)
naqaṭa l-maṣāḥif to provide Qurʾāns with dots
allafa wa-tatabbaʿa wujūh to collect, compile and study thoroughly the
al-Qurʾān homonyms of the Qurʾān
tatabbaʿa l-shādhdh min to study thoroughly the exceptional expressed in
wujūh al-Qurʾān wa- the homonyms of the Qurʾān and investigate its
baḥatha ʿan isnādihi isnād
istakhraja l-ʿarūḍ to elucidate prosody
jamaʿa shiʿr al-ʿArab to collect, put together the poetry of the Arabs
fassara l-shiʿr (taḥta kull to explain, comment on poetry underneath every
bayt) verse)
amlā gharīb kull bayt min to dictate the uncommon underneath every verse
al-shiʿr taḥtahu of poetry
Table 1 above shows that the category of direct linguistic awāʾil can be
subsumed under several domains of linguistics. I shall discuss them in the
order in which they are listed in the table: Arabic language (al-ʿArabiyya),
grammar (naḥw), lexicography (lugha), Qurʾānic studies, and poetry. The
discussion that follows will initially limit itself to the interpretation of the
terms used, and will examine specifijics of the terms involved as well.7
4a. al-ʿArabiyya
Four diffferent awāʾil revolve around al-ʿArabiyya, literally, the Arabic lan-
guage, but in the context of these awāʾil to be interpreted in terms of “the
study of the Arabic language” and not the language itself. I suggest this
interpretation on the basis of the expression nahaja subul al-ʿArabiyya, “to
open up the paths,” which contains an explicit reference to this aspect in
the use of the word sabīl, pl. subul, “path, way.” Terms like sabīl, naḥw,
madhhab, ṭarīqa, for instance, all incorporate this same connotation
around which Islamic science in general revolves.8 “The fijirst to open up
the ways of the Arabic language” stands, in my view, for “the fijirst to devote
himself to [the study of] the Arabic language” but not making explicit the
manner in which this was done. Assasa, then, speaks for itself and, going a
step further, it refers to the establishment of the basics of language studies,
the foundation upon which the linguistic tradition is built and expands.
The use of the term waḍaʿa is more difffijicult to interpret in the context
of al-ʿArabiyya in general. Waḍaʿa, literally “to put down,” contains the
aspect of “taking together and putting into place” or “giving something
its proper form and place”—and it is not easy to imagine that something
being “the study of the Arabic language,” let alone “the Arabic language”
itself is put into place. However, waḍaʿa is also to be interpreted in terms
of “putting down in writing, record” which is a process of creation. The
creative aspect in waḍaʿa together with the aspect of “originality” that is
inherent in awāʾil renders awwal man waḍaʿa l-ʿArabiyya as “the one who
invented [the study of] the Arabic language.”9
7
In general, I have relied on Lane (1863–1893) as the point of departure for interpreting
the terminology.
8
Carter (1985) hence speaks of “the naḥw metaphor.” On the use of the term madhhab
for “way; school” in the Arabic linguistic tradition, see Bernards (1999).
9
See, however, below under the heading “Chronology” for a possible interpretation of
al-ʿArabiyya as referring to lexicographical studies.
204 monique bernards
4b. Naḥw
Five awāʾil narrate the beginnings of naḥw—grammar or grammatical
studies in general. Although they use, at least in part, the same termi-
nology, the invention-stories about grammar are more self-evident than
the al-ʿArabiyya ones discussed. This is probably because the meaning of
the term naḥw, despite some initial abstruseness, clearly refers to what
later became a distinct fijield of intellectual endeavor.11 The expressions
takallama fī l-naḥw and rasama l-naḥw narrate the very beginning of
this intellectual endeavor; they honor the fijirst to “talk about grammar”
and the fijirst to “delineate grammar.” The content of this “talking about
grammar” is not revealed by the sources, but the expression implies that
there was a notion of language as a topic to investigate. Rasama has con-
notations with leaving imprints, writing, outlining something in writing,
sketching something, and is also used for the outlines of Arabic charac-
ters without the additional punctuation. The fijirst to “delineate grammar”
allegedly had in mind what linguistic studies should be and how grammar
should have its place in this context. Both expressions, i.e., takallama and
rasama, it should be noted, do not necessarily indicate a personal involve-
ment in linguistics.
I take the expression awwal man sabbaba l-naḥw, “explain the reasons
[for the study] of grammar,” to refer to the anecdotes about the reasons
for establishing a study of Arabic grammar.12 The term waḍaʿa discussed in
the previous paragraph also appears in connection with naḥw. In light of
this discussion, awwal man waḍaʿa l-naḥw in its plain form is “the one who
invented naḥw, grammar,” whereas awwal man waḍaʿa l-taṣrīf, “the one
who invented taṣrīf, morphology,” notes the event when naḥw came to
10
For the use of qiyās in linguistic studies see Versteegh (1980); Bohas et al. (1990:
22–26); Suleiman (1999: 25–33); Baalbaki (2008: 47–56); Maróth (2009).
11
About the origin and development of the use of the term naḥw for “grammar” see
Carter (1985); Versteegh (1995: 147–156); also later in the article where taṣrīf is discussed.
12
Traditionally, corruption of the pure Arabic language by the mawālī provoked the
invention of grammar; see, for instance, Versteegh (1987: 150–151; 1995: 147–156); Bohas
et al. (1990: 103); Troupeau (1993: 913); see also below under the heading “Pioneers.”
pioneers of arabic linguistic studies 205
4c. Lugha
In comparison with the terms just mentioned, the two awāʾil about lugha,
lexicography, are straightforward. Ṣannafa l-lugha ʿalā ḥurūf al-muʿjam,
“to classify the lexicon on the basis of the letters of the alphabet” looks to
the fijirst alphabetized dictionary. I have categorized the other expression,
ṣannafa gharīb al-ḥadīth, “to classify the uncommon of ḥadīth,” under the
heading lugha because of the genre of gharīb which refers to the subfijield
of lexicography that specializes in rare and uncommon words and expres-
sions, in this particular case those rarities that occur in ḥadīth.
4d. Qurʾānic Studies
“The fijirst to provide Qurʾāns with dots” refers to distinguishing the letters
of the alphabet that look alike (like bāʾ/tāʾ/thāʾ/nūn, sīn/shīn, ʿayn/ghayn,
etc.) by dotting them diffferently. The term muṣḥaf/maṣāḥif denotes a col-
lection of written sheets of paper put together between covers, more par-
ticularly the Qurʾān which was the fijirst of this kind in Islam.15
The next two awāʾil concern Qurʾānic studies as well as lexicography in
its primary stage. The term wajh, pl. wujūh, “way, manner,” also “aspect,
object of speech” refers in this case to the distinct class of words with dif-
ferent meanings, homonyms, that occur in the Qurʾānic text.16 The awāʾil
13
On the subject of the development of the terms naḥw and taṣrīf, for instance, Ver-
steegh (1995: 147–156; 173–174); Versteegh (1999); and Åkesson (2009).
14
For ʿilla/ʿilal, see Jarrar (1992); Versteegh (1995; 2007); Suleiman (1999); Baalbaki (2008:
56–68).
15
On the relevance of the muṣḥaf in linguistic studies, see Beck (1945); also Endreß
(1982); Versteegh (1993); Motzki (2003).
16
On wujūh al-Qurʾān, see Gilliot (2006: 332–333); also Versteegh (1993: 86–88).
206 monique bernards
indicate that these homonyms are collected and studied with specifijic
focus on shādhdh, literally “something apart,” which stands for “deviating
from common usage, exception.” Moreover, research of isnāds to support
these exceptions is being done for the fijirst time.17
4e. Poetry
The awāʾil referring to poetry have more or less the same pattern as those
discussed above (i.e., from general to the more specifijic); they include the
more general jamaʿa shiʿr al-ʿArab, “to collect” the Arabs’ poetry, and fas-
sara l-shiʿr, “to explain, comment on” the poetical verses. Istakhraja l-ʿarūḍ,
on the other hand, refers to the more specifijic “extracting, bringing out
into the open,” hence “to elucidate prosody,” and in amlā gharīb . . . we see
again the interest in the uncommon, the anomaly, of poetry this time.
Three of the eight indirect linguistic awāʾil make explicit reference to lin-
guistic activities in al-Andalus, namely the introduction of a book of (the
Kufan scholar) al-Kisāʾī, the introduction of the famous Kitāb al-ʿAyn (writ-
ten by the Basran linguist al-Khalīl), and the fijirst time a scholar explored
the traditionally favorite combination of linguistic and juridical studies.18
Three awāʾil concern linguistic activities in the alleged rivalry between
the schools of grammar of Basra and Kufa. One refers to the fijirst Basran
to undertake the painstaking task of correcting and authenticating the
language and its iʿrāb on the basis of what came down on the authority
of the Arabs. Another awāʾil touches upon a related subject by narrating
the introduction of the principle of samāʿ, attestation by received usage,
in Basran grammatical circles of learning.19 The third awāʾil concerns the
fijirst Kufan to write a book on grammar.
The last two of the indirect awāʾil refer implicitly to the schools, just
like the ones above regarding the introduction of linguistic works in al-
Andalus, by mentioning the fijirst to transmit from Abū l-Aswad al-Duʾalī
17
Shādhdh, pl. shawādhdh and shādhdha later come to denote non-canonical readings
of the Qurʾān, lacking sufffijicient support of authoritative isnāds; cf. Bellamy (2006: 238;
249); Leemhuis (2004: 357); also Gilliot (2006: 331–332).
18
For the connection between the development of Arabic linguistic studies and that of
Islamic jurisprudence see Carter (1972).
19
For samāʿ in linguistics, see Suleiman (1999: 16–25); Baalbaki (2008: 35–47).
pioneers of arabic linguistic studies 207
(claimed by the Basrans) and the fijirst to put [something] down in writing
on the authority of (the Kufan scholar) al-Kisāʾī.
6. Linguistic Awāʾil—Chronology
69 assasa l-ʿarabiyya
69 nahaja subul al-ʿarabiyya
69 waḍaʿa qiyās al-ʿarabiyya
69 takallama fī l-naḥw
69 rasama l-naḥw
69 takallafa min ahl al-Baṣra taṣḥīḥ al-kalām wa-iʿrābahu
89 akhadha ʿan Abī l-Aswad al-Duʾalī
89 waḍaʿa l-naḥw
89 sabbaba l-naḥw
89 fataqa l-qiyās fī l-naḥw
106 69 naqaṭa l-maṣāḥif
117 89 69 waḍaʿa l-ʿarabiyya
123 baʿaja l-naḥw
123 madda l-qiyās ( fī l-naḥw)
123 sharaḥa l-ʿilal ( fī l-naḥw)
160 jamaʿa shiʿr al-ʿarab
168 ṣannafa l-lugha (ʿalā ḥurūf al-muʿjam)
168 istakhraja l-ʿarūḍ
170 allafa wa-tatabbaʿa wujūh al-Qurʾān
170 tatabbaʿa l-shādhdh min wujūh al-Qurʾān wa-baḥatha ʿan
isnādihi
177 fassara l-shiʿr (taḥta kull bayt)
178 aḥdatha l-samāʿ bi-l-Baṣra
182 waḍaʿa min al-Kūfijiyyīn kitāban fī l-naḥw
189 waḍaʿa l-taṣrīf
194 dawwana ʿan al-Kisāʾī
20
Where alternative years of death were present, the average between the two was used
to create the order presented in the table.
208 monique bernards
Table 4 (cont.)
21
In pre-industrial societies a generation is considered to be 35 years. Inasmuch as the
average age of the ʿulamāʾ who found their way into the biographical dictionaries is close
to 80, I have assumed that a scholar was “active” around the age of 45. See Bulliet (1983).
pioneers of arabic linguistic studies 209
grammar” (waḍaʿa l-naḥw) and informed the world why this was neces-
sary (sabbaba l-naḥw). At the same time, the way for using qiyās in gram-
mar to formulate rules—a technical device his predecessor had used
for al-ʿArabiyya in general—was solidly paved. Moreover, with waḍaʿa
l-ʿArabiyya it seems that a fijirst attempt was made (by ʿAbd al-Raḥmān b.
Hurmuz) to distinguish between grammar on the one hand and lexicog-
raphy on the other.22
We then face a gap of about forty years after which awāʾil show a
growing interest in the Arabic language heritage through the collection of
poetry, the fijirst study of prosody and the beginnings of poetical commen-
tary (attributed to Ḥammād al-Rāwiya, al-Khalīl b. Aḥmad, and al-Akhfash
al-Akbar, scholars living until the sixties and late seventies of the second
Islamic century, that is, the seventies through early nineties of the eighth
Christian century).
The period is also marked by new developments in lexicographical
studies concerning the Qurʾānic text and the qirāʾāt, ascribed to a scholar
who was active between 135/752–3 and 170/786–7, which was the year of
his death (Hārūn b. Mūsā). Moreover, the fijield of lexicography, now called
lugha, is further enhanced through activities ultimately culminating in
what we now know to be the fijirst Arabic dictionary by al-Khalīl.
Yet another gap, albeit one of only about ten years, brings us to the
invention of the more technical linguistic fijield of taṣrīf, which, as we
have seen above, marks the separation of syntax and morpho-phonology
as well as a change in the meaning of the term naḥw. This innovation is
attributed to a scholar who died in 189/805 (Muʿādh al-Ḥarrāʾ), so this
domain probably originated in the period from 155/772 onward. In this
very same period the so-called grammatical school of Kufa started to
manifest itself by producing its fijirst book on grammar (by a linguist who
died around the year 182/798; al-Ruʾāsī) and, by putting to writing for the
fijirst time lessons heard directly from one of the school’s most prominent
representatives, al-Kisāʾī (the pupil at hand, ʿAlī b. al-Mubārak al-Aḥmar,
died in 194/809–10).
The occurrence of the aḥdatha l-samāʿ bi-l-Baṣra story seems a bit odd
in this timeline. This oddity is due to the fact that qiyās and samāʿ belong
to grammatical theory as equal components and, as we have already seen,
qiyās had been established as a core principle more than fijifty years ear-
lier. Inasmuch as the samāʿ awāʾil (attributed to Khalaf al-Aḥmar) appears
22
On the development of lexicography alongside grammar in the Arabic tradition, see
Haywood (1965: 11–19); also Versteegh (1993: 63–95).
210 monique bernards
alongside the one that recounts the fijirst book on grammar to appear in
Kufa, its function may have been to emphasize the traditionally alleged
diffference between the two schools—Basra being the rational one leaning
on qiyās, now for the fijirst time being confronted with Kufa’s more tradi-
tional principle of samāʿ.23
Further events occurring at that same time concern the genre of
gharīb—characterized by an interest in anomalies—developing into a
specifijic fijield of its own. We see this development reflected in the inven-
tion of gharīb al-ḥadīth (by someone whose year of death is 210/825–6;
Abū ʿUbayda) and gharīb . . . al-shiʿr (by a scholar who died around 216/831;
al-Akhfash al-Awsaṭ) indicating the existence of specialized levels of a
fijield of endeavor, in this case lexicography, at the turn of the second/
third Islamic century.
As we have already seen, three awāʾil refer to the westernmost part of
the Islamic empire, al-Andalus. They pin down inventions or innovations
in Andalusian linguistic activities in the period 165/781–2 onwards when
one of al-Kisāʾī’s books was introduced into al-Andalus by someone who
died in 198/813–4 (Jūdī b. ʿUthmān al-Mawrūrī). The popular combination
of fijiqh and linguistics found its way into Andalusian circles of learning at
the end of the second or the beginning of the third Islamic century, since
this awāʾil is attributed to someone who passed away in 238/852–3 (ʿAbd
al-Raḥmān b. Mūsā). The introduction of al-Khalīl’s famous Kitāb al-ʿAyn
in Andalusian circles is ascribed to a father and his son who predeceased
him, respectively, in 313/926 (Thābit b. Ḥazm) and 302/914–15 (Qāsim b.
Thābit), so the event took place somewhere between the years 275/888–9
and 300/912–3 or the last quarter of the third Islamic century.
Table 5: The people behind the awāʾil: The pioneers of Arabic linguistics.
23
The point of this diffference between the two schools will be taken up later under the
heading “Pioneers.”
pioneers of arabic linguistic studies 211
Table 5 (cont.)
24
For biographical data on Abū l-Aswad, see Abū Ḥāmid, Marātib, 139; Abū l-Ṭayyib,
Marātib, 6–11; Dhahabī, Siyar 4, 81–86; Ibn Ḥajar, Tahdhīb 12, 10–11; Ibn Ḥazm, Jamhara,
185; Ibn Khallikān, Wafayāt 2, 535–539; Ibn Qutayba, Maʿārif, 534–535; Ibn Saʿd, Ṭabaqāt
7, 99; Jazarī, Ghāya 1, 345–346; Marzubānī, Muqtabas, 7–21; Mizzī, Tahdhīb 33, 37–38; Qifṭī,
Inbāh 1, 48–58; Sīrāfī, Akhbār, 13–20; Suyūṭī, Bughya 2, 22–23; Tanūkhī, Taʾrīkh, 164–178;
Zubaydī, Ṭabaqāt, 21–26.
For Naṣr b. ʿĀṣim see Abū Ḥāmid, Marātib, 140; Dhahabī, Taʾrīkh 89, 210–211; Ibn
al-Anbārī, Nuzha, 9–10; Mizzī, Tahdhīb 29, 347–349; Qifṭī, Inbāh 3, 343–344; Sīrāfī, Akhbār,
212 monique bernards
invention of every main aspect of Arabic linguistics, but the man has only
one unique awāʾil which in itself is very intriguing: it explicitly positions
the beginnings of Arabic linguistic activities in Basra. This suits the theory
of retrojection according to which the fourth/tenth century linguists in
Baghdad legitimized their activities by referring to a long and glorious tra-
dition that is tightly linked to the linguistic center of Basra.25 The initiative
to study al-ʿArabiyya and to delineate grammar came from Abū l-Aswad
(whether on the instigation of the caliph ʿAlī, as tradition wants it, or not),
but it was his (and Yaḥyā b. Yaʿmar’s) pupil Naṣr b. ʿĀṣim who transformed
the study into a scientifijic fijield of endeavor, well worth one’s while.26
Yaḥyā b. Yaʿmar, an Arab scholar who lived and worked in the East
and was the fijirst to be active in systematic Qurʾānic studies, links the
origin of this fijield of endeavor with Basra as well.27 ʿAbd al-Raḥmān b.
Hurmuz, a scholar of non-Arab descent who reportedly was part of a
Medinan school, but spent his life in the Egyptian town of Alexandria,
received the honor of being considered the very fijirst to lay down the foun-
dations of al-ʿArabiyya whether or not to mark the diffference between
the fijields of grammar and lexicography (as I suggested earlier).28 Each of
the four above-mentioned scholars were tābiʿūn, and all except one (ʿAbd
al-Raḥmān b. Hurmuz) were of Arab descent; they were active in ḥadīth,
qirāʾa, naḥw and/or al-ʿArabiyya, and all of them except one (again ʿAbd
al-Raḥmān b. Hurmuz) were active in fijiqh and “Baṣrī min ahl. . . .” Yaḥyā b.
Yaʿmar is the only one of them who reportedly had an interest in adab.
20–21; Suyūṭī, Bughya 2, 313–314; Tanūkhī, Taʾrīkh, 157–159; Yāqūt, Muʿjam (IA) 6, 2749;
Zubaydī, Ṭabaqāt, 27.
25
The theory of retrojection is embedded in the debate of the historical reality of the
dichotomy between the grammatical schools of Basra and Kufa, initiated by Weil (1913).
26
A short reflection on the Abū l-Aswad stories is found in Versteegh (1997a: 3–5; 1997b:
50, 58). See Talmon (1985a) for a study of the transmission of the Abū l-Aswad stories and
of the discrepancy in these data (ikhtilāf al-akhbār).
27
Biographies of Yaḥyā b. Yaʿmar in: Abū Ḥāmid, Marātib, 139; Abū l-Ṭayyib, Marātib,
11–12; Dhahabī, Siyar 4, 441–443; Ibn al-Anbārī, Nuzha, 10–12; Ibn Ḥajar, Tahdhīb 11, 305–
306; Ibn Ḥibbān, Thiqāt 5, 523–524; Ibn Khallikān, Wafayāt 6, 173–176; Ibn Saʿd, Ṭabaqāt
7, 368; Jazarī, Ghāya 2, 381; Marzubānī, Muqtabas, 21–22; Mizzī, Tahdhīb 32, 53–55; Qifṭī,
Inbāh 4, 24–27; Sīrāfī, Akhbār, 22–23; Suyūṭī, Bughya 2, 345; Tanūkhī, Taʾrīkh, 155–156;
Yāqūt, Muʿjam (M) 20, 42–43; Zubaydī, Ṭabaqāt, 27–29.
28
Biographies of Ibn Hurmuz in: Dhahabī, Siyar 5, 69–70; Dhahabī, Taʾrīkh 117: 414–415;
Ibn al-Anbārī, Nuzha, 10; Ibn al-ʿImād, Shadharāt 1, 153; Ibn Ḥajar, Tahdhīb 6, 290–291; Ibn
Ḥibbān, Thiqāt 5, 106–107; Ibn Qutayba, Maʿārif, 465; Ibn Saʿd, Ṭabaqāt 5, 283–284; Jazarī,
Ghāya 1, 381; Mizzī, Tahdhīb 17, 71–78; Qifṭī, Inbāh 2, 172–173; Sīrāfī, Akhbār, 21–22; Suyūṭī,
Bughya 2, 91; Tanūkhī, Taʾrīkh, 163; Zubaydī, Ṭabaqāt, 26. This awāʾil attributed to ʿAbd
al-Raḥmān b. Hurmuz led Talmon (1985b) to hypothesize a Hijazi center of grammar.
pioneers of arabic linguistic studies 213
29
Biographies of Ibn Abī Isḥāq in: Abū Ḥāmid, Marātib, 139; Abū l-Ṭayyib, Marātib, 12–13;
Ibn Ḥajar, Tahdhīb 5, 148; Ibn Ḥibbān, Thiqāt 5, 61; Jazarī, Ghāya 1, 410; Mizzī, Tahdhīb 14,
305–308; Qifṭī, Inbāh 3, 104–108; Ṣafadī, Wāfī 17, 186; Sīrāfī, Akhbār, 25–28; Suyūṭī, Bughya 2,
42; Tanūkhī, Taʾrīkh, 152–154; Zubaydī, Ṭabaqāt, 31–33.
30
That Ibn Abī Isḥāq is the fijirst real grammarian is Talmon’s (1985a) conclusion
amongst others; cf. Fleisch (1961: 27–28) and Bohas et al. (1990: 1–2); also Carter (1972) and
Talmon (1982).
31
For divergent reflections on the traditionally recounted diffference between the Bas-
ran school as the more technical and abstract one and the Kufan as the more traditional
one, see e.g., Weil (1913); Fleisch (1961); Baalbaki (1981); Versteegh (1990).
32
Biographies of Khalīl b. Aḥmad in: Abū Ḥāmid, Marātib, 140; Abū l-Ṭayyib, Marātib,
27–41; Dhahabī, Siyar 7, 429–431; Ibn al-Anbārī, Nuzha, 27–29; Ibn Ḥazm, Jamhara, 380; Ibn
Khallikān, Wafayāt 2, 244–248; Ibn Qutayba, Maʿārif, 541–542; Marzubānī, Muqtabas, 56–72;
Mizzī, Tahdhīb 8, 326–333; Qifṭī, Inbāh 1, 376–382; Sīrāfī, Akhbār, 38–40; Suyūṭī, Bughya 1,
557–560; Tanūkhī, Taʾrīkh, 123–134; Yāqūt, Muʿjam (M) 11, 72–77; Zubaydī, Ṭabaqāt, 47–51.
214 monique bernards
the Arabs (ayyām al-ʿArab), poetry and lexicography. The Basran poet and
adīb Khalaf al-Aḥmar, Farghānī mawlā of Ashʿar, was generally praised
for his enormous knowledge of ancient Arabic poetry. He reportedly
went to Kufa to hear the poetry that Ḥammād al-Rāwiya had collected.
Upon returning home, Khalaf al-Aḥmar allegedly introduced the Kufan
principle of samāʿ, attestation by hearsay, to Basran circles of grammati-
cal learning.33
The originally Jewish muḥaddith and qāriʾ Hārūn b. Mūsā, mawlā of
ʿAtīk, was specialized in lexicography and additionally promoted Qurʾānic
studies by focusing on the transmission of al-shādhdh min wujūh al-Qurʾān,
exceptional homonyms, thus contributing to the later distinction between
canonical and non-canonical readings of the Qurʾān. Al-Akhfash al-Akbar
(in addition to grammar) was also active in poetry and the fijirst to devote
attention to tafsīr al-shiʿr, or poetic commentary. Like Hārūn b. Mūsā he
was of non-Arab descent, and mawlā of Qays b. Thaʿlaba; both scholars
were afffijiliated with Basra.34
The Kufan school, on the other hand, contributed to inventions in
linguistic studies through its assumed founder, al-Ruʾāsī, a mawlā of the
Jewish tribe Qurayẓa, who was the fijirst of the Kufans to write a book on
grammar, and through the Kufan afffijiliates Muʿādh al-Harrāʾ and ʿAlī b.
al-Mubārak al-Aḥmar.35 Al-Ruʾāsī seems to have been responsible for the
invention of taṣrīf, the specialization that ultimately divided the fijield of
33
Biographies of Ḥammād al-Rāwiya in: Abū l-Ṭayyib, Marātib, 72–73; Dhahabī, Siyar
7, 157–158; Dhahabī, Taʾrīkh 155:115; Ibn al-Anbārī, Nuzha, 22–25; Ibn al-ʿImād, Shadharāt 1,
239; Ibn al-Nadīm, Fihrist, 134–135; Ibn Khallikān, Wafayāt 2, 206–210; Ibn Qutayba, Maʿārif,
541; Ṣafadī, Wāfī 13, 137–142; Sīrāfī, Akhbār, 44; Suyūṭī, Bughya 1, 549; Yāfijiʿī, Mirʾāt 1, 256–
259; Yāqūt, Muʿjam (M) 10, 258–266; Zubaydī, Ṭabaqāt, 191.
For biographies on Khalaf al-Aḥmar, see: Abū Ḥāmid, Marātib, 140; Abū l-Ṭayyib,
Marātib, 46–47; Dhahabī, Taʾrīkh 180: 107–108; Ibn al-Anbārī, Nuzha, 34–35; Ibn Qutayba,
Maʿārif, 544; Marzubānī, Muqtabas, 72–80; Qifṭī, Inbāh 1, 383–385; Suyūṭī, Bughya 1, 554;
Yāqūt, Muʿjam (IA) 3, 1254–1258; Zubaydī, Ṭabaqāt, 161–165.
34
Biographies of Hārūn b. Mūsā in: Dhahabī, Taʾrīkh 170: 492–493; Ibn al-Anbārī, Nuzha,
21; Ibn Ḥajar, Tahdhīb 11, 14–15; Ibn Ḥibbān, Thiqāt 9, 237; Jazarī, Ghāya 2, 348; Mizzī,
Tahdhīb 30, 115–119; Qifṭī, Inbāh 3, 361–362; Ṣafadī, Wāfī 26, 206; Suyūṭī, Bughya 2, 321.
Biographies of al-Akhfash al-Akbar in: Abū l-Ṭayyib, Marātib, 23; Dhahabī, Siyar 7, 323;
Ibn al-Anbārī, Nuzha, 27; Ibn Khallikān, Wafayāt 2, 380; Marzubānī, Muqtabas, 47; Qifṭī,
Inbāh 2, 157–158; Suyūṭī, Bughya 2, 74; Tanūkhī, Taʾrīkh, 138–139; Zubaydī, Ṭabaqāt, 40.
35
Biographies of al-Ruʾāsī in: Abū l-Ṭayyib, Marātib, 24; Marzubānī, Muqtabas, 279;
Qifṭī, Inbāh 4, 105–109; Suyūṭī, Bughya 1, 82–83, 109, 492; Tanūkhī, Taʾrīkh, 194–196; Yāqūt,
Muʿjam (M) 18, 121–125; Zubaydī, Ṭabaqāt, 125.
For Muʿādh al-Harrāʾ, see: Dhahabī, Siyar 8, 482–484; Dhahabī, Taʾrīkh 187, 401–402;
Ibn al-Anbārī, Nuzha, 32; Ibn al-ʿImād, Shadharāt 1, 316; Ibn Khallikān, Wafayāt 5: 218–221;
Marzubānī, Muqtabas, 276–277; Qifṭī, Inbāh 3, 288–295; 4, 169–170; Suyūṭī, Bughya 2, 290–
293; Tanūkhī, Taʾrīkh, 193–194; Yāfijiʿī, Mirʾāt 1, 312; Zubaydī, Ṭabaqāt, 125.
pioneers of arabic linguistic studies 215
36
Biographies of ʿAlī b. al-Mubārak al-Aḥmar in: Abū l-Ṭayyib, Marātib, 89–90; Baghdādī,
Taʾrīkh 12, 104–105; Dhahabī, Siyar 9, 92–93; Ibn al-Anbārī, Nuzha, 59; Marzubānī, Muqta-
bas, 301; Qifṭī, Inbāh 2, 313–317; 4, 110; Suyūṭī, Bughya 2, 158–159; Tanūkhī, Taʾrīkh, 187;
Yāqūt, Muʿjam (M) 13, 5–11; Zubaydī, Ṭabaqāt, 134.
37
The stories about the succession of al-Kisāʾī as court grammarian are anchored in the
supposed Basra/Kufa dichotomy; see Bernards (1989).
216 monique bernards
38
Biographies of Abū ʿUbayda in: Abū Ḥāmid, Marātib, 140; Abū l-Ṭayyib, Marātib,
44–46; Baghdādī, Taʾrīkh 13, 252–258; Dhahabī, Siyar 9, 445–447; Ibn al-Anbārī, Nuzha,
64–69; Ibn Ḥibbān, Thiqāt 9, 196; Ibn Khallikān, Wafayāt 5, 235–243; Ibn Qutayba, Maʿārif,
543; Mizzī, Tahdhīb 28, 316–321; Qifṭī, Inbāh 3, 276–288; Sīrāfī, Akhbār, 67–71; Suyūṭī,
Bughya 2, 294–296; Tanūkhī, Taʾrīkh, 211–213; Yāqūt, Muʿjam (M) 19, 154–162; Zubaydī,
Ṭabaqāt, 175–178.
Biographies of Al-Akhfash al-Awsaṭ in: Abū Ḥāmid, Marātib, 142; Abū l-Ṭayyib, Marātib,
68–69; Dhahabī, Siyar 10, 206–208; Ibn al-Anbārī, Nuzha, 84–85; Ibn al-ʿImād, Shadharāt 2,
36; Marzubānī, Muqtabas, 97–99; Qifṭī, Inbāh 2, 36–43; Sīrāfī, Akhbār, 50–51; Suyūṭī, Bughya 1,
590–591; Tanūkhī, Taʾrīkh, 85–90; Yāqūt, Muʿjam (M) 11, 224–230; Zubaydī, Ṭabaqāt, 72–74.
39
Biographies of Jūdī b. ʿUthmān al-Mawrūrī in: Qifṭī, Inbāh 1, 306–307; Suyūṭī, Bughya
1, 490; Yāqūt, Muʿjam (M) 7, 213–214; Zubaydī, Ṭabaqāt, 256–257.
Biographies of ʿAbd al-Raḥmān b. Mūsā in: Ibn al-Faraḍī, Andalus 1, 439–440; Ibn
Farḥūn, Dībāj, 242; Suyūṭī, Bughya 2, 90; Zubaydī, Ṭabaqāt, 253–254.
40
Biographies of Thābit b. Ḥazm in: Dhahabī, Siyar 14, 562–563; Dhahabī, Taʾrīkh 313:
450–451; Ibn al-Faraḍī, Andalus 1, 184–185; Ibn al-ʿImād, Shadharāt 2, 266; Ibn Farḥūn, Dībāj,
168; Qifṭī, Inbāh 1, 297; Samʿānī, Ansāb 4, 259; Suyūṭī, Bughya 1, 480; Yāfijiʿī, Mirʾāt 2, 199;
Zubaydī, Ṭabaqāt, 284–285.
Biographies of Qāsim b. Thābit in: Dhahabī, Taʾrīkh 302: 97; Ibn al-Faraḍī, Andalus 2,
605–606; Ibn Farḥūn, Dībāj, 322; Qifṭī, Inbāh 3: 12; Samʿānī, Ansāb 4, 259; Suyūṭī, Bughya 2,
252; Yāqūt, Muʿjam (IA) 5, 2191; Zubaydī, Ṭabaqāt, 284–285.
pioneers of arabic linguistic studies 217
41
I have dealt with the topic of the relative overrepresentation of mawālī in Arabic
linguistic studies in Bernards (2005).
218 monique bernards
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AL-ZAJJĀJ AND GLASSMAKING
AN EXPANDED RANGE OF OPTIONS IN A COMPARATIVE CONTEXT
Wadād al-Qāḍī
1
See C. H. M. Versteegh (2002b).
2
See idem (2002a).
3
See al-Tanūkhī, Nishwār al-muḥāḍara 1, 274; al-Khaṭīb al-Baghdādī, Tārīkh Baghdād 6,
614; al-Qifṭī, Inbāh al-ruwāt 1, 159; Yāqūt al-Ḥamawī, Muʿjam al-udabāʾ 1, 52; al-Ṣafadī, al-Wāfī
bi-l-wafayāt 5, 348; al-Suyūṭī, Bughyat al-wuʿāt 1, 411. Even al-Samʿānī, whose al-Ansāb pro-
vides normally short entries, cites the fijirst, glass-related, part of the story; see al-Ansāb,
272. Other sources cite the main, glass-related sentence of the story, as did Ibn Khallikān,
Wafayāt al-aʿyān 1, 49; Ibn al-Athīr, al-Lubāb fī tahdhīb al-ansāb 2, 62.
4
A dānaq (from the Persian dang) is equal, in monetary terms, to 1/6 of a dirham,
although it could also be used for gold (mithqāl); see Hinz (1955).
222 wadād al-qāḍī
5
The tribal afffijiliation of this family is uncertain, since it occurs in a variety of forms in
the sources: Banū Mārima, Māzima, Māriqa, Māriya, Māzin. See the comment of I. ʿAbbās
in Yāqūt, Muʿjam al-udabāʾ 1, 52, n. 3.
6
Mārima is the most common reading, but it is by no means certain (see previous
note). There is no Banū Mārima in the classic works on genealogy, including Ibn Durayd’s
al-Ishtiqāq.
al-zajjāj and glassmaking 223
7
See Lane (1980, z-j-j).
8
See idem (1980, kh-r-ṭ). Thus, kharaṭa l-waraq means rubbing “offf the leaves from the
branches, by grasping the upper part, and passing the hand along it to the lower part.”
Similarly, kharaṭa l-shajar means “he pulled offf the leaves, and the bark, or peel, from
the trees with his hand [in the manner above described].” In the same manner, one says
kharaṭa l-ʿunqūd, meaning “he pulled offf the grapes, or the like, from the bunch with all
his fijingers . . . or he put the bunch in his mouth and drew forth its stalk bare,” and kharaṭa
l-ʿūd means “he removed the bark, or peel, from the wood, or stick, and planed it, or made
it even, with a mikhraṭ.”
9
This is what I understand by the text of Ibn al-Athīr, al-Lubāb 1, 429 explaining
kharrāṭ: “this nisba comes from the kharṭ of wood.”
10
In Lane (1980: kh-r-ṭ): kharaṭa l-ḥadīd means “he made the iron long, like a column,
or pole, or rod.”
11
In ibid., kharaṭa l-jawhar means “he collected the jewels in a kharīṭa [i.e., a pouch].”
12
R. Dozy (1981, kh-r-ṭ), where yakhruṭuhu l-kharrāṭūn is said of malachite in Ibn
al-Bayṭār’s treatise.
13
Ibid. The text occurs in Ibn Ḥawqal’s section on Armenia.
224 wadād al-qāḍī
14
See al-Qāḍī (2009, 25–26).
15
Although, to his credit, he did mention a few works about this area in the bibliog-
raphy, notably A. H. Morton’s important book, A Catalogue of the Islamic Glass Stamps in
the British Museum.
al-zajjāj and glassmaking 225
16
For surveys on Islamic glass weights, see the following classic works: Miles (1949:
1–69); Muḥammad (1957: 1–42); Balog (1976: 1–36); idem (1980: 55–57); Morton (1985: 9–45);
idem (1991: 19–42).
17
See Ettinghausen (1939: 74); Miles (1964: 78–79); Morton (1992: 20); idem (1985: 31).
See also n. 19 below.
18
See Ettinghausen (1939: 74).
19
Several early bronze weights have been discovered. See Walker (1935: 241–258) (for a
bronze weight in the name of al-Ḥajjāj b. Yūsuf); Miles (1962: 113–118); Curiel and Gignoux
(1976: 165–169); Elias Khamis (2002: 143–154). See also Miles (1939); Morton (1986: 177–182).
Artuk (1952: 21–25) identifijies a lead seal minted in the name of the Umayyad caliph ʿAbd
al-Malik, with the mint name Filasṭīn; but Paul Balog is convinced that this is actually a
lead weight, not a seal; see Balog (1976: 21). See also idem (1970: 223–256, esp. 233, 339).
20
See Miles (1964: 78); Morton (1991: 20).
21
On changing glass weights immediately upon change in administration, see Balog
(1976: 10).
226 wadād al-qāḍī
come from Egypt, we know that they were also produced in Syria.22 In Iraq
none have been found; but there is no need to suppose that the wide-
spead use of glass weights did not take place there as well.23
According to scholars of Islamic glass weights, matters pertaining to
glass weights were under the control of the fijinancial offfijicer of the prov-
ince or administrative district, and, in fact, hundreds of weights have
survived on each of which was inscribed normally the name of an iden-
tifijiable ʿāmil or ṣāḥib al-kharāj, the Financial Director, mostly preceded
by the verb amara (he ordered). When the Financial Director’s name is
inscribed alongside that of the reigning caliph, the verb amara is shifted,
understandably, to the caliph, and the Director’s name is preceded by the
phrase ʿalā yaday (at the hands of), thus making clear that his authority
derived directly from the caliph’s. When the Financial Director’s name is
inscribed along with the name of another person (usually unidentfijiable),
the phrase ʿalā yaday is shifted to the name of the other person, indicating
that this person was the Director’s subordinate in the bureaucratic hier-
archy of the offfijice in charge of weights and measures, an “executive” or a
“prefect,” who served as a mid-level bureaucrat. In some cases, the names
of other men appear, nomally after the noun (or verb) ṣanʿat (ṣanaʿahu),
“the making of/he made it,” or ṭabʿat (ṭabaʿahu), “the stamp of/he stamped
it.” Such engravers, with their apprentices or assistants, occupied the low-
est bureaucratic position in the offfijice responsible for producing glass
weights.24 I would also suggest that they were actually the “glass persons”
who handled glass with their hands, either at a basic level or at a more
developed one.
22
For weights from Syria, see, in addition to the heavy weight discussed below, Dja-
far [Abdel-Kader] (1935: 139–142); idem (1939: 399–400); Nāyif al-Qsūs (2000: 55–62) (the
weight was found in the area of Irbid in northern Jordan). To these must be added the
“seal” published by Artuk and believed by Balog to be a bronze weight (see n. 19 above);
it carries the stamp Filasṭīn, and hence comes from the administrative/military district
of Palestine.
23
Other than the bronze weight of al-Ḥajjāj mentioned in n. 19 above, there is litear-
ary evidence about four Umayyad governors of Iraq who were particularly strict about
weights: al-Ḥajjāj (in offfijice 75–95/694–714), ʿUmar b. Hubayra (in offfijice 102–105/720–723),
Khālid al-Qasrī (in offfijice 105–120/723–738) Yūsuf b. ʿUmar (in offfijice 120–126/738–744).
See Qudāma b. Jaʿfar, Kitāb al-kharāj, 39; Ibn al-Athīr, al-Kāmil fī l-tārīkh 4, 417 (sub anno
76); al-Damīrī, Ḥayāt al-ḥayawān al-kubrā 1, 91–92; Ibn Taghrī Birdī, al-Nujūm al-zāhira 1,
177–178.
24
On the employees involved with glass weights and measures and their bureaucratic
hierarchy, see Ettinghausen (1939: 74); Muḥammad (1957: 4, 11, 16–19, 30); Balog (1963: 219);
idem (1976: 408); Morton (1985: 11–14); idem (1991: 25–30); Eldada (2002: 118–119, 143).
al-zajjāj and glassmaking 227
The above information, while quite detailed, does not answer the main
question that this paper wishes to address, namley: has any of the people
whose names are stamped on glass weights been nicknamed al-zajjāj,
“glass man,” because of his involvement in glassmaking? If there was such
a person, then a zajjāj would be the nickname applied to an emplyee of
the government’s public sector,25 not only to a craftsman in the employ
of some commercial concern, and his existence would expand the range
of options for glassmakers in early Islamic society to the third possibil-
ity explained above, namely employment in government-run workshops
where offfijicial weights and measures made of glass were manufactured.
This, in turn, allows us to take a fresh look at the profession of the gram-
marian al-Zajjāj and, viewing it within a comparative context, to ask
whether he, too, could have been employed in the manufacture of glass
operated by the government. Given the shifts in al-Zajjāj’s career between
glassmaking and scholarship, it would be necessary that, if this other zajjāj
were to be identifijied, his career and its shifts be analyzed in as much
detail as possible, as a prelude to comparing him with the grammarian
al-Zajjāj. Even if the research does not produce conclusive results, it has
the potential to open a new avenue for consideration when we try to
understand the professions in which Muslim scholars were involved in
early Islamic society.
I have been able to locate one person from late Umayyad times whose
name is inscribed on a glass heavy weight that has survived,26 and who
some literary sources call al-zajjāj, others a Finance Director, and practi-
cally all a ḥadīth scholar; his name is al-Walīd b. ʿAbd al-Raḥmān. The
small, thick, bluish green glass pound weight disc carrying his name is
displayed at the Walters Art Gallery in Baltimore, Maryland, and its image,
together with a transcription of the text that appears on it and a study of
25
For a discussion of whether there were also private workshops issuing unofffijicial
weights, as suggested by Morton (1985: 20), see the clear arguments against this assertion
in Eldada (2002: 142–143).
26
There is another glass weight at the Fouquet Collection in Paris which Paul Casanova
said has the name “al-Walīd b. ʿAbd al-Raḥmān” inscribed on it; see Casanova (1893: no.
167, p. 373). Whether this is the same al-Walīd b. ʿAbd al-Raḥmān mentioned on the weight
discussed in this paper (see next note) is very possible, although more work is needed
before defijinite conclusions can be reached. I am indebted to the herculean effforts of my
friend Wolfhart Heinrichs in providing me with a copy of Casanova’s catalogue.
228 wadād al-qāḍī
27
Ettinghausen, (1939: 73–76).
28
Al-Ṭabarī, Tārīkh al-rusul wa-l-mulūk 7, 255–256 (sub anno 126).
29
Ettinghausen (1939: 75).
30
For more on Syrian glass weights, see above, n. 22.
31
The literary sources that mention al-Walīd b. ʿAbd al-Raḥmān are either ḥadīth and
tafsīr works that include traditons narrated, among others, by him, so that his name
appears in the traditions’ chains of transmissions (see nn. 68–82 below), or predominantly
biographical dictionaries that include a biography of him. These include Ibn Maʿīn, Tārīkh
Yaḥyā ibn Maʿīn 2, 187; al-Bukhārī, al-Tārīkh al-kabīr 8, 147; Abū Zurʿa l-Dimashqī, Tārīkh
Abī Zurʿa al-Dimashqī, 354, 703; al-Fasawī, al-Maʿrifa wa-l-tārīkh 3, 381; Ibn Abī Ḥātim
al-Rāzī, al-Jarḥ wa-l-taʿdīl 9, 9; Ibn Ḥibbān al-Bustī, Mashāhīr ʿulamāʾ al-amṣār 1, 184; idem,
al-zajjāj and glassmaking 229
al-Thiqāt 7, 552; al-Ḥākim al-Naysābūrī, Tasmiyat man akhrajahum al-Bukhārī 1:250; Ibn
Mākūlā, al-Ikmāl 2, 235; al-Samʿānī, al-Ansāb, 127; Ibn ʿAsākir, Tārīkh 63, 158; al-Dhahabī,
al-Kāshif 2, 352; idem, Tārīkh al-Islām 7, 495; idem, Tajrīd asmāʾ al-ṣaḥāba 2, 129 (“al-Walīd
al-Jurashī,” without a father’s name); al-Mizzī, Tahdhīb al-kamāl fī asmāʾ al-rijāl 31, 42;
Ibn Ḥajar al-ʿAsqalānī, Tahdhīb al-tahdhīb 11, 140; idem, Tabṣīr al-muntabih bi-taḥrīr al-
mushtabih 1: 317; idem, al-Iṣāba fī tamyīz al-ṣaḥāba 3, 647 (no. 9203) (“al-Walīd al-Jurashī,”
without a father’s name, like al-Dhahabī’s Tajrīd); Ṣafī al-Dīn al-Khazrajī, Khulāṣat tadhhīb
tahdhīb al-kamāl 1, 416; idem, Taqrīb al-tahdhīb 2, 582.
32
On the various dates of death mentioned in the sources for Kulthūm b. ʿIyāḍ, see Ibn
ʿAsākir, Tārīkh 50, 225.
33
Al-Ṭabarī, Tārīkh 7:256.
230 wadād al-qāḍī
34
Of the works mentioned in n. 31 above, those with long biographies of al-Walīd
b. ʿAbd al-Raḥmān–Abū Zurʿa, al-Mizzī, Ibn ʿAsākir, and Ibn Ḥajar (Tahdhīb)–mention
this fact.
35
There is a third reason that may also be adduced and that will be discussed below
regarding the settlement of the Jurash in al-Ghūṭa.
36
See Ibn ʿAsākir, Tārīkh 53, 288.
37
Abū Zurʿa source on al-Walīd is Maḥmūd b. Khālid, who met a scholar named al-
Haytham b. ʿImrān, who had met al-Walīd; see Abū Zurʿa, Tārīkh, 354, 713. As we shall see,
al-Walīd hailed from Ḥimṣ, and Abū Zurʿa actually visited Ḥimṣ in 214/829 and wrote a
book about its scholars, the Tasmiyat ahl Ḥimṣ, which has not survived but was frequently
quoted by Ibn ʿAsākir; see Abū Zurʿa, Tārīkh, 707, and the introduction of its editor, 34–36,
50. See also Wadād al-Qāḍī (2010, at nn. 53, 59).
38
It is interesting that Kulthūm b. ʿIyāḍ al-Qushayrī, the governor of the administra-
tive district of Damascus under Hishām, was identifijied within one biography as having
been waliya Dimashq, amīr Dimashq, and ʿāmil Hishām ʿalā jund Dimashq. See Ibn ʿAsākir,
Tārīkh 50, 217, 218, 224. Kulthūm is said to have been ʿalā Dimashq in the text of al-Ṭabarī’s
Tārīkh 5, 255 adduced by Ettinghausen.
al-zajjāj and glassmaking 231
39
N. Elisséef (1991: s.v., last paragraph). Note also that al-Ṭabarī calls al-Walīd b. ʿAbd
al-Raḥmān a ʿāmil kharāj (albeit inaccurately “over Damascus”) in the text adduced by
Ettinghausen.
40
Consider the celebrated Finance Director of Egypt in 116–124/734–741, ʿUbaydallāh b.
al-Ḥabḥāb, for example, on whom, see R. G. Khoury (2000)! It would be unthinkable that
he should be called a zajjāj.
41
In one instance (Ibn ʿAsākir, Tārīkh 52, 306), he is given the rather peculiar kunya
“Abū al-Mukhāriq.” But this seems to be a mix-up: “Abū l-Mukhāriq” was certainly the
kunya of al-Ḥārith b. al-Ḥārith al-Ghāmidī, who is mentioned alongside al-Walīd in
the same sentence. In fact, the editor of Ibn ʿAsākir remarks (in n. 6) that only one of
the manuscripts he used for his edition entered this kunya after al-Walīd’s name.
232 wadād al-qāḍī
as al-Jurashī, i.e. from the clan of Jurash of the South Arabian tribe of
Ḥimyar.42 As for his city of origin, it is given as Ḥimṣ, in northern Syria,
hence his being called min ahl Ḥimṣ or al-Ḥimṣī.43 For that reason, he
was probably entered in the now-lost Tārīkh al-Ḥimṣiyyīn by Aḥmad b.
Muḥammad b. ʿĪsā l-Baghdādī, who died in the late third/ninth or early
fourth/tenth century.44 Only occasionally is he referred to more generally
as a Syrian (Shāmī) or as “one of the Syrian scholars” (min fuqahāʾ ahl
al-Shām).45
The full name of al-Walīd’s father, ʿAbd al-Raḥmān, when it is men-
tioned in the sources, clarifijies his descent and gives the fijirst clues about his
association with glassmaking. It comes in two varieties: ʿAbd al-Raḥmān
al-Zajjāj46 or ʿAbd al-Raḥmān b. al-Zajjāj.47 The fijirst variety indicates that
ʿAbd al-Raḥmān was a glassmaker, whereas the second indicates that his
father, al-Walīd’s grandfather, was a glassmaker. It appears that al-Walīd
b. ʿAbd al-Raḥmān came from a family that, for at least two generations,
had been glassmakers. It thus comes as no surprise that al-Walīd him-
self was also called “al-Zajjāj,” though infrequently,48 and is thus given
42
“Al-Jurashī” is given in all his biographies and many of the references to him (see
the sources mentioned in n. 31 above); the specifijics of the Ḥimyarī clan from which he
came are mentioned in Ibn Mākūlā, al-Ikmāl 2, 235; al-Samʿānī, al-Ansāb, 127; Ibn al-Athīr,
al-Lubāb 1, 272; Yāqūt al-Ḥamawī, Muʿjam al-buldān 2, 126; Ibn Ḥajar, Tabṣīr al-muntabih 1,
316. The nisba “al-Jurashī” should be distinguished from the nisba “al-Jarashī,” which is an
attribution to the city of Jarash (the Roman Gerasa) in the military/administrative district
(jund) of al-Urdunn. “Al-Jarashī” may also be an attribution to a clan from the Quḍāʿa, as
is mentioned in the above cited sources and Ibn Mākūlā’s al-Ikmāl 2, 236.
43
Of his biographies mentioned in n. 31 above, the following cite his Ḥimṣī origin or
atribution: Abū Zurʿa, al-Fasawī, Ibn Abī Ḥātim, Ibn ʿAsākir, al-Mizzī, al-Dhahabī, Ibn
Ḥajar, and al- Khazrajī, in addition to the two biographies of “al-Walīd al-Jurashī,” namely
al-Dhahabī’s Tajrīd and Ibn Ḥajar’s al-Iṣāba.
44
It is very possible that Ibn ʿAsākir copied this biography, or part of it, from
al-Baghdādī’s book into his own Tārīkh 63, 160–161. He does not say so, but he used this
book many times in biographies of Ḥimṣīs in his Tārīkh. For a biography of al-Baghdādī,
see al-Khaṭīb al-Baghdādī, Tārīkh Baghdād 6, 221; Ibn ʿAsākir, Tārīkh 5, 433.
45
See Ibn ʿAsākir, Tārīkh 63, 161, 163.
46
See a biography under that name in Ibn al-Athīr, Usd al-ghāba 3, 293. This form of
his name occurs in a few of the chains of transmission of his Kaʿba ḥadīth (see below,
n. 60). This form is also in Ibn ʿAsākir, Tārīkh 23, 250, 253.
47
See biographies under that name in Ibn Ḥibbān, al-Thiqāt 5, 99; Ibn Ḥajar, al-Iṣāba
3, 68 (no. 6209). The majotity of the chains of transmission of his Kaʿba ḥadīth use this
form of his name (see blow, n. 60). This form is also in Ibn ʿAsākir, Tārīkh 23, 249; al-Mizzī,
Tahdhīb al-kamāl 12, 605; Ibn Ḥajar, Tahdhīb al-tahdhīb 4, 376.
48
In his bigraphies in Ibn Ḥajar’s (d. 852/1448) Tahdhīb 11, 140 and al-Khazrajī’s (born
900/1494) Taqrīb al-tahdhīb 1, 582. The late date of these sources should leave no doubt
that ʿAbd al-Raḥmān (Ibn) al-Zajjāj was al-Walīd b. ʿAbd al-Raḥmān’s father, nor that
al-Walīd belonged to a family of glassmakers. Ibn Ḥajar actually cites the early, third-
fourth/ninth-tenth century legal and ḥadīth scholar al-Ṭaḥāwī (d. 321/933) as writing:
al-zajjāj and glassmaking 233
“al-Walīd b. ʿAbd al-Raḥmān al-Jurashī al-Ḥimṣī al-Zajjāj.” This is actually verifijiable, since
it occurs in a chain of transmission of a ḥadīth (on the legality of the circumambulation
of the Kaʿba by a woman who then menstruates) that al-Ṭaḥāwī cites in his Sharḥ maʿānī
al-āthār 2, 232. Perhaps more signifijicantly, there is another late tradition in Ibn Ḥajar’s
Iṣāba 3, 68 (on the freeing of ʿAbd al-Raḥmān; see below) that he also takes from an earlier
source, Ibn Mandah [Muḥammad b. Isḥāq] (d. 395/1005). This tradition has a very interest-
ing chain of transmission whose fijirst narrator is al-Walīd’s grandson: “ ʿUmar b. ʿUthmān b.
al-Walīd b. ʿAbd al-Raḥmān b. al-Zajjāj;” he narrates the tradition on the authority of “my
father or another [member] of my family (ahlī).” The same traditon with the same chain
occurs in an even earlier, third-/ninth-century source, Abū ʿAbdallāh Muḥammad b. Isḥāq
al-Fākihī’s (217–275/832–888) Akhbār Makka 1, 147. There, al-Fākihī says he took over the
tradition from his contemporary Yaʿqūb [al-Fasawī] (d. 292/904). In this version, “ ʿUmar
b. ʿUthmān b. al-Walīd b. ʿAbd al-Raḥmān b. Zajjāj” narrates the tradition on the authirity
of his father—his grandfather (ʿan abīhi ʿan jaddihi). The grandfather is, of course, our
al-Walīd b. ʿAbd al-Raḥmān.
49
On the involvement of successive generations in making glass among Copts in Egypt,
for example, see Muḥammad (1957: 5, 12).
50
See the sources mentioned in nn. 45 and 46 above. Umm Ḥabība bt. Abī Sufyān b.
Ḥarb’s biography is in Ibn Saʿd, Kitāb al-ṭabaqāt al-kabīr 8, 68.
51
Note that Ibn Ḥajar places his biography (in al-Iṣāba 2, 68) in the second, not fijirst,
qism of the “Companions” whose names start with the letter ʿayn. He also says in the same
biography that al-Bukhārī placed him among the tābiʿūn. Similarly, in Ibn al-Athīr’s biogra-
phy of him (Usd al-ghāba 3, 293) Abū Nuʿaym is quoted to the efffect that, although some
thought ʿAbd al-Raḥmān met (adraka) the Prophet, he was in fact a tābiʿī.
52
A mawlā of the family (āl) of a certain Abū Sufyān al-Anṣārī (a mistake for Abū
Sufyān b. Ḥarb?); see al-Bukhārī, al-Tārīkh al-kabīr 8, 147.
53
These are al-Fasawī, al-Maʿrifa 3, 381; Ibn Abī Ḥātim, al-Jarḥ 9, 9; Ibn ʿAsākir, Tārīkh
(citing others) 63, 159, 160; al-Mizzī, Tahdhīb al-kamāl 31, 43–44; Ibn Ḥajar, Tahdhīb
al-tahdhīb 11, 140.
54
According to Ibn ʿAsākir, Tārīkh 63, 160, “his [al-Bukhārī’s] statement ‘mawlā āl Abī
Sufyān’ is incorrect (ghayr ṣaḥīḥ), for he is an Arab from the Jurash.”
234 wadād al-qāḍī
Ibn Ḥajar (d. 852/1448).55 The simple explanation, it seems to me, is that
ʿAbd al-Raḥmān, an Arab boy, possibly from a rather lowly family of glass-
makers, from the unremarkable clan of Jurash from the Ḥimyar, was taken
as a prisoner of war as a child during a campaign in early Islamic times,
freed, then at some point was taken by his family to settle in Ḥimṣ, or he
settled there, perhaps together with many settlers from the Ḥimyar, some
of whom participated in the conquest of Syria and populated the city after
its conquest in 16/637.56
If ʿAbd al-Raḥmān had made it to Ḥimṣ, he most likely would have
worked as a craftsman in the commercial sector of glass production, for
although Ḥimṣ had a mint as of the year 72/691–2,57 the use of glass for
manufacturing coin weights, and presumably other weights, was not
introduced before the reforms of ʿAbd al-Malik took root, i.e. after the late
70’s of the fijirst century A.H./the turn of the eighth century C.E.,58 when
ʿAbd al-Raḥmān would have been quite old. He had become involved
with one more small activity, though, of which the sources took note: he
transmitted the tradition that asserts that the Prophet did indeed pray
in the Kaʿba in Mecca, narrating it on the authority of the Companion
Shayba b. ʿUthmān al-Qurashī al-ʿAbdarī, the ḥājib of the Kaʿba.59 It is
noteworthy that most references to ʿAbd al-Raḥmān are found within the
biography of Shayba b. ʿUthmān or when discussing the Kaʿba tradition.60
This suggests that he never became sufffijiciently well known to have many
biographies dedicated for him. This is why we are not surprised when we
learn of a remark by a late, major ḥadīth scholar, Ibn Ḥajar al-Haythamī
55
“It is possible that he be a mawlā through confederacy (ḥilf ), even though he was
ethnically an Arab (ʿarabī al-aṣl)” (Tahdhīb al-tahdhīb 11, 140).
56
On the conquest of Ḥimṣ and its settlement by the Ḥimyar (and other South Arabian
tribes), see N. Elisséef (1986); Wilferd Madelung (1986b: 141–185).
57
See, for example, a coin bearing the name of the mint (Ḥimṣ) and the date (72) in
Stephen Album and Tony Goodwin (2002, no. 305).
58
Note that metal coin weights were used before the introduction of glass weights; see
above, at n. 19.
59
There is also a ḥadīth qudsī attributed to ʿAbd al-Raḥmān in al-Dāraquṭnī’s al-ʿIlal
al-wārida fī l-aḥādīth al-nabawiyya 6, 69–70.
60
See al-Bukhārī, al-Tārīkh al-kabīr 4, 241; Ibn Abī ʿĀṣim Aḥmad b. ʿAmr al-Shaybānī,
al-Āḥād wa-l-mathānī 1, 438; Ibn Abī Ḥātim, al-Jarḥ 4:335; al-Ṭabarānī, al-Muʿjam al-kabīr
7, 297; al-Bayhaqī, Shuʿab al-īmān 3, 455; al-Khaṭīb al-Baghdādī, Mūḍiḥ awhām al-jamʿ wa-l-
tafrīq 2, 245; Ibn ʿAsākir, Tārīkh 23, 250; Ibn al-Athīr, Usd al-ghāba 3, 29; al-Mizzī, Tahdhīb
al-tahdhīb 12, 605; al-Haythamī, Majmaʿ al-zawāʾid 3, 295; Ibn Ḥajar, al-Iṣāba 2, 161 (no.
3945), 3, 68 (no. 6209); idem, Tahdhīb al-tahdhīb 4, 376; 11, 140; ʿAlāʾ al-Dīn al-Hindī, Kanz
al-ʿummāl 5, 300; al-Mubārakfūrī, Tuḥfat al-aḥwadhī 3, 521.
al-zajjāj and glassmaking 235
(d. 807/1404), that he has “not found any author who wrote a biography of
ʿAbd al-Raḥmān b. al-Zajjāj.”61
Al-Walīd’s date of birth is unknown, but it could not have taken place
after the year 50/670, because it is reported that he paticipated in the
battle of Marj Rāhiṭ62 that took place in 65/684 in the Ghūṭa near Damas-
cus, and because he was placed in the third or fourth class (ṭabaqa) of the
tābiʿūn of Syria63—early enough to be make it meaningful to report on the
manner he dyed his beard.64 About his private life we know next to noth-
ing–only that he had a son by the name of ʿUthmān and a grandson by
the name of ʿUmar.65 We know much more about his public life, given that
the sources were interested in two aspects of it: his activities in ḥadīth
transmission, and his government service.
The sources dedicate the largest space to al-Walīd b. ʿAbd al-Raḥmān
when they discuss his activities as a ḥadīth transmisster. This is due in part
to their own interest in the subject, but also because al-Walīd achieved
some prominence in it: he was unanimously judged as thiqa (reliable) by
all leading ḥadiṭh critics,66 and his transmissions were included in all of
the Sunnī canonical ḥadīth collections, both the Ṣaḥīḥs and the Sunans.67
An analysis of al-Walīd’s transmissions shows that he was only slightly
involved, certainly much less than others of his Syrian contemporaries,
with transmitting pro-Syria ḥadīths,68 although he did transmit a ḥadīth
foretelling the rewards that the Muslims will receive (presumably through
the conquests),69 and there is one ḥadīth (falsely) attributed to him that
61
Al-Haythamī, Majmaʿ al-zawāʾid 3, 295.
62
This participation was mentioned only by al-Dhahabī in his Tajrīd al-ṣaḥāba 2, 129
and was repeated by Ibn Ḥajar in his al-Iṣāba 3, 647.
63
Ibn Zurʿa placed him in the third class and Ibn Sumayʿ in the fourth; see al-Mizzī,
Tahdhīb al-kamāl 31, 43; Ibn ʿAsākir, Tārīkh 63, 160; Ibn Ḥajar, Tahdhīb al-tahdhīb 11, 140.
64
In Abū Zurʿa, Tārīkh, 713, reporting on the authrity of a person who met him, says
that he used to dye his beard red (kāna yakhḍib bi-l-ḥumra).
65
The names of both the son and grandson appear in the chain of transmission of the
tradition in which al-Walīd’s father, ʿAbd al-Raḥmān, narrated the story of his freeing from
slavery; see Ibn Ḥajar, al-Iṣāba 3, 68. See also the end of n. 48 above.
66
Such as Yaḥyā b. Maʿīn, Abū Zurʿa, Abū Ḥātim al-Rāzī, Ibn Ḥanbal, Ibn Khirāsh
(on him, see below, n. 89), Ibn Ḥibbān, and Muḥammad b. ʿAwn. The statements of
these critics are mentioned, among others, in al-Walīd’s biography in Ibn ʿAsākir, Tārīkh
63, 158–163.
67
As it will be clear from the following footnotes.
68
On these and similar “Sufyānī” ḥadiṭhs, see Madelung (1986a: 5–48).
69
The foretelling ḥadīth occurs in, among other sources, Ibn Mājah, Sunan Ibn Mājah 1,
4; ʿAbd al-Ḥaqq al-Ishbīlī, al-Aḥkām al-sharʿiyya l-kubrā 3, 298.
236 wadād al-qāḍī
can easily be seen as anti-Shīʿī.70 Only one, widely cited, of the ḥadīths nar-
rated on his authority is a conquests-oriented, Syria-centered, and appar-
ently Umayyad-leaning ḥadīth. In it the Prophet, shortly before his death,
rejects the claim that fijighting was over, and instead asserts that now was
the time to fijight, stating that those of his community in the right would
be fought by errant groups in order to undermine them, and he repeats
two widely cirulated dictums: that goodness is always attached to the
horses’ forelocks (al-khayl maʿqūd fī nawāṣīhā l-khayr ilā yawm al-qiyāma
wa-ahluhā muʿānūna ʿalayhā), and that Syria is the center of the believers’
lands (ʿuqr dār al-muʾminīn al-Shām/bi-l-Shām).71 Another two of his trans-
missions have been widely cited. In one, the Prophet draws an elaborate
picture of how the Qurʾān will march on the Day of Judgment headed by its
fijirst two long sūras, al-Baqara and Āl ʿImrān,72 and in the other, the Prophet
praises religious scholarship (ʿilm) and identifijies humility (al-khushūʿ) as
its key component.73 Others transmissions of his cover legal issues (stay-
ing up during Ramaḍān;74 funerals;75 fasting;76 and prayer77), or ethical and
70
This is the ḥadīth in which the Prophet is supposed to have held in his hand peb-
bles that praised God. When he gave these pebbles to Abū Bakr, then to ʿUmar, then to
ʿUthmān, they praised God; but when he gave them to ʿAlī, they did not. Many Sunnī
authors commented negatively on this ḥadīth, declaring it forged. It was reported by
al-Ṭabarānī in al-Muʿjam al-awsaṭ 2, 59 and Musnad al-Shāmiyyīn 3, 81.
71
This ḥadīth, with al-Walīd b. ʿAbd al-Raḥmān as one of its transmiters, occurs in
many sources, the main ones of which are al-Bukhārī, al-Tārīkh al-kabīr 4, 70; Ibn Ḥanbal,
Musnad Aḥmad ibn Ḥanbal 4, 104; al-Fasawī, al-Maʿrifa wa-l-tārīkh 1, 336; 2, 298; al-Nasāʾī,
Sunan al-Nasāʾī l-kubrā 4, 311; Ibn Ḥibbān al-Bustī, Ṣaḥīḥ Ibn Ḥibbān 9, 207; al-Ṭabarānī,
Musnad al-Shāmiyyīn 1, 576, 3, 320; Ibn ʿAsākir, Tārīkh 1, 115–117; al-Mizzī, Tahdhīb al-kamāl,
11, 323; Ibn Kathīr, Tafsīr Ibn Kathīr 7, 308.
72
The Qurʾān ḥadīth occurs in several sources, among them al-Bukhārī, al-Tārīkh
al-kabīr 8, 147; Muslim b. al-Ḥajjāj, Ṣaḥīḥ Muslim 1, 554; Abū ʿAwāna Yaʿqūb b. Isḥāq
al-Isfarāyīnī, Musnad Abī ʿAwāna 2, 485; Ibn Ḥanbal, Musnad 4, 183; al-Ṭabarānī, Musnad
al-Shāmiyyīn 2, 320; Ibn Kathīr, Tafsīr 1, 153; al-Mubārakfūrī, Tuḥfat al-aḥwadhī 8, 154.
73
The ʿilm ḥadīth occurs in many sources, some of which are al-Bukhārī, Khalq af ʿāl
al-ʿibād 1, 79; Ibn Ḥanbal, Musnad, 6:26 ; al-Nasāʾī, al-Sunan al-kubrā, 5:392; Ibn Ḥibbān,
Saḥīḥ 7, 48; 8, 254; al-Ṭabarānī, al-Muʿjam al-kabīr 18, 43; idem, Musnad al-Shāmiyyīn 1,
155, 156; al-Ḥākim al-Naysābūrī, al-Mustadrak ʿalā al-Ṣaḥīḥayn 1, 168, 716, 3, 297, 4, 187;
al-Khaṭīb al-Baghdādī, al-Asmāʾ al-mubhama 6, 404; Ibn ʿAbd al-Barr, al-Istīʿāb fī maʿrifat
al-aṣḥāb 2, 534.
74
See, among other sources, Ibn Abī Shayba, Muṣannaf Ibn Abī Shayba 2, 164; Ibn Ḥanbal,
Musnad, 5:163; al-Dārimī, Sunan al-Dārimī 2, 42; Ibn Mājah, Sunan 1, 420; al-Tirmidhī,
Sunan al-Tirmidhī 3, 169; Abū al-Jārūd al-Naysābūrī, al-Muntaqā, 108.
75
For ḥadīths on funerals, see Ibn Abī Shayba, Muṣannaf 3, 12; al-Ḥākim al-Naysābūrī,
al-Mustadrak 3, 584.
76
For ḥadīths on fasting, see al-Dārimī, Sunan 2, 26; Ibn Khuzayma al-Naysābūrī, Ṣaḥīḥ
Ibn Khuzayma 3, 194; Ibn ʿAsākir, Tārīkh 47, 260.
77
For ḥadīths on prayer, see Ibn Abī Shayba, Muṣannaf 2, 49; al-Bayhaqī, Shuʿab al-īmān
3, 115; Ibn ʿAsākir, Tārīkh 13, 156.
al-zajjāj and glassmaking 237
pietistic concerns (greed;78 the reward for spending in the path of God79),
while others discuss aspects of the Prophet’s sīra (the isrāʾ;80 the difffijiculties
of his early ministry and his daughter Zaynab’s fear for him81). There is also
one pietistic ḥadīth qudsī attributed to him.82 Altogether, al-Walīd seems to
have been more of a solid muḥaddith than a prolifijic or influential one: Ibn
Ḥazm even declared that he did not know him.83
Moving from the contents of al-Walīd’s ḥadīths to their chains of
transmission, something quite peculiar emerges that helps further trace
his movements. As far as his teachers are concerned, an analysis of their
biographies shows that they were overwhelmingly Ḥimṣīs (5 out of 7).84 In
contrast, an analysis of the biographies of his students reveals that none
of them hailed from Ḥimṣ; rather, they were overwhelmingly Damascene
(5, possibly 6, and possibly even 7, out of 9),85 with one student who hailed
from al-Ṭāʾif and resided in Wāsiṭ in Iraq,86 and another who hailed from
and resided in al-Ramla in Palestine.87 These two facts need little inter-
pretation to lead one to conclude–even after allowing for some travel
among ḥadīth scholars‒that al-Walīd spent his youth in Ḥimṣ but left it
for Damascus–or its surrounding area‒when he was still relatively young
and started to become active in transmitting ḥadīth–in, say, the seven-
ties of the fijirst Islamic century/the last decade of the seventh century
C.E., perhaps not long after his participation in the battle of Marj Rāhiṭ
78
See the ḥadīth on greed in al-Ṭabarānī, al-Muʿjam al-kabīr 20, 78.
79
The ḥadīth on spending appears in al-Bukhārī, al-Tārīkh al-kabīr 7, 21; al-Khaṭīb
al-Baghdādī, Mūḍiḥ awhām al-jamʿ wa-l-tafrīq 2, 502; al-Baghawī, Tafsīr al-Baghawī 1, 164;
Ibn ʿAsākir, Tārīkh 47, 260, 261.
80
The ḥadīth of the isrāʾ occurs in al-Ṭabarānī, Musnad al-Shāmiyyīn 3, 110; Ibn Kathīr,
Tafsīr 3, 21.
81
This ḥadīth was widely circulated; see, for example, Ibn Abī ʿĀṣim Aḥmad b. ʿAmr
al-Shaybānī, al-Āḥād wa-l-mathānī 4, 364, 365; 5, 374; al-Ṭabarānī, al-Muʿjam al-kabīr 3, 268;
20, 283; Ibn ʿAsākir, Tārīkh 11, 407; 13, 156; 52, 306; 57, 181; Ibn al-Athīr, Usd al-ghāba 1, 321;
4, 340; Ibn Ḥajar, al-Iṣāba 1, 275; ʿAlāʾ al-Dīn al-Hindī, Kanz al-ʿummāl 12, 450.
82
“My very servant is the one who remembers me . . .” is in Ibn ʿAsākir, Tārīkh 36, 266.
83
See Ibn Ḥazm, al-Muḥallā 7, 172.
84
The Ḥimṣīs are Jubayr b. Nufayr al-Sakūnī, al-Ḥārith b. al-Ḥārith al-Ghāmidī, Salama
b. Nufayl al-Sakūnī, ʿIyāḍ b. Ghuṭayf al-Sakūnī al-Kindī, and Abū Umāma al-Bāhilī Ṣudayy
b. al-ʿAjlān. Al-Ḥārith b. ʿAbdallāh b. Aws al-Thaqafī hailed from the Ḥijāz and resided in
al-Ṭāʾif, and Abū Hurayra resided in Medina but came to Damascus during the caliphate
of Muʿāwiya.
85
His Damascene students are Ibrāhīm b. Sulaymān al-Afṭas, Khālid b. Dihqān,
Muḥammad b. Muhājir al-Anṣārī, ʿAbdallāh b. al-ʿAlāʾ b. Zabr, and Yūnus b. Maysara b.
Ḥalbas al-Aʿmā. Bashshār b. Abī Sayf is identifijied generally as Syrian (Shāmī) with one
historian erroneously mistaking him for a Baṣran. Dāwūd b. Abī Hind Dīnār was Baṣran
but he came to Damascus and transmitted his ḥadīth there.
86
This is Yaʿlā b. ʿAṭāʾ al-ʿĀmirī.
87
This is Ibrāhīm b. Abī ʿAbla Shamir al-Ramlī. See also below, at n. 95.
238 wadād al-qāḍī
in 65/684. It was in that area that he spent most of the rest of his life.
Other scattered accounts in the sources confijirm this move. He is reported
to have addressed a question to ʿĀmir b. Ludayn al-Ashʿarī, ʿAbd al-Malik’s
judge over Damascus,88 which we can assume took place in Damascus. He
is also reported to have visited (wafada ʿalā) al-Ḥajjāj b. Yūsuf.89 This visit
probably took place in Damascus, which al-Ḥajjāj frequented throughout
his political career. It, however, could also have taken place in Iraq (note
that one of al-Walīd’s students resided in Wāsiṭ, al-Ḥajjāj’s own creation),
or, less likely, in the Ḥijāz.90
There is fijinally another account about al-Walīd which places him,
for reasons that are not disclosed, in the administrative/military dictrict
of Palestine (Filasṭīn); it is a “fijirsts” (awāʾil) report.91 Al-Walīd is said to
have been the fijirst person to start the then-controversial study92 and
discussion of the Qurʾān and its readings there (awwal man aḥdatha
l-dirāsa . . . bi-Filasṭīn). In so doing, he was following in the footsteps of a
very influential Qurashī scholar and administrator, Hishām b. Ismāʿīl b.
Hishām b. al-Mughīra l-Makhzūmī,93 who initiated the study and discus-
sion of the Qurʾān and its “seven readings” in the Umayyad mosque in
Damascus, attracting to his circle a large number of distinguished politi-
cians, jurists, and ḥadīth scholars, including the caliph ʿAbd al-Malik. The
connection that the sources make between these two “fijirsts” may point to
a sojourn by al-Walīd in Palestine after an extended period of residence
88
His question to Ibn Ludayn is mentioned by al-Bukhārī (al-Tārīkh al-kabīr 6, 453),
in the biography of Ibn Ludayn. We do not have a date of death for Ibn Ludayn, but it
seems he was one generation older than al-Walīd, since Ibn Sumayʿ placed him in the third
ṭabaqa of the tābiʿūn of Syria; see Ibn ʿAsākir, Tārīkh 26, 92.
89
Al-Walīd’s rather formal visit (qadima ʿalā), as it seems, is mentioned in Ibn ʿAsākir,
Tārīkh 63, 163; al-Mizzī, Tahdhīb al-kamāl 31, 43; Ibn Ḥajar, Tahdhīb al-tahdhīb 11, 140. The
report can be traced back to an early authority, Ibn Khirāsh ʿAbd al-Raḥmān b. Yūsuf, the
Baghdādī ḥāfijiẓ, who died in 283/896. See Ibn ʿAsākir, Tārīkh 36, 107.
90
Al-Ḥajjāj was governor over the Ḥijāz only briefly (74–75/693–694; see Iḥsān Ṣidqī
al-ʿAmad (1973: 145 fff.), whereas he was governor over Iraq for two decades (75–95/694–
714; ibid., 165 fff.).
91
The report appears in Abū Zurʿa, Tārīkh, 713; Ibn ʿAsākir, Tārīkh 2, 283; 63, 161; Ibn
Kathīr, al-Bidāya wa-l-nihāya 9, 159–160. Abū Zurʿa, the fijirst to report it, did so with
an impressive Syrian chain of transmission: he narrated it from a Jurashī scholar, who
narrated from no less than al-Awzāʿī, who took his information from al-Walīd b. ʿAbd
al-Raḥmān’s student, Khālid b. Dihqān.
92
On the controversial nature of this kind of study, see the objections of the Jordanian
scholar and administrator, al-Ḍaḥḥāk b. ʿAbd al-Raḥmān b. ʿAzrab al-Ashʿarī in Ibn ʿAsākir,
Tārīkh 2, 284–285. For more on al-Ḍaḥḥāk, see Wadād al-Qāḍī (2007: 367–369) and n. 89.
93
Hishām b. Ismāʿīl al-Makhzūmī was the governor of Medina under the caliph ʿAbd
al-Malik b. Marwān. ʿAbd al-Malik married his daughter, who bore him the future caliph
Hishām. See Ibn ʿAsākir, Tārīkh 73, 377.
al-zajjāj and glassmaking 239
94
On al-Ramla, see E. Honigmann (1995).
95
On Ibn Abī ʿAbla, see Ibn ʿAsākir, Tārīkh 6, 427.
96
On the lively atmosphere of Ḥimṣ for ḥadīth transmission, see the two articles by
Madelung (1986a) and (1986b) mentioned above (nn. 56 and 68).
240 wadād al-qāḍī
97
Balog (1976: 10).
98
Paul Balog’s extensive work on glass weights and stamps convinced him that “from
the reign of ʿAbd al-Malik until that of Yazīd III (67–126 H.) a special weight system was
used in Syria (Filasṭīn).” idem (1976: 21).
al-zajjāj and glassmaking 241
know that al-Ramla had its own mint starting as early as 101/719 and pos-
sibly earlier.99
Overall, then, the move to Damascus brought al-Walīd closer to govern-
ment circles and put him on the road to joining them. What the stations
on this road were, other than making glass weights, before the caliph-
ate of Hishām, is impossible to pin down, other than to assume that
they involved his promotion into positions with more responsibilities
and, with that, more experience and visibilty. One could thus imagine
him rising gradually from a lowly employee who handles glass with his
hands‒“stamps” or “makes” weights—to an “executive” or “prefect”100 with
bureaucratic rather than menial responsibilities. Without this rise in the
hierarchy of the stafff at the offfijice in charge of weights and measures, it
would be difffijicult to account for his becoming one of the highest-ranking
fijinancial offfijicers in Syria—arguably in the empire‒during the caliphate
of Hishām. By the time of that caliphate—perhaps some twenty or thirty
years after his move to the Damascus area—he must have accumulated
sufffijicient experience in matters technical and enough administrative acu-
men in offfijice management, and he must have become visible enough that
the caliph himself, the highest authority in the empire, appointed him
Finance Director over the vastest stretch of fertile lands surrounding the
capital, al-Ghūṭa, a position in which he was autonomous, despite being
administratively subordinate to the governor of Damascus. As such, he
could report directly to the caliph, as we have seen him indeed do dur-
ing the crisis of Abū l-ʿAmarras and his gang, without going through the
governor of the jund of Damascus.
Al-Walīd’s assumption of this position made him obviously achieve
great power, so that his intervention was sought by people of all walks of
life,101 and even those of great wealth. This we learn from a report cited by
Ibn ʿAsākir.102 The context of the report is the strained relations between
the caliph Hishām and his former powerful governor of Iraq, Khālid
al-Qasrī, after the latter’s dismissal from offfijice in 120/738. Hishām learned
that Khālid had bought a piece of land in the Ghūṭa without fijirst seeking
his permission. Angered by this, Hishām sent a letter to his governor over
Damascus, the above mentioned Kulthūm b. ʿIyāḍ al-Qushayrī, ordering
99
For some surviving coins that carry the engarving of the mint of al-Ramla, see John
Walker (1956: 255–259, nos. 846–879). The earliest dated coin carries the date 101/719–20,
but several coins are undated.
100
See above, at n. 24.
101
See Ibn ʿAsākir, Tārīkh 34, 245; 63, 163.
102
In ibid., 1, 198–199.
242 wadād al-qāḍī
him to immediately give Khālid’s two agents one hundred lashes each
and to parade them in the streets while someone proclaims their trans-
gresstion: buying land without the permission of the Commander of the
Faithful. He also ordered him “to impose a fijine of 400 dīnārs on my agent
(ʿāmilī) over the Ghūṭa, al-Walīd b. ʿAbd al-Raḥmān, and to send them
[the dīnārs] to me, since a piece of land has been bought without his [the
caliph’s] permission.”103 If Hishām’s letter assumes that al-Walīd b. ʿAbd
al-Raḥmān was capable of coming up with 400 gold dīnārs on the spot,
then al-Walīd must have been capable of doing so. This means that, under
Hishām, he had become a very wealthy man.
The last report raises the question of where exactly in the Damascus
area had al-Walīd b. ʿAbd al-Raḥmān resided, at least part of the time,
after leaving Ḥimṣ—and perhaps also the question of the possible per-
sonal motive with meaningful social implications for his move form Ḥimṣ.
A close examination of some texts in the historical sources may allow us
to answer these questions.
Some of these texts104 occur in the reports on the last stages of the suc-
cessful coup that Yazīd III carried out against the sitting caliph al-Walīd II
in 126/744. Yazīd’s supporters, mainly from South Arabian tribes, entered
Damascus and took control of its mosque and treasury, many proceeding
to it from villages in the Ghūṭa, such as Dūma, Ḥarastā, Saṭrā, al-Ḥadītha,
and Dayr Zakkā.105 The sources thus call them “the people of this-or-that
place”: ahl Dūmā wa-Ḥarastā . . . ahl . . . Saṭrā wa-ahl al-Ḥadītha wa-Dayr
Zakkā. Now among those groups ahl Jurash/Jarash are also mentioned.
Since the context is the Ghūṭa, the city of Jarash (in al-Urdunn) cannot be
meant; what is meant is the clan of Jurash. This presents a very interest-
ing but also strange dilemma: how can the word ahl, “the people of,” be
attached to a clan’s name? If the clan is meant, then “Jurash” is sufffijicient,
without ahl. The explanation is simple and has been noted frequently by
Muslim scholars: tribes/clans settle in places and give these places their
own names. This is why we have, for example, the town of al-Awzāʿ in the
Ghūṭa, although the Awzāʿ are originally a tribe. Ahl Jurash in our texts,
then, must mean: the people of the village in the Ghūṭa called Jurash,
whose inhabitants were primarily (or at fijirst, at its foundation) from the
clan of Jurash. What this means for our puposes here is that there must
103
Ibid., 1, 199.
104
In al-Ṭabarī, Tārīkh 7, 241–242; Ibn al-Athīr, al-Kāmil 5, 285.
105
Yāqūt mentions that these villages were located in al-Ghūṭa. See his Muʿjam al-buldān
2, 486 (Dūma); 2, 242 (Ḥarastā); 3, 220 (Saṭrā); 2, 232 (al-Ḥadītha); 2, 513 (Dayr Zakkā).
al-zajjāj and glassmaking 243
have been some mass emigration of Jurashīs to the Ghūṭa near Damas-
cus several decades before 126/744, and those immigrants increased over
time; by 126/744 they had become numerous enough and sufffijiciently
dominant in their new abode that their village was called by the name
of their clan—and probably even registered as such in the government’s
tax records.
Could al-Walīd b. ʿAbd al-Raḥmān have been part of this emigration
out of Ḥimṣ into al-Ghūṭa? This is very likely: the timeframe of his life
certainly permits it, including his possible participation in the battle of
Marj Rāhiṭ, which took place in al-Ghūṭa, as does, of course, his eventual
appointment as the highest fijinancial offfijicer over al-Ghūṭa at the height
of his career. It also would explain how he was able to compose a list for
the caliph Hishām with the names and “tribal attributions and the towns
in which they were registered” of every thief who participated in the
stream of arsons in al-Ghūṭa organized by the gang leader Abū l-ʿAmarras:
al-Walīd probably knew of them from having lived in al-Ghūṭa for a very
long time, not only because he had government records at his disposal.
It is to be noted, that the Jurshī settlement in al-Ghūṭa seemed to have
increased after al-Walīd’s tenure as overseer of its fijinancial afffairs. Half a
century later, in 174/790, during the rebellion of Abū al-Haydhām against
the ʿAbbāsid caliph al-Rashīd, there were four villages with independent
names belonging to the people of Jurash;106 and more than three centuries
later, there was still a village named “Ḥadīthat Jurash” in al-Ghūṭa.107
We can now return to the question posed at the beginning of this study:
whether the nickname of the grammarian al-Zajjāj could have come from
his working as a glass person for the government prior to his becoming
a private tutor and a companion of viziers and caliphs. The answer is,
of course, it is possible, as it was possible in the case of al-Walīd b. ʿAbd
al-Raḥmān two centuries earlier—even if al-Zajjāj had started his career
in glassmaking in the private sector. Indeed, the opportunities of working
for the government during al-Zajjāj’s time were certainly more numer-
ous than they were during the lifetime of al-Walīd b. ʿAbd al-Raḥmān.
In al-Walīd’s life we are not sure what the offfijice that supervised the pro-
106
Ibn ʿAsākir, Tārīkh 26, 72; the safe conduct requested for the qurā Jurash were writ-
ten to the following villages: Bayt al-Balāṭ, Bayt Qūqā, al-Ḥadītha, and Jisrīn. On the revolt,
see Paul M. Cobb (2001: 82fff ).
107
It was in this village that the jurist and Qurʾān reciter al-Ḥusayn b. Muḥammad
al-Nahrabīnī was buried when he died in 530/1135; see Ibn ʿAsākir, Tārīkh 14, 302.
244 wadād al-qāḍī
duction of glass weights was called—whether the name dār (or dīwān)
al-makāyīl wa-l-awzān or dār al-ʿiyār existed then, or was retroactively
used in the later sources; and there probably was not yet a muḥtasib in
charge of observing, among other things, the use of correct weights in the
market.108 By al-Zajjāj’s times, such institutions had become ubiquitous
administrative entities, clearly identifijiable. It is also quite interesting to
note that both al-Walīd b. ʿAbd al-Raḥmān and al-Zajjāj are success stories
of the ambitious and the skillful in that unstratifijied early Islamic society,
both starting out from obscure beginnings steeped in the craft of glass-
making in the commercial sector, and both ending up becoming involved
in government circles and becoming rich and influential. Both also were
involved in scholarship. However, whereas in the case of al-Walīd b. ʿAbd
al-Raḥmān his scholarly career remained in a way parallel to his profes-
sional one of glassmaking, al-Zajjāj’s immersion in scholarship and then
in teaching seems to have put an end to his professional career as a
glassmaker. And whereas al-Walīd’s eventual immersion in his work for
the government subordinated his involvement in scholarship, al-Zajjāj’s
career developed in the opposite direction, leading to what seems to have
been a complete immersion in shcolarship. Despite that, though, al-Zajjāj,
like al-Walīd b. ʿAbd al-Raḥmān—and actually more than him—contin-
ued to be known until the end by the epithet al-zajjāj!
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British Museum.
AGAINST THE ARABIC GRAMMARIANS
SOME POEMS
1
Sextus Empiricus (d. c. AD 250), sceptic philosopher and author of Against the
Grammarians.
2
Baalbaki (2007: xxxix); the line by Ibn Fāris is found in Thaʿālibī, Yatīmat al-dahr 3,
403, Yāqūt, Muʿjam al-udabāʾ 4, 87, Ibn Khallikān, Wafayāt 1, 119, al-Ṣafadī, Nuṣrat al-thāʾir
85, al-Suyūṭī, Bughyat al-wuʿāt 1, 352 and several other sources; also quoted by Ibn Maḍāʾ,
al-Radd (Ḍayf ) 72, and Ibn Maḍāʾ, al-Radd (Bannā) 64. See also Baalbaki (2009: 103), on
Rufayʿ b. Salama.
3
Al-Marzubānī, Nūr al-qabas 223; cf. Ibn Manẓūr, Lisān, FSL. I have not found the word
in Persian dictionaries. Instead of Rufayʿ, some editions have Rafīʿ, e.g. Ibn Qutayba, ʿUyūn
2, 156, al-Qālī, Amālī 3, 186, Ibn ʿAbd Rabbihi, al-ʿIqd 2, 488.
250 geert jan van gelder
they mention specifijically that he was Abū ʿUbayda’s kātib fī l-akhbār, scribe
for his historical writings.4 Apparently, he became exasperated with the
study of grammar when hearing about the discussions of the use of the sub-
junctive; that, at least is clear from the poem, which I present here in the
version of al-Marzubānī:5
tafakkartu fī l-naḥwi ḥattā maliltu / wa-ʾatʿabtu rūḥī bihī wa-l-badan
wa-ʾatʿabtu bakran wa-ʾaṣḥābahū / bi-ṭūli l-masāʾili fī kulli fann
wa-kuntu ʿalīman bi-ʾiḍmārihī / wa-kuntu ʿalīman bi-mā qad ʿalan
fa-kuntu bi-ẓāhirihī ʿāliman / wa-kuntu bi-bāṭinihī dhā fijiṭan
siwā ʾanna bāban ʿalayhi l-ʿafā- / ʾu li-l-fāʾi yā laytahū lam yakun
wa-li-l-wāwi bābun ʾilā janbihī / mina l-bughḍi ʾaḥsibuhū qad luʿin
ʾidhā qultu hātū li-mādhā yuqā- / lu lastu bi-ʾātīka ʾaw ta ʾ tiyan
ʾabīnū li-mā qīla hādhā ka-dhā / ʿalā l-naṣbi qālū li-ʾiḍmāri ʾan
wa-mā ʾin ʿalimtu lahā mawḍiʿan / yabīnu wa-ʾaʿrifu ʾillā bi-ẓann
fa-qad khiftu yā Bakru min ṭūli mā / ʾufakkiru fī baʿḍi dhā ʾan ʾujann
I have thought about grammar until I was bored;
I have wearied my body with it and my soul;
I have worn out al-Māzinī6 and all his friends
With long queries and problems on all kind of things.
In the past I knew matters implicit in it
And I used to know all things explicit in it,
I was knowledgeable about evident things,
Full of insight in things that is hidden in it,
There is only one chapter: the particle (Fie
On it!) fa, and I wish it would never have been!
And there’s one on the particle wa, next to it,
That’s so hateful I think that it must have been cursed.
When I say, “Tell me, please, why on earth do they say,
‘I will not come to you, or it be that you come’?
Please explain why they use the subjunctive mood here!”
Then they say, “Here the particle ‘that’ is implied”.
Yet I cannot see any clear reason for it
To be there; I don’t know and I can only guess.
My dear Bakr, I’ve been thinking for such a long time
About part of this thing I’m afraid I’ll go mad.
4
Al-Zubaydī, Ṭabaqāt 181, al-Qifṭī, Inbāh 2, 6, al-Bakrī, Simṭ 2, 87.
5
Al-Marzubānī, Nūr al-qabas 224; for other versions of the poem see Ibn Qutayba,
ʿUyūn 2, 156–57, al-Qālī, Amālī 3, 186, Ibn ʿAbd Rabbih, al-ʿIqd 2, 489, al-Bayhaqī, al-Maḥāsin
423, al-Sīrāfī, Akhbār (Krenkow) 78, (Bannā) 88–89, Ibn ʿAbd al-Barr, Bahja 1, 68 (where
Damādh’s name is wrongly given as Ghassān b. Rufayʿ), al-Qifṭī, Inbāh 2, 5–6. See also
Jabbārīn (1999: 332). For the sake of the clarity of the prosody, when transliterating verse,
I indicate word-initial hamza, normally omitted.
6
Abū ʿUthmān Bakr b. Muḥammad al-Māzinī (d. 247/861), grammarian from Basra. He
commented on this line: “I don’t think he ever asked me, so how could he have worn me
out?” (al-Qālī, al-Amālī 3, 186).
against the arabic grammarians: some poems 251
Al-Marzubānī explains:
This happened because the Basrians maintain that a verb is put in the sub-
junctive mood only when the particle an (“that”) is understood. Thus, when
someone says,
lā tanha ʿan khuluqin wa-ta ʾ tiya mithlahū
ʿārun ʿalayka ʾidhā faʿalta ʿaẓīmū
Do not forbid a vice and then do the like:
A grave and shameful thing, if you do that!7
then the interpretation [explaining the subjunctive wa-ta ʾ tiya] is: let not
these two things come together for you, that (an) you forbid a vice and that
(an) you do the like. If you say, “I will not come to you or it be that you come
(ʾaw ta ʾ tiya) to me” then the interpretation is “I will not come to you unless
(that) you come (ʾillā ʾan ta ʾ tiya) to me”. As for the particle fa, in God’s word
“Would that I had been with them, and I attained ( fa-ʾafūza) a mighty tri-
umph!” (Q 4:73), the interpretation is: “Would that it had come together for
me, that I had been with them and that I then had attained ( fa-ʾan ʾafūza)
a mighty triumph”.
Even though he claims in his poem to have understood all of grammar,
both its obvious and its more obscure topics, apart from the chapters on
the particles fa and wa, Damādh was not the only one to be bafffled by
the subjunctive mood in such cases.8 For the grammatical background
I could refer to the grammarians themselves, above all of course to the
master-grammarian who is the recipient of this volume, and who has
written authoritatively precisely on these “cursed” chapters.9 There is
one oddity connected with this: in the poem we fijind lastu bi-ʾātīka ʾaw
ta ʾ tiyan. One notices in passing that the grammars do indeed use the
verb ʾatā “to come” in their illustrative sentences. However, one would
have expected ʾaw ta ʾ tiyā, the pausal form of ta ʾ tiya, so why is ta ʾ tiyan
used? At fijirst sight this looks like the so-called energetic form, but I am
7
Often quoted; attributed to al-Akhṭal in Sībawayhi, al-Kitāb 1, 424, to Ḥassān b.
Thābit in al-Sīrāfī, Sharḥ abyāt Sībawayhi 2, 188, to al-Mutawakkil al-Laythī in al-Buḥturī,
al-Ḥamāsa, 142, al-Iṣfahānī, al-Aghānī 7, 160, Ibn ʿAbd Rabbihi, al-ʿIqd 2, 311, al-Marzubānī,
Muʿjam 339, to Sābiq al-Barbarī by al-Ḥātimī, Ḥilya 1, 296; anonymously in Ibn Qutayba,
ʿUyūn 2, 19. See also al-Baghdādī, Khizāna 8, 566–67, al-Baṣrī, al-Ḥamāsa 2, 15, etc.
8
See e.g. Stefan Wild (1980) and al-Hamadhānī, al-Maqāmāt 366 (al-Maqāma
al-Dīnāriyya): yā aqbaḥa min ḥattā fī mawāḍiʿa shattā (in Prendergast’s translation: “you
worse than ḥattā in its various constructions!”)—with thanks to Bilal Orfali for reminding
me of this phrase. The particle ḥattā can serve as a preposition, or an adverb, or a conjunc-
tion followed by the perfect, the imperfect indicative, or the subjunctive. The grammarian
al-Farrāʾ (d. 200/822) famously said “I’ll die with something about ḥattā still on my mind”
(e.g. al-Marzubānī, Nūr al-qabas 301, Ibn Khallikān, Wafayāt 7, 180).
9
Baalbaki (2001).
252 geert jan van gelder
not aware that this can ever be used instead of a subjunctive. The solu-
tion is to consider it a shortening of ta ʾ tiyanī, “you come to me,” which
would be very unusual in Abbasid times, but is at least attested in early
poetry; Damādh seems to allude specifijically to a line by al-Aʿshā quoted
in Sībawayh’s Kitāb.10
The other sources for this poem do not offfer important variants, but a
few deviations should be mentioned. The third line, with the words wa-
kuntu ʿalīman bi-ʾiḍmārihī, is found only in al-Marzubānī. It is interesting
that it contains the word iḍmār, which nicely anticipates line 8, on the
“implied” presence of an, the matter that gave rise to the poem; iḍmār is
used here as a near-synonym of taqdīr, “theoretical reconstruction”.11 Clever
though it may be, I think the line may be a later addition, an amplifijication
of the idea expressed in the following line, where the antonymous pair
iḍmār and iʿlān (here used as a merismus: the implicit and the explicit,
i.e. all of it) is replaced by another pair, bāṭin and ẓāhir. One cannot be
sure, of course, and that Damādh liked to play with words is clear from his
amusing paronomasia, bāban (ʿalayhi l-ʿafāʾ!) li-l-fāʾ, “a chapter–Fie on it!–
on fāʾ”. In the oldest sources, Ibn Qutayba, Ibn ʿAbd Rabbih, and al-Qālī,
the last line is fa-qad khiftu yā bakru min ṭūli mā / ʾufakkiru fī ʾamri ʾan
ʾan ʾujann, “My dear Bakr, I’ve been thinking for such a long time / On
the matter of ‘that’ that I fear I’ll go mad”, a reading I prefer not so much
because it may be older as for the appropriate use of the subjunctive and
the witty repetition of ʾan. The penultimate line as found in these sources
is wa-mā ʾin ra ʾ aytu lahā mawḍiʿan / fa-ʾaʿrifa mā qīla ʾillā bi-ẓann, “Yet I
cannot see any clear reason for it / To be there so I know it; I can only
guess.” One notices that it contains precisely the same kind of subjunctive,
after fa- in this case. To me this, too, seems a superior reading, because it
shows that to those who grew up with the language (and Damādh, in spite
of his nickname, was an Arab by descent) do not need explicit knowledge
of the rules of grammar in order to apply them correctly.
10
fa-hal yamnaʿannī rtiyādu l-bilā- / di min ḥadhari l-mawti ʾan ya ʾtiyan; another line
from the same poem ends . . . ʾidhā mā ntasabtu lahū ʾankaran, see Sībawayhi, al-Kitāb 2,
151, 290; cf. also Wright (1896–98: 2, 371). Another archaic feature in the poem is the vari-
ant fakkartu, found instead of tafakkartu in the version of al-Sīrāfī: the elision of the fijirst
short syllable in the mutaqārib meter called kharm (normally found only in the opening
line of a poem) is very rare in muḥdath poetry. It is probably the original reading, since it
is unlikely that al-Sīrāfī would have introduced it.
11
The terms refer to the same thing from diffferent points of view: iḍmār means that the
speaker “hides” something, taqdīr means that the grammarian “reconstructs” it.
against the arabic grammarians: some poems 253
12
Ibn ʿAbd al-Barr, Bahja 1, 69–70; cf. Ibn Jinnī, al-Khaṣāʾiṣ 1, 239–240, al-Tawḥīdī,
al-Imtāʿ 2, 140, al-Wāḥidī, Sharḥ 533–534 (where the poet is given as ʿAmmār al-Kilābī),
al-Qifṭī, Inbāh II, 42–43, Yāqūt, Muʿjam al-udabāʾ 7, 104, (where the poet is called ʿAmr
al-Kalbī), al-Zawzanī, Ḥamāsa 288, al-ʿAlawī, Naḍra 454. Seven lines, from the versions of
Yāqūt and al-Wāḥidī, are quoted and translated in Fück (1950: 90, 1955: 137–138).
254 geert jan van gelder
They are a pain, these would-be Arabs and that thing of theirs 1
They have invented, called “Grammatical Analogy”!
When I compose a virgin13 poem that contains a thing
That goes against their novelty and their Analogy,
They say, “A solecism! This should be a genitive!
That word is an accusative! No nominative there!”
They take great pains to set Abdallah against Amr and Zayd,
And the result is much protracted beating and much pain.
I’ve made one poem that will answer them once and for all: 5
A lot of talking is cut short by means of brevity.
Not everything I say will be explained to you: so take
Whatever you understand; and what you do not, leave alone!
Then I’ll return to my own people, who’ve been fed on what
I have been fed myself, where one is free to speak at large.
Then they14 will understand what I intend to say to them,
And they and I will be, in what we say, on equal terms.
How diffferent are those who must make effforts when they speak
From those who, by their nature stamped, speak perfect Arabic!
How great the gap between those who have seen with their own eyes 10
And those who merely imitate some things that they have heard!
Where I have been brought up no fijires are ever kindled by
The Zoroastrians, nor are there any churches built.
No monkey and no pig will ever trample on its soil:
The antelope, the lion, the hyena are found there.15
The poet is particularly incensed about qiyās, analogy (vss. 1–2); although
manṭiq in vs. 9 seems to mean “speech,” it is possible that the poet puns
on the secondary meaning, “logic.” Qiyās has always been controversial,
and not only in grammatical analysis, of course, especially when it takes
on a life of its own. Abū Muḥammad al-Yazīdī (d. 202/817) condemns, not
grammar as such, but grammarians who apply qiyās too rigorously:16
13
I.e. with original motifs, never used before.
14
Preferring the reading fa-yaʿrifū, with al-Wāḥidī, instead of fa-taʿrifū, “then you will
know”: the poet seems to refer to his own people, who will understand him. The line is
not found in the other sources.
15
Al-Tawḥīdī has al-hayqu wa-l-sīdānu wa-l-ṣadaʿū, “the male ostrich, wolves, and young
mountain goats (or young antelopes, onagers, camels)”, al-Qifṭī has al-ʿīnu wa-l-dhayyālu
wa-l-ṣadaʿū, “large-eyed oryx cows, wild bulls . . .”
16
al-Marzubānī, Nūr al-qabas 287, al-Sīrāfī, Akhbār (Krenkow) 44–45, (Bannā) 61–62,
Yāqūt, Muʿjam al-udabāʾ XX, 31–32, Ibn al-Anbārī, Nuzhat al-alibbāʾ 71, al-Suyūṭī, Bughya 2,
163–164. See also Jabbārīn (1999) 331.
against the arabic grammarians: some poems 255
17
One of the basic meanings of naḥw (“grammar, syntax”) is “direction”.
18
Yāqūt, Muʿjam al-udabāʾ 8, 191, Ibn ʿAbd al-Barr, Bahja 1, 68, al-Qifṭī, Inbāh 2, 267,
al-Ṣafadī, Wāfī 21, 71, al-Suyūṭī, Bughya 2, 164. Some of the oldest sources, with fī kulli ʾamrin
(“in every matter”) instead of fī kulli ʿilmin, make grammar and qiyās even more universally
useful: Ibn al-Jarrāḥ, al-Waraqah 27, al-Marzubānī, Muʿjam, 138.
19
Ibn Shākir, Fawāt 4, 285, al-Ṣafadī, Wāfī 28, 202–203 (which, in the last verse, has fīhi
maḥalla instead of fīhī julla).
256 geert jan van gelder
20
It is not possible to translate the punning in lines 4–6 adequately. A more literal
version of the two last lines would be “The accusative (naṣb, ‘setting up’) in it to me was a
swindle (naṣb), / The nominative (raf ʿ, ‘raising’) in it raised only other people’s status, //
The genitive (khafḍ, ‘lowering’) in it was all I got, / The jussive (jazm, ‘cutting offf’) in it
only cut short my reputation”.
21
Ibn ʿAbd al-Barr, Bahja 1, 67; a diffferent version, ascribed to baʿḍ al-warrāqīn, in Ibn
ʿAbd Rabbihi, al-ʿIqd 2, 487.
22
Al-Sīrāfī, Akhbār (Krenkow) 54, (al-Bannā) 69; cf. al-Marzubānī, Nūr al-qabas 107, Ibn
Khallikān, Wafayāt 3, 490–491, Ibn al-Anbārī, Nuzha 104, al-Suyūṭī, Bughya 2, 237, accord-
ing to the editor found in the margin of the manuscript.
against the arabic grammarians: some poems 257
It is always irksome when one hears what seems to be one’s own language
but fijinds it wholly unintelligible. By way of introduction to the poem by
ʿAmmār al-Kalbī, al-Qifṭī recounts the following anecdote:23
A Bedouin stopped by a class of al-Akhfash and heard them speak about
grammar (or syntax, naḥw). He was bewildered and amazed. He bowed his
head and muttered to himself (waswasa). Al-Akhfash said to him, “Hearing
anything odd, Arab brother?” He replied, “I see you speak with our speech
about our speech things not found in our speech!” Then al-Akhfash recited
[this poem], by a Bedouin.
The same bewilderment is expressed by an anonymous Bedouin in the
following epigram:24
mā zāla ʾakhdhuhumū fī l-naḥwi yuʿjibunī
ḥattā taʿāṭaw kalāma l-zanji wa-l-rūmī
ḥattā samiʿtu kalāman lastu ʾaʿrifuhū
ka ʾ annahū zajalu l-ghirbāni wa-l-būmī
rafaḍtu naḥwahumū wa-llāhu yaʿṣimunī
mina l-taqaḥḥumi fī tilka l-jarāthīmī
Their ways with grammar never fail to bafffle me:
They seem to deal with speech of Blacks and Byzantines.
I hear their speech and do not understand a thing:
It sounds much like the raucous cries of crows and owls.
Their grammar I reject hereby! May God keep me
Immune from stumbling upon anthills (dust-heaps?) such as these.25
Abū l-Zahrāʾ Ṣalaṭān b. ʿAwsaja, another Bedouin, does something sim-
ilar in a poem, in which he ungratefully attacks his kind host in Kufa,
Abū Ḥammād, a merchant and seller of date, who was an admirer of the
23
al-Qifṭī, Inbāh 2, 42, in the entry on Saʿīd b. Masʿada al-Akhfash al-Awsaṭ (d. c.
215/830). According to al-Qifṭī, al-Akhfash then recited the poem Mādhā laqītu, “by some
Arab”. Yāqūt has a diffferent introduction, in which ʿAmr al-Kalbī (thus) is peeved when
“an erudite person” (baʿḍ ahl al-adab) tells him that the word mazʿūj, in a line recited by
ʿAmr, should be muzʿaj (Yāqūt, Muʿjam al-udabāʾ 7, 103).
24
Al-Marzubānī, Nūr al-qabas 58, Ibn ʿAbd al-Barr, Bahja 1, 69; it is attributed it to “Abū
Muslim, the tutor of ʿAbd al-Malik b. Marwān” in al-Zubaydī, Ṭabaqāt 125–126, al-Qifṭī,
Inbāh 3, 292; 4, 169 and al-Suyūṭī, Bughya 2, 291. See also Jabbārīn (1999: 331). A reply by
Muʿādh al-Harrāʾ is quoted in these sources, which makes for problematic chronology, for
Muʿādh (d. 187/803), though born, it is said, during the reign ʿAbd al-Malik (d. 86/705), can
hardly have been old enough to address the caliph’s tutor, yet in the accompanying anec-
dote Abū Muslim is said to have attended his majlis. See also Yāqūt, Muʿjam al-udabāʾ 8,
193–194 and al-Ṣafadī, Wāfī 21, 72: . . . bi-maf ʿalin faʿilin lā ṭāba min kalimin / ka-ʾannahū
zajalu l-ghirbāni wa-l-būmī. According to the version in al-Rāghib, Muḥāḍarāt 1, 20, which
has fī l-shiʿri instead of fī l-naḥwi, it is the study of prosody rather than grammar that is
mocked here.
25
I am not wholly certain of the translation; jurthūma means “root, base of a tree; dust-
heap around a tree;” it can also mean “anthill”, which seems to suit the context.
258 geert jan van gelder
speech of the Bedouin Arabs and who questioned his guest on a matter
of grammar:26
yusāʾilunī bayyāʿu tamrin wa-jardaqin
wa-māziju ʾabwālin lahū fī ʾināʾihī
ʿani l-rafʿi baʿda l-khafḍi lā zāla khāfijiḍan
wa-naṣbin wa-jazmin ṣīgha min sūʾi rāʾihī
fa-qultu lahū hādhā kalāmun jahiltahū
wa-dhū l-jahli yarwī l-jahla ʿan nuẓarāʾihī . . .
I am asked by seller of dates and of cakes,
a mixer of all kinds of piss in his vessel,27
About “raising” [nominative] and “lowering” [genitive]—may he “lower”
forever!—
and “erecting” [accusative], and “clipping” [jussive], formed from his evil
ideas!
I told him: these are words of which you are ignorant;
an ignorant man will transmit ignorance from his equals. . .
In the rest of the poem he proceeds to lampoon the grammarians rather
than their grammar: “Who is then that clothier, someone who shits in his
clothes?” (on al-Kisāʾī, whose name means “clothier”).
One of the problems of works on syntax—and the same could be said
about most treatises on prosody, ʿilm al-ʿarūḍ—is that they often seem
remote from normality. Just as the works on poetic meters are full of
verses that are either fabricated or exceptional, works on grammar con-
tain sentences that nobody would ever produce. An anonymous request
for information in the form of an epigram addressed to Abū Bakr b. ʿUmar
Ibn al-Daʿʿās al-Fārisī (d. 667/ 1269) may have been meant seriously, but
one suspects that it was a way of mocking the grammarians:28
ʾayyuhā l-fāḍilu fīnā ʾaftinā / wa-ʾazil ʿannā bi-fatwāka l-ʿanā
kayfa iʿrābu nuḥāti l-naḥwi fī / “ ʾana ʾanta l-ḍāribī ʾanta ʾanā”?
Distinguished Sir! Please give us your advice,
And with your fatwa end our misery:
How do the syntacticians parse this:
“I whom you are my hitter me is me”?
26
Ibn ʿAbd Rabbih, ʿIqd III, 493–494 (I am grateful to Bilal Orfali for this reference). On
this Abū l-Zahrāʾ, see Nagel 2003.
27
Abū Ḥammād’s neighbours sold date wine.
28
Al-Suyūṭī, Bughya 1, 470.
against the arabic grammarians: some poems 259
29
A similar grammatical fatwa in verse by the Andalusian poet and grammarian
Muḥammad b. Yaḥyā Qalfāṭ (d. 302/915) is given by al-Zubaydī, Ṭabaqāt 280–281, in reply
to a query that is lost (and possibly in verse, and meant as mockery) about how to apply
the pattern of musḥankik (i.e. muf ʿanlil) to the roots ʾYN and ʾNY; according to al-Zubaydī
he makes a mess of the morphology.
30
Brockelmann (1965a: 4*–9*), Lettinga (1962: 90–91), Harrison (1962: 158–165), Brock-
elmann (1965b: 126–129), Costaz (1964: 133–138), Höfner (1943: 59–72). One may compare
the complaint of the Greek poet Palladas in an epigram, about grammar books starting
with “wrath”, “woes” and other curses, taken from the beginning of the Iliad (The Greek
Anthology 3, 90–91).
260 geert jan van gelder
(d. c. 275/88), author of a lost book on poets, quoted the following lines
(with an untranslatable wordplay in naḥḥi l-naḥwa):31
ʾa-ʿādhilu naḥḥi l-naḥwa fa-l-shuʾmu fī l-naḥwī
wa-kulli ʿarūḍiyyin khaliyyin mina l-sarwī
wa-mā jtamaʿā wa-l-khayra fī manzili mriʾin
takallama bi-l-taqʿīri fī majlis l-laghwī
You who reproach me, take away this “grammar”! There’s bad luck in
grammar
and in every prosodist lacking nobility.
There has never been anything good in these two coming together in the
house
of a man who speaks pompously where people gather to speak drivel.
Among the rudest verses on grammar may well be the distich by Abū
l-Muṭahhar al-Azdī (d. 5th/11th century), said by the foul-mouthed epony-
mous protagonist of Ḥikāyat Abī l-Qāsim al-Baghdādī:32
ʾin ʿāba mawlāya qawlī / wa-ghtābanī bi-qabīḥī
kharītu fī bābi ʾafʿal- / tu min kitābi l-faṣīḥī
If you fijind fault, my dear Sir, with my words,
And calumniate me,
I’ll shit in the chapter “To Make Someone Do”
Of The Book of Good Arabic Usage.
Kitāb al-Faṣīḥ is without doubt the well-known work of Thaʿlab (d. 291/904),
which has a chapter entitled bāb faʿaltu wa-afʿaltu bi-khtilāf al-maʿnā, “Chap-
ter on Verbal Forms I and IV with Diffferent Meanings.”33 Perhaps even ruder
is Ibn al-Ḥajjāj (d. 391/1001), who said at the end of a longer poem:34
shaykhī ʾabū murratin wa-ʿayshiya law / ʿaṣaytuhū kāna fāsidan murrā
law ʿābanī sībawayhi qultu lahū / kharā l-kisāʾī fī liḥyati l-farrā
The devil (lit. “Father of Bitterness”) is my master, and my life,
If I would disobey him, would be bad and bitter.
Were Sībawayhi to blame me, I would say to him:
May al-Kisāʾī’s shit be on the beard of al-Farrāʾ.
31
Al-Ṣafadī, Wāfī 28, 225, which has Mahduwayh instead of Mihrawayh (but see e.g.
Sezgin, Geschichte II, 95, 457, 506, 507). Instead of the edition’s ʾa-ʿādhila I read ʾa-ʿādhilu.
32
[al-Tawḥīḍi], al-Risāla 57 and Azdī, Ḥikāya 7. Its most recent editor has attributed
the work, on uncertain grounds, to Abū Ḥayyān al-Tawḥīdī. The earlier edition, by Mez,
wrongly has wa-ʿtābanī and al-faḍīḥī.
33
See Thaʿlab, Faṣīḥ 11–14.
34
Ibn Nubāta, Talṭīf 135 (I thank Emily Selove for this reference).
against the arabic grammarians: some poems 261
In the last verse the poet manages to insult three leading early grammari-
ans, Sībawayh (d. c. 177/793), al-Kisāʾī, and al-Farrāʾ (d. 207/822). Moreover,
the line will only scan correctly (in munsariḥ meter) if grammar itself is
violated, by shortening al-Kisāʾiyyi to the uninflected al-Kisāʾī:35 the poet
is simultaneously rude and subtle, aptly exploiting apparent ineptness.
The ungrammaticality committed by Ibn al-Ḥajjāj in this verse is
exceptional and thereby seems to confijirm the general observation that
although poets may grumble against the rules imposed by the grammar-
ians they are not seriously rebelling against them. The works of grammar-
ians are to a large extent descriptive rather than prescriptive; nevertheless
their rules were, quite naturally, taken (and intended) as normative and
binding. This could not but cause some slight resentment in the minds
of those who had naturally incorporated the rules to such an extent that
they needed neither explicit rules nor a plethora of technical terms.
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wa-l-nuḥāt. Ed. by Muḥammad Abū l-Faḍl Ibrāhīm. 2 vols. Beirut: Dār al-Fikr, 1979.
al-Tawḥīdī, Abū Ḥayyān ʿAlī b. Muḥammad. al-Imtāʿ wa-l-muʾānasa. Ed. by Aḥmad Amīn
and Aḥmad al-Zayn. 3 vols. Cairo: Lajnat al-Taʾlīf wa-l-Tarjama wa-l-Nashr, 1939–53.
——. al-Risāla al-Baghdādiyya. Ed. by ʿAbbūd al-Shāljī. Cologne: Manshūrāt al-Jamal /
Al-Kamel Verlag, 1997 (see also Azdī, Ḥikāya).
al-Thaʿālibī, Abū Manṣūr ʿAbd al-Malik b. Muḥammad. Yatīmat al-dahr. Ed. by Muḥammad
Muḥyī l-Dīn ʿAbd al-Ḥamīd. 4 vols. Cairo: Maktabat al-Ḥusayn al-Tijāriyya, 1947.
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Thaʿlab, Abū l-ʿAbbās Aḥmad b. Yaḥyā Thaʿlab. Kitāb al-Faṣīḥ. Ed. by J. Barth. Leipzig,
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Yāqūt al-Ḥamawī, Shihāb al-Dīn Yāqūt b. ʿAbd Allāh. Muʿjam al-udabāʾ. 20 vols. Beirut:
Iḥyāʾ al-Turāth al-ʿArabī, n.d. (repr. of ed. Cairo, 1936–38).
al-Zawzanī, Abū Muḥammad ʿAbd Allāh b. Muḥammad al-ʿAbdalakānī. Ḥamāsat al-ẓurafāʾ
min ashʿār al-muḥdathīn wa-l-qudamāʾ. Ed. by Khalīl ʿImrān al-Manṣūr. Beirut: Dār al-
Kutub al-ʿIlmiyya, 2002.
al-Zubaydī, Abū Bakr Muḥammad b. al-Ḥasan al-Andalusī. Ṭabaqāt al-naḥwiyyīn. Ed. by
Muḥammad Abū l-Faḍl Ibrāhīm. Cairo: Dār al-Maʿārif, 1984.
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_____ (ed.). 2007. The Early Islamic Grammatical Tradition. Aldershot, Hants: Ashgate
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Enzyklopädie.
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Costaz, L. 1964. Grammaire Syriaque. 2nd ed. Beirut: Imprimerie Catholique.
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LINGUISTICS
LINGUISTIC OBSERVATIONS ON THE THEONYM ALLĀH
Aziz Al-Azmeh
The purpose of this essay is to look into the character and possible prov-
enance of the divine name Allāh, which became ultimately the supreme
theonym in the Qurʾān. The discussion to follow is concerned primarily
with matters of direct pertinence to the divine name Allāh as a linguistic
phenomenon; other aspects of this theonym, such as the contexts of its
use among pagan Arabs, of the use and semantic status of theonyms in
general, and its use in the Qurʾān, have been treated elsewhere.1 Further,
the following paragraphs shall confijine their treatment to the pre-Qurʾānic
Allāh almost exclusively as a proper name: as an iconic sign having no
determinate semantic content or standard pragmatic interpretation, and
virtually irrespective of any interpretative code which might establish its
intension and extension, as a member of the “linguistically poor universe”
of proper names.2
Morphologically, it is clear that Allāh is related to the Semitic ’lh, of
which it is an amplifijied form.3 Whether a morphological treatment based
upon the standard stem and pattern model common in Semitic philol-
ogy overall be an appropriate guide to semantical pragmatics and his-
torical linguistics is a view that I hold to be doubtful, not least as this
model appears to be a tool of grammatical and lexicographic rationalisa-
tion rather than a description of actual word formation, with the stem
being an artifact rather than a linguistic reality.4 Be that as it may, fol-
lowing an opinion common among Arab grammarians, and attributed to
al-Khalīl b. Aḥmad, Allāh has generally been taken to be a syncope of
al-’Ilāh by a haplology, with the suppression of the hamza according to
a regular pattern in Arabic nominal terms (’lh < ilāh < al-ilāh < Allāh),5
1
This essay is an amended version of a section in ch. 5 of my forthcoming A History of
Allah: Islam in Late Antiquity. General points made throughout this essay are sustained by
detailed discussion there.
2
Eco (1977: 87 and § 2.9.2); Ullmann (1971: 122).
3
Thus, not from ’il and the morphologically related *Iln, *Ilahay, *Ilat and others, as
suggested by Moubarac (1955: 98f.).
4
See in particular, Larcher (1995: passim); idem (2007: 94 fff.); Porkhomovsky (2007: 46).
5
Sībawayhi, al-Kitāb 2, 195fff. drawing an analogy with unās < al-unās < al-nās. See
Fleisch (1961: § 30h); Testen (1998: 215fff.).
268 aziz al-azmeh
though the degree of regularity of this rule has been disputed.6 There does
seem to be a certain contrivance in the labour of classical Arab linguists
who devoted some considerable attention to this matter. Some preferred
to see Allāh generated from ’Ilāh, others from lāh; often, in the manner
usual for the time and still common in Islamic Studies today, a marked
preference was given to considerations of etymology.7 This said, it must
also be stated that this view is morphologically and semantically satisfac-
tory and presents no serious phonetic difffijiculties.
The trouble with such morphological genealogies is that they privilege
etymologies and pseudo-etymologies of supposedly ultimate origin and
initial condition (what Arabic grammarians and lexicographers termed
waḍʿ) over a more historical pursuit of realised semantic fijields and of
pragmatics,8 and, indeed, over the history of language. They draw seman-
tic conclusions from morphological connections incautiously, appearing
far too bookish and unhistorical, in this case postulating implicitly for
the authors of Safaitic inscriptions, and for Muḥammad, an improbable
application to morphology as various derived forms of the stem ’lh were
deployed. In this sense, the evasion of historical, semantic and a socio-
linguistic approach to the matter would amount to a somewhat incurious
lectio facilior.
In contrast, paralinguistic and non-philological considerations would,
however, indicate a number of more pertinent matters. ’Lh had been voca-
lised as Allāh when used as the theophoric element in a variety of personal
names, spread widely, and this is shown by late antique Greek epigraphic
and literary transliterations in northern Arabia and its extensions further
north (as -allas or -allos).9 One might note, anticipating a point which will
be made below, that Allāt, or rather ’lt, to which the Arabic defijinite article
is almost invariably imputed, is a name not attested epigraphically in the
form Allāt. She was an ubiquitous deity, worshipped far beyond territories
6
Winnett (1938: 247).
7
Ibn Manẓūr, Lisān al-ʿarab, ʾ-l-h; al-Rāzī, al-Tafsīr al-kabīr 1, 87fff.; Gimaret (1988: 121fff.).
For Allāt: Krone (1992, 43fff.). For a review of the morphology of Allāh and other divine
names in the Qurʾān according to Arabic grammarians, see al-Zajjājī, Ishtiqāq asmāʾ Allāh.
For reasons that remain unclear, Ibn Durayd, al-Ishtiqāq, 11, 482, declared, uncommonly,
that he was disinclined to pursue this matter.
8
On the root fallacy of Biblical vocabulary and associated themes, see Barr (1961, 107
fff.); in briefer compass but with succinct focus, Sawyer (1999: 116), and the works there
cited.
9
For instance, J.-B. Chabot and G. Ryckmans (1907–1950: ## 2049, 2066, 2096) (the last
an uncertain reading), and passim, derivatives from -’lhy, with the y serving as a mater lec-
tionis; Haussig (1965: 422); Wuthnow (1930: passim—the evidence here stems from Egypt);
Bin Sarāy and al-Shāmisī (2000: 33); Sourdel (10, 52, 88).
linguistic observations on the theonym allāh 269
where the defijinite article al- was in use, and long before there is any evi-
dence for the use of this phoneme as a defijinite article.
Moreover, on the common assumption of the presence of a defijinite
article attached to these theonyms, the Dadanitic hlh and Thamudic h’lh
should in fact have been ha-Lah, or han-’Ilah,10 not ha- or han-Allah, and
clearly not Allāh. In the context of compounds from ’lh in Arabic, one
might also consider Arabic forms of jurative invocation, not very frequent
but common enough, that use lah as their nominative element, but with-
out the velarised or emphatic ḷ, of Allāh, such as ta-l-Lāh, li-l-Lāh and
(more commonly) bil-Lāh. Like li and bi, the element ta functions gram-
matically as a preposition, and all these expressions are formulaic ellipses
excluding uqsimu (“I swear”) and similar formulae.11 In all these cases,
Arabic grammar detected a contracted Allāh component, although these
jurative invocations actually have the form of ta-’llah and bi-’llah, with
hamzat al-waṣl omitted. One possible conclusion that might be drawn
from the foregoing is that the ha element in Ancient North Arabian may
well have been a prefijixed vocative particle rather than a defijinite article, a
phenomenon which is attested.12 Transposing this into the suggestion that
the al- in Allāh may be a vocative particle is attractive, but it would seem
to be unique to Allāh, as there is no incidence elsewhere in Arabic of its
use as a vocative particle.
Whatever conclusion may or may not be drawn from this, it is likely
that, in terms of its history, the form Allāh was not so much a morpho-
logical derivation from ilāh or lāh, as integrally primary, it was a name
adopted, in an obscure way that is probably no longer recoverable, in its
absolute form irrespective of its morphology. This is a matter also high-
lighted in Arabic grammar, where the al- element was seen in this case to
be integral to the word’s structure, and not used as a mark of defijinitive-
ness, not least on the devotional argument that the supreme name of God
cannot be indefijinite,13 a perceptive intuition nevertheless. The implausi-
bility of the morphological hypothesis discussed is further sustained by
the fact that the addition of the defijinite article al- to Lāh or Ilāh would
10
The defijinite article in Dadanitic changes from h- to hn- only before glottals and
pharyngals: Macdonald (2004: 517f.).
11
cf. Fleisch (1961: § 151g), and see al-Suyūṭī, al-Itqān fī ʿulūm al-Qurʾān 1, 572.
12
Ibn Manẓūr. Lisān al-ʿarab, “h”; Macdonald (2004: 519).
13
Sībawayhi, al-Kitāb 2, 195f.; Khan, Die exegetischen Teile des Kitāb al-‘Ayn, 112; al-Qurṭubī,
al-Jāmiʿ li Aḥkām al-Qur’ān 1, 103); al-Suyūṭī, al-Itqān fī ʿulūm al-Qurʾān 1, 543). See the dis-
cussion of the related questions of defijinitiveness in proper and common names in Ibn
al-Anbārī, al-Inṣāf fī masāʾil al-khilāf, # 101, and of al- in Ibn Hishām, Mughnī al-labīb, 50f.
270 aziz al-azmeh
yield diffferent but allophonic values for the medial vowel a (/Œ/ and /a/
respectively, according to the International Phonetic Alphabet, for Lah/
Ilah and Allah). This is at least the case with their enunciation according
to standard Qurʾānic modes of cantillation.
This brings us to the related matter of tafkhīm, emphasis by velarisa-
tion of the phoneme /ḷ/ in Aḷḷāh which, like defijinitiveness, was regarded
in classical Arabic grammar and much modern scholarship alike as arising
from moral enhancement and tonal emphasis, without adequate atten-
tion to its grounding in Arabic phonetics and historical linguistics.14 The
velarised /ḷḷ/ in Allāh appears irregular and sui generis;15 the only rule that
might be formulated would be that the phoneme /l/ has the allophone
[ḷ] in the sequence /-llāh/ when it is not preceded by /i/ and when it
means God.16 Regardless of whether the velarised ḷ should be regarded as
an allophone or an independent phoneme, this is an unusual phenom-
enon in which a phoneme of such rare occurrence in the total lexicon
of the Arabic language yet appears in one particular morpheme which
occurs very frequently. This phenomenon is not altogether unknown in
other languages.17
The peculiar phonetic character of Allāh invites consideration of its
provenance, in so far as this might be ascertainable. It has been proposed
that Allāh came from the Aramaic in the absolute state Allāhā, as a proper
name, duly arabised by dropping the determinative afffijix ā.18 But there is
no trace of Allāhā in Syriac, only of Alāhā, and there is no doubling of
consonants in this language.19 Indeed, the point was made that the Syriac
form might have been derived from the Arabic,20 a point which might gain
sustenance from the occurrence of *Ilaha in Thamudic,21 with a tendency
14
al-Suyūṭī, al-Itqān fī ʿulūm al-Qurʾān 1: 543, and the comments of Ambros (1981: 24).
15
Ambros (1981: 23, 27).
16
Ferguson, (1956: § 2). This and other features would distinguish velarisation of the
divine name from the other instances of the velarised / ḷ /, in the neighbourhood of certain
consonants, and in unpredictable items such as loan words–see ibid., § 1 and cf. Ambros
(1981: 25, 28 n. 26).
17
Ferguson, (1956: § 2), where the author cites a similar phenomenon respecting the
phonetic value ð in English (as the th in this) which occurs, of course, in many more
morphemes.
18
Jefffery (1938: 66f.); Winnett (1940: 122); Trimingham (1979: 251 n. 14); Nau (1933: 26
n. 2), who concludes unnecessarily from this that the origin of Muḥammad’s Allāh is
Christian.
19
Blau (1972: 175f.).
20
Littmann (1934: x), and see Blau (1972: 176).
21
The best studied instance is a famous Greek/Nabatean inscription dated A.D. 166–9
at al-Rawwāfa, 75 km southwest of Tabūk, with an invocation to ’[l]h’, read as *ilaha. Text
in Milik, (1971: 58), commentary in Bowersock (1975) and Beaucamp (1979).
linguistic observations on the theonym allāh 271
in late sixth- and early seventh-century Syriac towards the emphatic artic-
ulation of the /a/, giving it a tonal colour comparable to the Arabic ā in
contact position with velarised consonants.22 In all, the matter of the rela-
tionship between Arabic and Syriac in this regard needs to be adjudged
inconclusive, but must also bear consideration in terms of the possibility
that this divine name with tafkhīm might have been yielded by the con-
tact area of Syriac and Arabic in northern Ḥijāz (and in al-Ḥīra as well),
taking into account also the possibility of a velarisation in Ḥijāzī dialect,
many of whose features remain, of course, largely hypothetical.
One might regard emphasis to have a prosodic feature connected with
Muḥammad’s preaching, or indeed, if one accepted that Allāh was used
by the Arabs, the possibility that emphatic articulation was introduced
by Muḥammad, as a mark of acoustic diffferentiation from previous uses
of this divine name.23 Finally, it has been suggested that the loss, by syn-
copation discussed above, of the stem-initial syllable i of ilāh in conjunc-
tion with the defijinite article,24 might indicate a specifijically Ḥijāzī feature
added to another, that of velarisation. If this be accepted, it would yield
al-Lāh as the original form. This would then bring the theonym into the
regional ambit of the central Arabian usage of this particular form, on
evidence of a unique occurrence in an Arabic inscription written in south
Arabian musnad script, some centuries prior to Islam, at Qaryat al-Fāw,
mentioning, among others, a divinity called ’lh, vocalised as *Lāh.25 How-
ever, this identifijication of the original form would carry conviction only
if one were to eliminate the defijinite article as an element of explanation,
and settle for the absolute form Allāh without velarisation.
This last statement is made from an argument of plausibility. The fore-
going discussion lends sustenance to the major point being made here,
that Allāh was a divine name available in its absolute form, in which
perspective morphological considerations would, when and if convinc-
ing, serve at best a purely antiquarian interest at best, without histori-
cal explanatory value. Moreover, if, in contrast, one persisted in making
the unsafe assumption that Allāh was derived from Lāh morphologically,
22
Ambros (1981: 30).
23
Ambros (1981: 27f., 31, 31 n. 37, 32); Ferguson (1956: § 5, and cf. the reservations of
Blau (1972: 176f., 176 n. 8), regarding emphasis in Syriac, who also proposes that Allāh and
Alāhā emerged independently.
24
This is relevant to three words occurring in the Qurʾān: Allāh, nās, and ūlī: Testen
(1998: 214, 214fff.).
25
Testen (1998: 217fff.); The inscription: al-Anṣārī (1982, 21—the inscription is repro-
duced photographically at 146).
272 aziz al-azmeh
one might point out that it does occur in Arabic that the al- functions
as a demonstrative pronoun (ism ishāra) in adverbial form in addition to
functioning as an article indicating defijinitiveness, a feature shared with
the Hebrew ha-;26 this would take us again to the possibility of considering
this proper name in the vocative mode.
The integral adoption of Allāh in the absolute form, prior to sufffijix-
ation or any other grammatical operation performed upon this word,
was a point noted in classical Arab grammar, where, in addition to the
view attributed to al-Khalīl and mentioned above, it is maintained that
Allāh as a proper name fell into the nominal class of ism murtajal. What
is being suggested about the lack of an etymological relationship of Allāh
to the defijinite article al- has also been safely established with respect to
the al- component in the name of ’lt, Allāt.27 The murtajal is that class of
proper names that exist only as integral proper names, with the name
specifijic to an individual or improvised for an individual, in contrast to
the other class of derived proper names termed manqūl, a substantive or
verbal construct characterised as tropical or as transferred, from another
use, such as generic use (an example would be the proper name Asad,
lion), metaphorical transference of meaning or attribute (Asad for a brave
man), onomatopeia or some other operation.28 That divine names are hal-
lowed in themselves, and that their punctilious enunciation is necessary
for unlocking the numenal energies they conjure, is a fact that would
in itself lend a certain credibility to this hunch of Arabic linguists. This
sets the name Allāh apart from names such as Rabb or Baʿl, into which
is transferred a general meaning of superordination among humans, or
indeed from ’lh. His autonomy from the world involving āliha is a point
that I have argued in detail elsewhere.
What is being suggested, that the divine name Allāh as it entered the
Arabic language, irrespective of its origin or etymology, is an independent
personal name of the murtajal class,29 designating a particular individual
being, is sustained by a number of further considerations. It is a specifijic
26
Baʿalbakī (1999: 249f.): thus the Arabic al-yawm and the Hebrew hayyom for “today”.
It is established that the demonstratve -ha is related to the alternation between the initial
’l and the initial h: Zaborski (2006: 1, 188).
27
Hämeen-Anttila and Rollinger (2002: 87f.). In a similar vein, I have shown elsewhere
that kalbiya invocations containing Allāhumma, often cited in confijirmation of the cultic
workship of Allāh, are irrelevant, Allāhumma being a generic epiclesis versions of which
stretch as far as Ugaritic texts.
28
Ibn Manẓūr, Lisān al-ʿarab, ʾ-l-h; Caetani and Gabrieli (1915: 1, § 8); Wright (1967:
§ 191(8)); ʿAlī (1968–73: 6, 23).
29
Cf. Testen (1998: 222).
linguistic observations on the theonym allāh 273
and indeed a unique proper name indicating a particular deity who, in the
early period of the Qurʾān, nevertheless retained both a generic and a spe-
cifijic local meaning, being an intransitive name but with properties shared
by others. To the Qurʾānic polemical question in a Meccan sūra (Q, 19.65)
as to whether the hearers of the Qurʾānic Recitation knew of anyone who
shared the name of Muḥammad’s Rabb, so far generic but also with a
specifijic habitation, the implied answer was clearly in the negative.
Ultimately, whatever the historical or the remote morphological con-
nections of the proper name Allāh, it appears that the phenomenon under
consideration is best regarded from the perspective of pragmatics, histori-
cal linguistics, and socio-linguistics. At Zabad, some 60 km southeast of
Aleppo, an important trilingual Arabic/Aramaic/Greek inscription on the
lintel of a church, dated A.D. 512 and one of the earliest Arabic inscriptions
written in an alphabet that is recognisably Arabic, invokes the succour of
’l-’lh, “the God,” a common epithet for named divinities, here uniquely
with the Arabic defijinite article al-.30 But the authors of this inscription
used *al-Ilāh, and clearly had no cause to form a syncope, which is pos-
sible for Arabic morphology, but not inherently necessary to the Arabic
language. Morphology may account theoretically for the form of the word,
but not for its history, for its connotations, or for a cult.
The emergence to primacy, and then to exclusivity, of Muḥammad’s
deity Allāh is therefore indeed “not self-evident.”31 We are not in a posi-
tion to account for the spread of the name Allāh, a name afloat in jurative
formulae and theophoric compounds that exist in poetry and inscriptions,
possibly also in documentary form. We still lack a map of the geographical
distribution of this name and of its users, and we have as yet no way of
telling if its geography indicated any spatial or social hierarchy that gov-
erned its incidence and frequency, or if we need to assume a model of ran-
dom dispersal. But some suggestions regarding the attractiveness of Allāh,
leading to His ultimate adoption by Muḥammad, are not inconceivable.
It may or may not have been the case that the Arabs of the Ḥijāz,
and reputedly elsewhere, would appeal on occasion to a certain Allāh in
30
Étienne Combe, Jean Sauvaget and Gaston Wiet (eds.) (1931–1935: § 2). An excellent
photograph of this inscription, capitally important for the study of the rise of Arabic and
Arabic script (a point fijirst noted by Sachau (1882: 189)), is given in Grohmann (1971: 16
and Tafel II.1,2). The most up-to-date revised and amended reading of this much-discussed
inscription is by Robin (2006: 331f., 337).
31
Simon (1991: 133).
274 aziz al-azmeh
32
Muslim traditions, in which this idea occurs, have contradictory views of this very
common claim: Ibn Isḥāq, Sīrat Ibn Isḥāq, §§ 15, 127.
33
It has been noted that having no idol was in itself a mark of distinctiveness for Allāh:
Healey (2001: 84). A comparison with the vague distinctiveness of Sol and of the solar cult
attributed to the Syrians and Syrian Arabs during an earlier period might yield interesting
results: see Seyrig (1971).
34
Cf. Eco (1977: § 2.7.3).
35
See, for instance, Hierapolitan (west Anatolian) appeals to the distant Ionian Apollo
of Claros, rather than the local Apollo, during the outbreak plague in the mid-second cen-
tury: Potter (1994: 4).
36
Cf. Gellner, (1957: 34).
37
Toorn (1999: 913), where (at 911f.) his provenance is identifijied as having been Midian.
38
Weber (1993: 17f., 34).
39
See Hirschberg (1939: 28fff.), for an attempt to disengage the religious contents in the
poetry of one group of urbanised and courtly pre-Islamic Arab poets, and Brockelmann
(1922: 100f., 105fff.).
linguistic observations on the theonym allāh 275
40
Ibn al-Nadīm, Kitāb al-Fihrist, 8; Ibn Ḥabīb, Kitāb al-Munammaq, 91); Ibn Qutayba,
Faḍl al-ʿArab, 88–9.
41
Poems by al-Nābigha al-Dhubyānī (17.18) and Imruʾ al-Qays (200.4–5) in Arazi and
Masalha (1999); “Allāh” in ibid., “Concordance,” s.v. God’s right hand is also mentioned by
Mālik b. al-Rayb, in al-Qaysī, Shuʿarāʾ Umawiyyūn, 21:2.
42
Similarly, mincing the name of God as “gosh” and “golly” might well have involved
initially a hedging, by nominal transference, against insincerity and profanation, before
the divine association and the fear of profanation were lost, with the jurative or vocative
function of this speech-act remaining.
43
It is proposed in “Yahweh,” Dictionary of Divinities and Demons, 900, that there were
abbreviated secondary forms for the Yhwh theonym: Yā, Yahū, Yāhō. The Damascene
expression receives an implausible common explanation in terms of Arabic as “Oh He!”,
usually as part of the more general exclamation “yā ʿālam, yā hū.”
44
These notions were fijirst developed by Austin (1975: 98fff., 101fff., 144fff.), and have pro-
duced a vast body of work in semantics and philosophy. For a technical discussion of
these and associated notions, see Fodor (1980: 21fff.). It is noteworthy that the notion of
illocutionary force used above is unclear in Austin.
45
Contra this view, Brockelmann (1922: 104f., 104 n. 1).
276 aziz al-azmeh
46
Chelhod (1964: 97).
47
Wellhausen (1927: 223f.).
48
Brockelmann (1922: 104, 105fff.) who adopts, by way of interpretation, a theory no
longer tenable, that there did exist among a variety of people in Australia, America, Africa,
as among ancient Aryans and as with the El Elyon and El Olam of the Israelites, a general
belief in an ultimate Creator (Urheber), but is nevertheless keen to diffferentiate this from
the notion of an Urmonotheismus (119 f.).
linguistic observations on the theonym allāh 277
49
The notion of “symbolic violence” might usefully be employed as an overarching cat-
egory here—cf. Bourdieu and Passeron (1977: Bk. I).
50
See the comments on the uses of arbitrariness and absurdity in Bourdieu (1971: 310),
and “Absurdität,” Enzyklopädie des Märchens. Bell (1968: 51, 97), considers that Muḥammad
liked to introduce unfamiliar words, a certain obscurity being appropriate to divine revela-
tion, by design.
51
Westermann (1967: 125).
52
See Toorn (1999: 913f.) for this and other possible interpretations.
53
Gladigow (1950–78: 11, 1214f.).
54
This is emblematised by Usener (1896: 337 and passim) in the change from perì tōn
theōn tōn onomàton to perì theìon onomàton.
55
Usener (1896: 326f.).
278 aziz al-azmeh
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ARABIC DATIVES, DITRANSITIVES, AND THE PREPOSITION LI-
The dative “case” is one of the most widely studied topics in case analy-
sis and in theoretical approaches that include some aspect of semantic
and syntactic roles typically marked by case or by case-type relations
(e.g., theta-roles, frame semantics, construction grammar, lexical seman-
tics). Arabic is a nominative/accusative language with the genitive as the
third separately marked case in inflectional paradigms. Overt case-marking
is therefore restricted to these inflectional exponents and the realization
of typical dative structures such as the benefijiciary/goal/recipient category
are signaled either by accusative or genitive markers. Syntactically, Arabic
dative structures are marked as accusative (in the ditransitive structure)
or marked by the benefactive/allative preposition li- prefijixed to the Recip-
ient argument, which carries the genitive case. In the case of the Arabic
ditransitive dative, therefore, there is dative-accusative syncretism, and
in the case of the prepositional dative, there is dative-allative syncretism.
In this paper I study Arabic dative structures by examining the particular
semantic properties of verbs that impact verb-phrase syntax through the
analysis of core case roles which, as Pinker notes, are “also called predi-
cate argument structures, subcategorization frames, subcategorizations,
case frames, lexical forms and theta grids.”1 One of the reasons I fijind Ara-
bic intriguing on this count is the attention that classical Arabic grammar-
ians paid to syntax and its interaction with the semantics of derived forms
of the Arabic verb. In particular, Arabic grammarians long ago posited
the existence of underlying conceptual structures to rationalize surface
structure anomalies (e.g., taqdīr, iḍmār).2
The morphological structure of Semitic lexical items wherein lexical
root information combines with morphosyntactic pattern information,
offfers a productive perspective from which to examine key issues in syn-
tactic and semantic theory through the analysis of the formal semantics of
1
Pinker (1989: 4).
2
See especially Baalbaki’s discussions of taqdīr (2009: xxxiv, and 1979: 8–14).
284 karin christina ryding
3
Goldberg (2006: 222).
datives, ditransitives, and the preposition li- 285
4
Ibid., 199.
5
Ibid., 200.
6
Bresnan and Nikitina (2003: 12).
7
Næss (2009: 573).
8
Levin (1993: 47).
9
Levin (1993: 49).
10
Sadler and Spencer (2001: 208–209).
11
Ryding-Lentzner (1981).
286 karin christina ryding
three (Agent, Object, Recipient), and how this distinction correlates sys-
tematically with constraints on the deletability of the dative preposition
li-. This fijinding supported Green’s assertion that “in general, syntactic
properties and distributions are determined by semantic properties.”12
More recent research has elaborated a number of diffferent approaches
to the issue of ditransitivity, or the “double-object” construction in English
and other European languages,13 but considerably less has been done to
investigate the nature of ditransitivity, argument structure, or transitiv-
ity alternations in Arabic. The issue of ditransitivity masks several difffer-
ent underlying semantic structures, but through componential analysis of
Arabic structures and through examination of the requirements of spe-
cifijic predications, some of the issues raised by research on ditransitive
constructions can be made clearer.
2.3. Ditransitive Structures
Ditransitive structures in Arabic include the following. This is not a com-
plete list, but includes several of the most frequent structures. Some verbs
are doubly transitive because of the lexical content of the root, others are
doubly transitive due to a derivational modifijication of the root.
12
Green (1974: 66).
13
Pinker (1989), Levin (1993), Goldberg (1995 and 2006), Saint-Dizier (2006).
14
For an interesting related analysis of valency in a Semitic language see Amberber
(2000). For more on the semantics of ‘cause’ in Arabic, see Marcelaru (2006).
datives, ditransitives, and the preposition li- 287
15
Categories 4 and 5 include verbs which belong to the traditional ‘nawāsikh’ category
in Arabic grammar, that is, verbs that shift one or more arguments in the VP to accusative
case. See Ryding (2005: 176–179) for further description of this category.
16
Limitations of space prevent me from exploring all fijive categories, but I plan to study
the grammatical relations involved in all these topics in a subsequent publication.
17
Labels of ‘cases’ or arguments vary substantially. Although case frames and function
labels cannot be directly equated with traditional or pre-theoretical grammatical terms, I
would for the purposes of this paper like to make a few indications in this regard. For the
traditional notion of indirect object, Fillmore (1968) used “dative” and Chafe used “benefiji-
ciary,” whereas Goldberg and others use “recipient.” For the traditional concept of direct
object, Fillmore used “object” or “objective,” Blake and others have used “patient,” and
others use the term “theme,” introduced by Gruber (1976, 2006). In this paper I will use
the term Recipient for the ‘indirect object’ and Object for the ‘direct object,’ capitalizing
the terms for case labels to make them easier to identify.
18
Frege (1893/1903; 1962).
19
“Le verbe est au centre du noeud verbal. . .Il est donc le régissant de toute la phrase
verbale.” Tesniere (1959: 103).
288 karin christina ryding
20
Pinker (1989: 73).
21
Goldberg (1995: 3).
22
Fillmore (1968 and 1977).
23
Haspelmath (2009: 507).
24
Anderson (2006: 28). For more on case roles and theta roles in Arabic, see LeTourneau
(2006 and 2009).
datives, ditransitives, and the preposition li- 289
3.3.1. Giving
The nucleus of a predication of giving must involve three arguments: an
Agent to do the giving, an Object which is given and a Recipient who
receives the Object.29 None of these arguments may be omitted with-
out impairing the entire concept. The predication may be formalized as
follows:
Predication: Predicate (Argument 1, Argument 2, Argument 3)
or more specifijically: Give (A, O, R)
where A is the Agent, O is the object given, and R the Recipient.
25
Levin and Rappaport (1995: 24).
26
Levin and Rappaport Hovav (1998, 2001: 249).
27
Levin and Rappaport Hovav (2004: 251).
28
Ibid.
29
For further reading on the nature of ‘giving’ constructions and the Recipient role in
particular, see Newman (1998).
290 karin christina ryding
3.3.2. Buying
Verbs of buying, on the other hand, do not require three arguments to
complete the concept; they only require two: the Agent and the Object.
Predication: Predicate (Argument 1, Argument 2)
or more specifijically: Buy (A, O)
where A is the buyer and O the object bought.
3.3.3. Buying for
The notion of doing something for someone else is external to the nucleus
of the predication and relates to the nucleus as does any adverbial modi-
fijier, at a level external to that of the main predication:
Predication: For (Argument 1, Argument 2)
where Argument one is the Recipient and Argument 2 is another predica-
tion, i.e.,
For (R, <buy: A, O>)
4.1. Prepositional Dative
In the fijirst case the indirect object or “Recipient” becomes the object of
the preposition li- ‘to, for’ and receives the genitive case:
(1) aʿṭay-tu l-miftāḥ-a li-l-bint-i.
I-gave the-key to-the-girl
‘I gave the key to the girl.’
This is often referred to as the “prepositional dative.”
4.2. Ditransitive Dative
In the second case the Recipient occurs without the dative preposition
li- and receives accusative case, just as the direct object does. In this situ-
30
Blake (1994: 207).
datives, ditransitives, and the preposition li- 291
4.3. Dative Alternation
The process involved in the change between these two has been called
“dative movement,” “dative shift,” and “dative alternation.” It has occa-
sioned a number of theories in recent years (see earlier work on the Arabic
dative shift above) that provide hypotheses about the nature of the shift
and its underlying semantic motivation. For example, Pinker examined
dative and causative phenomena at length, as well as the locative and
passive alternations.32 Levin also examined transitivity alternations and
classifijied English verbs according to their syntactic and semantic proper-
ties.33 Goldberg analyzed ditransitive constructions as networks “linked by
inheritance relations which motivate many of the properties of particular
constructions.”34
31
Pinker (1989: 34–35).
32
Ibid.
33
Levin (1993).
34
Goldberg (1995: 67).
292 karin christina ryding
35
Words in caps represent semantic primitives.
datives, ditransitives, and the preposition li- 293
‘to bring’ is constructed conceptually as ‘to cause to come’ and ‘to feed’
is ‘to cause to taste.’ The Form IV derivation shifts the semantics of the
verbs to include the CAUSE component.
(5a) aḥḍar-tu l-zuhūr-a li-l-bint-i
I-brought the-flowers to-the-girl
‘I brought the flowers to the girl.’
(5b) aṭʿam-tu l-ʿinab-a li-l-bint-i
I-fed the-grapes to-the-girl
‘I fed the grapes to the girl.’
In English, each of these clauses is subject to dative-movement with to-
deletion. But in Arabic, only aṭʿama can delete li-:
(6a) aṭʿam-tu l-bint-a l-ʿinab-a
I-fed the-girl the-grapes
‘I fed the girl the grapes.’
But not
(*6b) aḥḍar-tu l-bint-a l-zuhūr-a
I-brought the-girl the-flowers
‘I brought the girl the flowers.’
The Arabic verb aḥḍara ‘to bring’ requires li- or ilā ‘to, toward’ in the
surface structure whereas aṭʿama ‘to feed’ does not. The componential
semantic structure of these causative verbs reveals the reason for the dif-
ference. The structure of aṭʿama ‘feed’ is as follows, based on a system
where the predicate is followed by a list of arguments enclosed in pointy
brackets. When an argument is itself a predication, the embedded predi-
cation is noted in square brackets.
Predication: CAUSE <Agent, predication [taste <Recipient, Object>]>
That is, the Agent argument ‘causes’ something to happen—another
predication involving (specifijically) the act of tasting, whose two argu-
ments involve the taster (Recipient/Agent) and the Object tasted. In such
a CAUSE structure, the Recipient is a key argument, central to the predi-
cation, and cannot be deleted. The Recipient/ Benefijiciary/Dative case
in this structure is an underlying agent (of the verb ‘taste’) as well as a
recipient of the CAUSE predication, thus playing two roles and linking
itself into a key position in the semantic structure. In Arabic, the caus-
ative form of the base verb ṭaʿima ‘to taste,’ is lexicalized as aṭʿama, a
Form IV derivation.
294 karin christina ryding
The Form IV verb aḥḍara, on the other hand, is the causative derivation
of an intransitive or single-argument predicate:
Predication: CAUSE <Agent, predication [come < Object>]>
Again, the Agent argument ‘causes’ something to happen, but there is no
Recipient involved in the semantic core structure. The Recipient must
therefore be introduced by means of an external predication using the
dative preposition (li- or ilā) which functions as an independent predicate
with the semantic content ‘FOR THE BENEFIT OF’ and links the Recipient
argument to the main predication:
Predication:
FOR THE BENEFIT OF < Recipient [CAUSE <Agent, predication [come
<Object>]>>
6. For-Dative Restrictions
In Arabic, however, the li- which is used in the sense of ‘for’ cannot be
omitted from the surface structure and the dative-movement phenom-
enon cannot take place. What may and often does occur, however, is
preservation of the prepositional dative and its movement to the position
immediately following the verb, preceding the direct object. Thus:
(9a) ishtaray-tu li-l-bint-i zahrat-an
I-bought for-the-girl a-flower
‘I bought (for) the girl a flower.’
is perfectly acceptable, but not:
(*9b) ishtaray-tu l-bint-a zahrat-an
I-bought the-girl a-flower
‘I bought the girl a flower.’
For Arabic for-datives, the only sort of dative-alternation possible is
dative-movement without preposition deletion. That is, the main clause,
BUY-A-O, is simply one of the two arguments that the prepositional pred-
icate ‘for’ takes, the other being the intended Recipient. When it is an
independent predicate, ‘for’ (or li-) cannot be omitted from the surface
structure of the Arabic sentence. The two-tiered hierarchical nature of
this structure contrasts with the single tier used for verbs of giving.
When functioning with verbs of giving the preposition (li- in Arabic,
‘to’ in English) is not an independent predicate; it is a case-marker for the
case function Recipient. If that Recipient is moved to the position directly
following the verb in Arabic, the li- is no longer required and the recipient
is case-marked for the accusative. One can thus posit that there are two
li-s: one which acts as a surface structure marker of a predicate-nuclear
Recipient, and one which is an independent predicate whose meaning is:
FOR THE BENEFIT OF. The latter links the Recipient with a verb-phrase
predication on a separate level, outside the nuclear predicate-argument
structure of the main clause.
There is thus a major diffference in syntactic behavior between the
to-dative and the for-dative in Arabic, even though they are represented
in the surface structure by an identical lexical item, li-. The li- of the to-
dative is in certain instances deletable whereas the li- of the for-dative
must be retained. Native Arabic speakers queried about this restriction
expressed the sense that the indirect object of the for-dative was not
“directly involved in the action” and could not therefore be optionally
made accusative. Certain speakers also felt that the term “indirect object”
for the to-dative object was inappropriate, and that it should be replaced
296 karin christina ryding
36
See also Pinker (1989: 34).
datives, ditransitives, and the preposition li- 297
References
Newman, John. 1998. “Recipients and ‘Give’ Constructions.” In The Dative: Vol. 2: Theoreti-
cal and Contrastive Studies. Ed. Willy van Langendonck and William van Belle. Amster-
dam: John Benjamins, 1–28.
Pinker, Steven. 1989. Learnability and Cognition: The Acquisition of Argument Structure.
Cambridge, MA: MIT Press.
Primus, Beatrice. 2009. “Case, Grammatical Relations, and Semantic Roles.” In The Oxford
Handbook of Case. Ed. Andrej Malchukov and Andrew Spencer. Oxford: Oxford Univer-
sity Press, 261–275.
Ryding, Karin. 2005. A Reference Grammar of Modern Standard Arabic. Cambridge: Cam-
bridge University Press.
Ryding-Lentzner, Karin. 1981. “Semantic Motivation for Arabic Dative-movement.” Al-Ara-
biyya 14: 19–23.
Sadler, Louisa and Andrew Spencer. 1998, 2001. “Morphology and Argument Structure.”
In The Handbook of Morphology. Ed. Andrew Spencer and Arnold M. Zwicky. Oxford:
Blackwell, 206–236.
Saint-Dizier, Patrick (ed.). 2006. Syntax and Semantics of Prepositions. Dordrecht:
Springer.
——. 2006. “Introduction to the Syntax and Semantics of Prepositions.” In Syntax and
Semantics of Prepositions. Ed. Patrick Saint-Dizier. Dordrecht: Springer, 1–25.
Spencer, Andrew and Arnold M. Zwicky (eds.). 1998, 2001. Reprinted 2004. The Handbook
of Morphology. Oxford: Blackwell.
Tesnière, Lucien. 1959. Éléments de Syntaxe Structurale. Paris: Klincksieck.
Wechsler, Stephen. 1995. The Semantic Basis of Argument Structure. Stanford: CSLI.
DIALECTS OF THE DATIVE SHIFT: A RE-EXAMINATION OF
SĪBAWAYHI’S DISPUTE WITH THE NAḤWIYYŪN OVER DITRANSITIVE
VERBS WITH TWO OBJECT PRONOUNS
David Wilmsen
1
But see Soltan (2009: 537), Ryding (2005: 70–71), and Peled (1993: 207, fn. 2) for oppos-
ing views of their permissible or preferred ordering.
2
There is, of course, no dative case in Arabic; the movement shown here is sometimes
called a “dative shift.”
300 david wilmsen
When both objects are prepositional, three options are available: either
a prepositional dative construction or one of two double object construc-
tions may be formed. Sībawayhi3 does address pronominal objects of
ditransitive verbs adducing both double object constructions: aʿṭā-hū-hā
and aʿṭā-hu iyyā-hā, both apparently meaning ‘he gave-him-them.’ Accord-
ing to Sībawayhi, the latter of the two options is preferable to avoid afffijix-
ing two pronouns of the same person to the verb, which, because they are
both of the third person, is awkward.
A rarity (even an anachronism) in modern writing, a verb with two
afffijixed object pronouns was evidently so even in Sībawayhi’s day.4
Sībawayhi himself acknowledged that the second pronoun was more
often attached to the free object pronoun than it was to the verb. Gen-
sler presents compelling reasons for regarding the afffijixing of two object
pronouns to the verb as an archaic Semitic feature which may have been
disappearing in Arabic by the time of the Qurʾānic revelation and was per-
haps in an even greater stage of eclipse by the time Sībawayhi was writing
more than a century and a half later.5
A critical consideration here, and one with which Sībawayhi and later
grammarians appear little concerned, is the ordering of the patient and
benefijiciary with respect to the verb, be they nominal or pronominal. For
Sībawayhi also permits the opposite sequences aʿṭā-hā-hu and aʿṭā-hā
iyyā-hu, stating that the ordering of the objects is unimportant so long as
the proper sequencing of persons is preserved. Accordingly, in his reck-
oning, the proper sequencing of the persons of object pronouns is that a
1st person pronoun precedes a 2nd person, which precedes a 3rd. Thus,
Sībawayhi rejects as ill-formed the constructions aʿṭā-hū-ka ‘he gave-3rd-
2nd’ and aʿṭā-hū-ni ‘he gave-3rd-1st,6 wherein a 3rd person object pronoun
precedes a 2nd person or 1st person pronoun. This against some of his
contemporaries’ willingness to accept just such a violation of his pre-
scribed sequence of attached object pronouns. Sībawayhi contends that
these rival grammarians were for the sake of symmetry imposing on the
language a regularity that did not actually exist. Against this, Sībawayhi
prescribes the sequence aʿṭā-hu iyyā-ka ‘he gave-3rd iyyā-2nd,’ wherein
the second pronoun in the sequence is detached from the verb and afffijixed
3
Sībawayhi, Kitāb 2, 362–3.
4
Diem (2002: 20).
5
Gensler (1998).
6
Following idem (1998: 278–280), I am deliberately glossing these examples with-
out translating the object pronouns, precisely because the meaning of the utterances is
ambiguous.
dialects of the dative shift 301
to the free object pronoun iyyā-, in what may be called a pronominal dou-
ble object construction. Therewith a violation of the prescribed sequence
for two afffijixed pronouns is averted.
Here again, the disposition of the benefijiciary with respect to the patient
is of issue. In modern usage, whether written or spoken, it is usually the
patient that is attached to the free object pronoun.7 If that were also true in
Sībawayhi’s day, then in the constructions under discussion here, even that
to which Sībawayhi objects, the patient is the second of the two object pro-
nouns afffijixed to the verb. This seems to imply that the sequence Sībawayhi
endorsed was not only that of 1st+2nd+3rd persons but also that he took as
given the sequence verb-benefijiciary-patient (V-IO-DO).
This cannot be established with certainty, and the ambiguity inherent
in the various orderings of the elements of these double object construc-
tions has led to confusion amongst western commentators. For example,
Wright glosses aʿṭā-hu iyyā-ya as ‘he gave me to him’ and aʿṭā-nī-hi as ‘he
gave it/him to me.’8 Meanwhile, Reckendorf gives the opposite interpreta-
tion to the two statements, with aʿṭā-hu iyyā-ya glossed as ‘he gave him to
me’ and aʿṭā-nī-hi as ‘he gave me to him.’9 The confusion is forgivable, for
Sībawayhi does not gloss his examples. Nor does the free object pronoun
of necessity mark the patient, but it can sometimes mark the benefijiciary.10
An indisputable precedent for this appears in Qurʾān 9: 114:
wa- mā kāna stighfār-u ibrāhīm-a li-abī-hi illā ʿan
and not was asking forgiveness Ibrahim to father his but for
mawʿida-t-in waʿada-hā iyyā-hu
a promise he promised it PRON-him
But Ibrahim’s asking his father for forgiveness was only for a promise; he
had promised it him
7
Compare Cantarino (1974–5: 168–70).
8
Wright (1974: 1, 103).
9
Reckendorf (1921: 285).
10
Ḥasan (2007: 274–275), in a modern grammatical work that does discuss pronominal
objects, would apparently agree with Reckendorf, for he states that the “more sentient”
(aʿraf ) of the two is the one that must be separated from the verb, gives the example,
aʿṭaytu-humā-hu, which becomes aʿṭaytu-humā iyyā-hu ‘I gave them (dual) [the pen and
the book] to him.’ Notice that here, as in Reckendorf ’s rendering, the sequence V-DO-IO
prevails. Regardless, marking the benefijiciary with iyyā- seems a rarity in modern writing.
In all of Cantarino’s (1974–5: 168–169) examples, it is the patient that is marked by iyyā-.
302 david wilmsen
11
In modern writing, with two object pronouns, it is used with both a prepositional
dative construction and a prepositional double object construction, with the preference
toward the prepositional dative. For example, a search of a fairly large sample of mod-
ern novels and other writings in the arabiCorpus of Brigham Young University (http://
arabicorpus.byu.edu/), in a corpus of about 500,000 words it is used with the free object
pronoun fijive times and with the prepositional dative not at all. Meanwhile, in a search of
an entire year of journalistic writing from fijive Arabic newspapers from various parts of the
Arab world between Morocco and Kuwait available in the same database, in a corpus of
about 60 million words, wahaba is used with the prepositional dative 58 times and with a
prepositional double object construction 9 times. In pre-modern writing, a corpus of about
900,000 words yields 57 instances of the prepositional dative and none of the prepositional
double object construction.
12
Attested in Diem (2002: 81).
13
Aḥmad b. Ḥanbal, Musnad, no. 17006.
14
Al-Dārimī, Sunan, no. 2928.
dialects of the dative shift 303
15
The classical Arab grammarians were evidently uninterested in the placement of
stress. See Birkeland (1954) and Ferguson (1997). It may be that stress patterns did not
vary across spoken varieties in the 2nd/8th to 3rd/9th centuries as they do today, and
the grammarians then took it for granted that their readers would know where to place
stress (see Blau (1972), to whom we shall return later, for an attempted reconstruction
of Old Arabic stress patterns). If so, this would not be the only instance of the grammar-
ians assuming knowledge of Arabic in their readers. Marogy (2010: 23) also points this
out with reference to Sībawayhi’s use of terminology without explanation. Consider also
Carter (2004, 133) quoting “a certain Ibn Kaysān (d. 299/912 or 320/932), who declares ‘the
book of Sībawayhi . . . needs more clarity and lucidity in its expressions, for it is a work
composed at a time when the people were familiar with these terms and so it is confijined
to their ways of thought.’ ”
304 david wilmsen
Dialect Ditransitives
It has been noticed16 that the North African spoken vernaculars of Arabic,
including the Egyptian, are constrained to cast two pronominal objects
of ditransitive verbs in a prepositional dative construction, of the type
iddēt-hā luh ‘I gave her/it to him.’ In the spoken Arabic of Egypt, for exam-
ple, no other construction is permissible with two pronominal objects.17
Eastwards, spoken vernaculars of Arabic show no such constraint; they
may use a prepositional dative construction, such as the Levantine
aʿṭayt-ā la il-u ‘I gave it/them to him,’ but they are more likely to use the
free object pronoun iyyā- (generally represented as /yā/ when transcribing
spoken samples) to mark one of the object pronouns, thus aʿṭayt-u yā-hā
‘I gave him it/them.’
Gensler points out that of all the possible orderings of two pronominal
objects (i.e., both IO and DO before the verb in either order, one before
and one after the verb, etc.), Arabic utilizes only two: with either the ben-
efijiciary preceding the patient, both following the verb (V-IO-DO) or the
opposite (V-DO-IO).18 Of these, the disposition of the two object pronouns
can vary. Retsö shows the range of possibilities:19
16
Brustad (2000: 372–373) & Retsö (1987: 225, 227 & 242).
17
See Woidich (2006: 255–257).
18
Gensler (1998: 253 & 2003: 199, 201 & 205).
19
Retsö (1987: 224).
dialects of the dative shift 305
A4: a verb with no afffijixes and an indirect object pronoun afffijixed to [l-] and
a direct object afffijixed to iyyā-
A5: a verb with no afffijixes and an indirect object pronoun afffijixed to [l-] and
an independent direct object pronoun
20
Ibid., 225 & 227.
21
Spitta-Bey (1880: 241).
22
Marçais (1902: 133). He points this out without comment when discussing the change
in vowel quality to the afffijixed 3rd person pronominal clitics {-hu} and {-ha}, which
become /-hū/ and /-hā/ with “allongement de l’accent,” which he indicates thus: [hû] and
[hâ]. “Après les deux premiers, la série vocalique des enclitiques regime indirect est seule
employée, anisi : lha, nna, lkum, lhum, jamias vlha, etc. (his emphasis).”
306 david wilmsen
that predominates in the western vernaculars. For its part, the B3 type is
unremarkable, in that many ditransitive verbs can be reanalyzed to take
a single object, in which case, if the object were a benefijiciary, it would
perforce be expressed with a prepositional dative.
It is not surprising, then, that even if type A constructions are not found
in the western vernaculars, type B constructions may be found in the East-
ern vernaculars. Of particular interest are the peninsular Arabic vernacu-
lars, where such type B constructions are attested:23
Najd: sharōhin laham ‘they brought them for them’
Mecca: jāb-ahum liyya ‘he brought them for me’
What is more, of the peninsular vernaculars, that of Mecca is particularly
remarkable for some of the variations it will allow. For example, the latter
expression is interchangeable with an A5 construction, in which a verb is
followed by a clitic pronoun representing the benefijiciary afffijixed to {li-}
and a patient represented by an independent object pronoun:24
Mecca: jāb li humma ‘he brought to me them’
This in turn, in the Meccan dialect at least, is interchangeable with an A3
construction:25
sallim-ni hīya ‘give me it’
addēt-ak hūwa ‘I gave you it’
Retsö appears to equivocate about the frequency of occurrence of these
two when he states that, “contextually the construction A3 is the most
frequent, lexically A5 dominates.”26 In this somewhat vague manner, he
seems to be saying that the most commonly occurring verb/object forma-
tion is that of A3 but that overall ditransitive verbs of the A5 formation
appear more often in the texts he studied. Such an interpretation is but-
tressed by his equally vague statement that of the “few instances of A3 it
appears that these verbs belong to the semantic fijield of “give” and it is
thus not surprising that most cases in the texts are with aʿṭā.”27
23
Retsö (1987: 225).
24
Ibid., 226.
25
Ibid., 227–8.
26
Ibid., 228.
27
It is well worth noting that ditransitive verbs are of relatively rare occurrence when
compared to other types of verbs, but that some of them (especially verbs of giving) are
disproportionably represented in speech (but not in writing). This is the third time Retsö
remarks upon the special status of verbs in the semantic fijield of “to give.” He mentions
it fijirst (p. 225) when noting that in Algeria, or at least in the dialect of Tilmisān, only the
dialects of the dative shift 307
Dialect Preserves
verb “to give” takes two sufffijixed object pronouns. Thus, Marçais (1902: 134), “un seul, aʿṭā
se construisent avec deux enclitiques.” For a second time (p. 227), he observes of his own
data that, “There is only one verb which consistently has the PS [pronoun sufffijix] as 02 [our
patient], vis ʿṭy ‘give’ (the root may have diffferent shape in diffferent dialects).” The special
status of verbs “to give” and perhaps especially aʿṭā cries out for further investigation. It is,
however, beyond the scope of this paper to engage the issue.
28
Retsö (1987: 225).
29
Owens (2004: 715).
308 david wilmsen
30
Gensler (2003: 202).
31
Ibid., 206.
32
Idem (1998: 269 & 275–276).
33
Idem (2003: 205). To be fair to Gensler, he here uses the term ‘clitic’ to mean pro-
nouns that are not afffijixed tightly to the verb, and thus wishes to refer to a diffferent and
later development in the dialects than the older afffijixing of two pronominal object pro-
nouns to the verb. This observation does not completely exonerate him, however, because
he also proposes (1998: 270–272) that the double afffijixed pronominal objects began in
Proto-Semitic in the same manner: fijirst as a singly afffijixed pronoun with a second object
loosely bound as a “proto-clitic,” which then underwent a syntactic tightening of its bond
to the verb, whereby a doubly afffijixed verb construction was born. This in itself presents
difffijiculties, in that it implies that the doubly afffijixed verbs underwent subsequent syntac-
tic loosening, whereupon the more distant object pronoun again became cliticized and
afffijixed to, for example, iyyā-. The process then began once again post-diaspora in the dia-
lects, when, “the newly bound element is fairly clearly a clitic and not a sufffijix, in keeping
with the recency of its creation. Over the course of time, however, one can readily envision
the typical blurring of morpheme boundaries and tightening of syntactic bond that would
obliterate the diffference in “degree of clitichood” between the old inner maker and the
new outer marker. The clitic would grammaticalize to an afffijix, and the outcome would be
a verb with two afffijixal markers” idem (2003: 205).
As we shall argue below, it is more parsimonious to assume that the observed afffijixed
forms and cliticized forms, whatever their ultimate origin, emerged as developments
within the peninsula before the diaspora; these are the forms that survived individually
in the Arabized dialects.
dialects of the dative shift 309
his notion of classical Arabic into the dim and undocumented past of
the language.
This adds unnecessary difffijiculty to the burden of reconstructing the
sources of both the modern spoken dialects of Arabic and the canoni-
cal classical language. What is usually called “classical Arabic” is gener-
ally considered to encompass the language of pre-Islamic poetry, the
Qurʾān, and the writing of the post-Islamic golden age of Arabic literature
(however that is delineated). It sometimes seems that when Gensler uses
the term “classical Arabic” he means precisely this, but at other times,
as we have seen, he seems to regard an earlier form of Arabic as the
classical language.
Regardless, it becomes clear from an examination of the early sources
that the language of pre-Islamic poetry represents an earlier phase of Ara-
bic than does that of the Qurʾān. This has been demonstrated by Corriente
with respect to the case markings on nouns, which, as he puts it, carry
more of a functional load in pre-Islamic poetry than they do in the Qurʾān
(and later works).34 In a random sampling of the famous pre-Islamic ode
qifā nabki by Umruʾu l-Qays, the fijirst thirty verses of sūrat Yūsuf from
the Qurʾān , two early (fijirst and second century AH) post-Islamic works
(one poetry and one prose), and two modern works (also one poetry and
one prose), he discovers that in only 10.4% of instances of case marking
in the pre-Islamic ode is the information provided by the case “function-
ally necessary.” In the Qurʾān, the percentage is reduced to zero, while it
never rises above 3% in medieval writing or modern poetry, and is again
reduced to zero in modern prose.35
34
Corriente (1971: 34–37). By “functional load,” he means when the nominal endings
themselves convey critical meaning.
35
Corriente is careful to point out that the functional necessity of case in the Qurʾān
cannot be zero, but that there simply were no instances of “functional loading” in his sam-
ple, observing that, “in the case of the Qur’anic sample, we felt at once that the absolute
lack of functional case morphemes was a mere coincidence, and this was confijirmed by a
brief supplementary survey of the fijirst thirty verses of Sura V, in which, as we expected,
a few such instances did indeed turn up” Corriente (1971: 37). He cites Qurʾān V:6 to illus-
trate, saying (ibid.: fn. 26): “For example, V 6 udhkurū niʿmata llāhi wa-mithāqahu alladhi
wāthaqakum bihi, where the Acc. mithāqa yields the translation “re-member God’s favor
and his pledge to you,” while the Nom. would mean “remember God’s favor, his promise
being what he had pledged to you.”
His assertions, however, did not remain uncontested. Blau (1972a) objects that a low
functional yield by itself does not indicate that the case endings were falling into disuse.
Corriente (1973: 154), allows that his “position on the issue does not command immediate
and universal acceptance, nor is it free of reasonable objections.” Remarking upon his own
collection techniques, he himself admits to “some misgivings . . . about the soundness of
the counting system used,” offfering that “perhaps, rather than obtaining rates by reckoning
310 david wilmsen
the total of instances with and without the feature under discussion, we should consider
only those instances where the case opposition was not neutralized.”
36
Belnap and Gee (1994).
37
Of course, agreement pairs such as ayyām maʿdūdāt may be and actually are lifted
out of their early context and inserted into modern writing for their evocative value. For
that matter, deflected agreement with human plurals is occasionally used in modern writ-
ing, apparently either as a reproduction of speech or as a deliberate classicizing anach-
ronism. For example, a search of the arabiCorpus database of modern literature revealed
that with the word “people” (nās), out of a total 1,229 instances of the appearance of that
word in the various works present in the database, it occurred 9 times with deflected
verbal agreement, six of which were in dialogue written in the vernacular, the other three
times were with the verb “to know” (ʿarafa), for example, in a novel by Edouard Kharrat:
.
The search was conducted solely with verbs following the token noun; in all other
instances of verbal agreement with the verb following the noun (36 instances), agreement
was plural. With the verb preceding the noun, the agreement was categorically masculine
singular, the default form when the verb precedes the subject. It is not clear that the verb
“to know” has any special semantic characteristics that would attract deflected agreement.
I have elsewhere collected examples of deflected agreement with human plurals in writing
as, for example, this instance from the Egyptian newspaper al-Ahrām:
According to the principles governing the use of deflected agreement that Belnap (1993)
discovers, it is unusual for a verb exhibiting deflective agreement to follow the human
dialects of the dative shift 311
plural tokens, as it does here. The usual pattern would be for the verb showing deflected
agreement to precede the noun, even in vernacular Arabic.
38
Belnap (1993).
39
Ibid., 179–182.
312 david wilmsen
Dialect Reconstructions
The fijirst three steps are purely hypothetical but reasonable, especially as
the continuing process represented by steps 4 to 6 are evident in some
modern A-type Arabic vernaculars, most notably for our purposes, that of
40
Gensler (1998: 271–274).
dialects of the dative shift 313
41
Or optionally ʿaṭīyon hi(ya).
42
Retsö (1987: 219 & 221).
43
Gensler (1998: 258).
314 david wilmsen
44
He does adduce another odd one in which the /l/ becomes /m/: yaʿṭēuhúmmek ‘ils te
les donneront.’ Spitta-Bey (1880: 26) demonstrates how a similar process obtains in Egypt,
wherein the liquid consonants assimilate one to the other and that /n/ can become /m/
in the presence of a bilabial: “Die Liquidae wechseln häufijig mit einander. So wird l zu r in:
rakhar fem. rukhra = lakhar, lukhra entst. aus elakhar, elukhra . . . . l wird zu n in enbāreḥ
gesprochen embāreḥ ‘gestern.’ ”
45
Blau (1972: 477–8).
dialects of the dative shift 315
Dialect Grammarians
46
Ibid., 482.
316 david wilmsen
A question we have not yet addressed is the origin of the free object
pronoun iyyā- itself. This is almost always and without much reflection
47
Talmon (1982).
48
Idem (1985).
49
Baalbaki (2008: 24–25) doubts that there was ever a “grammatical school” as such in
Medina. He further points out that Sībawayhi apparently never actually went into the des-
ert to collect data in situ from the Bedouin, but relied upon Bedouin speakers who came to
the cities of Mesopotamia to act as native informants for the grammarians working there.
Nevertheless, his teachers and contemporaries did go into the desert and were familiar
with Hijazi dialects, and he himself voiced his esteem for the Hijazi dialects, even if rather
patronizingly, see Baalbaki (2008: 39) and Carter (2004: 4).
50
Carter (1972: 77 & 1985: 265–266) proposes that the closest rendering of the word
naḥw as it is employed in al-Kitāb means ‘manner of speaking’ (façon de parler) and not
‘grammar’ as in later usage, concluding that, “the derivative naḥwiyyūn can hardly mean
‘grammarians’, and . . . during this period simply meant ‘those concerned with the way
people speak.’ ”
51
Baalbaki (2008: 21).
dialects of the dative shift 317
treated as if its main function were marking an object pronoun, such that
Gensler in one instance52 calls it an “independent object pronoun” and an
“independent object base” in another.53 Bravmann goes further, by calling
it an “accusative pronoun.”54 This unselfconscious acceptance of the free
object pronoun as such may have its origins in Sībawayhi’s own treat-
ment of it, wherein he seems determined to attribute to it the marking
of an object pronoun and perhaps nothing else. Indeed, in his eagerness
to establish this, he engages in a bit of his own analogy building, adding
an unnecessary level of explanation when a simpler one is at hand. For,
iyyā- has other functions, including simply standing in the place of an
independent pronoun (with an appropriate pronominal afffijix, of course).55
As it happens, a hint at such an explanation is provided by Retsö, who
says this:
It appears . . . that the diffferent constructions with two pronominal objects
arise from a reluctance to attach the bound pronominal sufffijixes to each
other, i.e., these sufffijixes are usually attached directly to nouns and prepo-
sitions only. Even in [standard written Arabic], where double sufffijixes are
allowed, there is an alternative construction with the second sufffijix attached
to the demonstrative element iyyā.56 (emphasis added)
While Retsö attempts some structural justifijications for labelling iyyā- a
demonstrative, there is evidence aplenty that it is so used. Some modern
writers use it as often in demonstrative form as they do in marking the
prepositional object of a verb.57 Consider one example from many that
could be adduced:
bi- l-yad iyyā-ha a-ktub
with the hand iyyā-it I write
With this very hand do I write
52
Gensler (1998: 242).
53
Idem (2003: 203). Badawi, Carter, and Gully (2004: 145, 239, 291, 373–5, & 447) call it
variously the “free object pronoun,” from which we derive our usage; the “detached object
pronoun”; and even the “dummy, pronoun” or “dummy element.” In their fijirst mention
of it (p. 46), they call it a “compound free pronoun,” remarking that its “origins are still
unexplained.” The Arab grammarians apparently had no name for it.
54
Bravmann (1971: 50).
55
For a fairly complete list of the functions of iyyā-, see Wilmsen (2010: 108–112).
56
Retsö (1987: 229).
57
Wilmsen (2010: 113–114).
318 david wilmsen
. : . : :
What indicates to you that it is made accusative by the verb and that the yā
becomes a substitute for pronouncing the verb, is the statement of the Arabs
yā iyyāka, which is to say, ‘I mean you!,’ whereby yā and ayā and ay become
substitutes for the verb. Al-Khalīl, God rest his soul, claimed to have heard
some Arabs say yā anta!
He maintained that they were causing it to take the place of the word. So,
if you wanted, you could say yā fulānu [O, so-and-so] with the status of yā
Zayd, then you would say, iyyā-ka!, that is, ‘You, I mean.’
That iyyā- does function as a deictic element may be seen when somewhat
earlier Sībawayhi59 discusses iyyā- in the phrase used in warning, iyyāka
wa l-asad-a! ‘you! the lion!’ This is, of course, conventionally translated as
“beware the lion,” undoubtedly arising from Sībawayhi’s gloss, “as it were,
‘You! Know [be aware of] the lion.’ ” Here his concern has shifted away
from the deictic iyyā- to a hypothetical (he would say elided) verb’s action
upon the lion, rendering the noun accusative. In his eagerness to account
for that, it appears he has committed the same error that he attributes to
the naḥwiyyūn, with whom he so often disputes, by making an analogy to
a verbal sentence when an easier interpretation is at hand. The phrase as
a warning simply means, “Hey you! There’s a lion!” Or, as the Arabic has
it, “You! The lion!”
Regarding iyyā- as a demonstrative rescues us from such a fanciful
reconstruction as that attempted by Bravmann,60 who argues that the ele-
ment developed from the {-iya} sufffijix of such prepositional afffijix com-
pounds as fī-ya ‘in me’ ʿalay-ya ‘on me’ and with defective nouns with a
sufffijixed 1st person singular possessive pronoun, such as ʿaṣā-ya ‘my stick.’
This, he argues, then became attached to the usual object sufffijix {-ni}—for
which he proposes an original form analogous to the {-iya} sufffijix *-niya
58
Sībawayhi, al-Kitāb 1, 290.
59
Ibid., 1, 272.
60
Bravmann (1971: 50–52).
dialects of the dative shift 319
61
Ibid., 50.
62
Hasselbach (2007: 22). That it was originally a Semitic demonstrative cannot be in
doubt after Barth (1913: 77–80) has demonstrated its use as such in Aramaic, Ethiopic,
320 david wilmsen
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STYLE, LEXICOGRAPHY, AND PHONOSYMBOLISM
HOMONYMIE, POLYSÉMIE
ET CRITÈRES DE DISTINCTION
Il est inutile de rappeler que le thème étudié est très classique et qu’on
lui a consacré une littérature linguistique très abondante. Il a attiré notre
attention depuis les débuts des années quatre-vingt dans les articles que
recevait le Comité de rédaction de la Revue de la Lexicologie que publie l’As-
sociation de la Lexicologie Arabe en Tunisie (et que nous dirigeons), puis
dans les mémoires et les thèses de nos étudiants à la Faculté des Lettres
de l’Université de la Manouba. En fait, une grande confusion régnait—et
règne encore—dans la littérature linguistique arabe moderne, aussi bien
sur les concepts que sur la terminologie utilisée pour les dénoter. La lin-
guistique arabe classique a bien connu les phénomènes d’homonymie et
de polysémie, mais elle leur donnait ensemble le nom de « mushtarak »
dont la signifijication littérale est « commun. » Aḥmad b. Fāris, par exem-
ple, défijinit le « mushtarak » par « le fait qu’un mot admet deux signifiji-
cations ou même plus » (an takūn al-lafẓa muḥtamila li-maʿnayayni aw
akthar)1. Dans un autre chapitre—« Comment les noms désignent—ils les
choses? »2—il traite le phénomène sans le nommer mais il le divise en
deux catégories: (a) « la désignation de plusieurs choses par un seul mot »
(tusammā l-ashyāʾ al- kathīra bi-l-ism al-wāḥid) en l’illustrant par l’exem-
ple de « ʿayn » = œil et quelques unes de ses acceptions3; et (b) « la dési-
gnation d’un seul objet par plusieurs noms » (yusammā l-shayʾ al-wāḥid
bi-l-asmāʾ al-mukhtalifa) qu’il exemplifijie par « sayf » (épée) et quelques
uns de ses « noms, »4 mais ici il s’agit d’un cas de synonymie.
Reprenant le dernier passage d’Ibn Fāris, Jalāl al-Dīn al-Suyūṭī consi-
dère la première catégorie comme seule représentante du « mushtarak. »5
1
Ibn Fāris, al-Ṣāḥibī fī fijiqh al-lugha, 269.
2
Ibid., 96–98.
3
Ibid., 96.
4
Ibid., 96. Nous notons ici qu’Ibn Fāris précise bien que le « sayf » est le seul « nom »
que cet objet porte, et que ses autres dénominations ne sont que des « adjectifs » (ṣifāt).
5
Suyūṭī, al-Muzhir fī ʿulūm al-lugha 1, 369.
326 ibrahim ben mrad
Il ajoute même à la défijinition donnée par Ibn Fāris une autre défijinition
plus précise empruntée à « ahl al-uṣūl »: « le mushtarak est un seul mot
qui porte deux signifijications qui s’égalent, au point de vue des locuteurs
de la même langue, ou plus de deux. »6 Ce concept de « mushtarak » est
exprimé aussi par une autre défijinition que portent quelques traités de
lexicographie arabes comme titre: « Les mots ayant la même forme pho-
nique mais des signifijications diffférentes » (mā ttafaqa lafẓuhu wa-khtalafa
maʿnāhu)7. On constate bien, d’après la première défijinition et l’exemple
de « ʿayn » qui l’illustre, que le terme de « mushtarak » désigne surtout
« la polysémie. » Mais, à l’exception de la défijinition illustrée par « sayf »
qui réfère bien à la synonymie, les deux autres défijinitions que donnaient
Ibn Fāris et Suyūṭī laissent à croire que le terme désigne aussi bien l’ho-
monymie que la polysémie. Le terme « mā ttafaqa lafẓuhu wa-khtalafa
maʿnāhu » que portent certains traités de lexicographie n’échappe pas
lui-aussi à cette généralisation. Mais d’après les exemples que l’on trouve
dans les traités de philologie arabe pour illustrer le phénomène8, le terme
de « mushtarak » renvoie surtout à la polysémie, sauf dans les cas où
l’exemple donné pourrait être un nom et un adjectif à la fois9.
D’ailleurs, cette tendance à désigner par « mushtarak » le phénomène
de la polysémie est confijirmée par les écrits philosophiques et logiques ara-
bes. Des écrits philosophiques nous mentionnons, par exemple, « Risāla
fī l-ḥudūd » (Epitre des Défijinitions) d’Ibn Sīnā. Plusieurs termes philo-
sophiques sont, dans cet épitre, qualifijiés de « mushtarak » parce qu’ils
dénotent un certain nombre de concepts, c’est-à-dire, en terminologie
lexicologique, un certain nombre de signifijications. C’est, par exp., le cas
de « ʿaql »10 (raison), de « nafs »11 (âme), de « ṣūra »12 (forme), de « jism »13
(corps) . . . etc. Cette association du terme à plusieurs sens est explicitée
par al-Jurjānī dans « Kitāb al-Taʿrīfāt » (Le Livre des Défijinitions). Pour cet
auteur logicien, le « mushtarak » est un « mot que l’on a établi pour déno-
6
Ibid. 1, 369.
7
Aḥmad Sharqāwī Iqbāl donne dans son Muʿjam al-maʿājim, 290–292 dans un chapitre
intitulé « Maʿājim al-ishtirāk » la liste commentée d’une douzaine de traités lexicographi-
ques portant le titre de « mā ttafaqa lafẓuhu wa-khtalafa maʿnāhu. »
8
Cf. par exemple Abū Manṣūr al-Thaʿālibī, Fiqh al-lugha, 410–411 (Chap. « Fī wuqūʿ ism
wāḥid ʿalā ashyāʾ mukhtalifa » (De la désignation de diffférents objets par un seul nom).
9
Tel que le mot « ʿadl » donné par Thaʿālibī (Ibid., 411) qui est un nom qui signifijie « jus-
tice » et un adjectif qui signifijie « homme juste. » La diffférence en catégorie lexicale est l’un
des critères que nous adoptons pour faire la distinction entre polysémie et homonymie.
10
Ibn Sīnā, Risāla fī l-ḥudūd, 79.
11
Ibid., 81.
12
Ibid., 82.
13
Ibid., 87.
homonymie, polysémie et critères de distinction 327
Ce qui nous intéresse des deux termes c’est leur usage lexical. Les linguis-
tes arabes modernes ont souvent tendance, quand ils décrivent des phé-
nomènes linguistiques, à traduire la terminologie linguistique occidentale;
14
al-Sharīf al-Jurjānī, Kitāb al-Taʿrīfāt, 215: « al-mushtarak: mā wuḍiʿa li-maʿnā kathīr . . . »;
or, dans les cas polysémiques, il ne s’agit pas de « waḍʿ »—institution ou établissement de
signifijication—mais d’une évolution sémantique de la signifijication première d’une unité
lexicale vers de nouvelles signifijications au cours de l’histoire de son usage.
15
ʿĪsā al-Ṣafawī al-Ījī, Sharḥ Kitāb Ghurrat al-manṭiq, 128. Remarquons que l’éditeur,
dans un index des « termes de logique » traduit (p. 238) le « lafẓ mushtarak » par « Equi-
voque, » et « lafẓ munfarid »—qui devient dans l’index « lafẓ mufrad »—par « Expression
simple, mot incomplexe »!
16
La littérature relative à cette fijigure de rhétorique en arabe est très abondante. Cf. une
synthèse avec une bibliographie détaillée dans Heinrichs, « Tadjnīs, » 70–73.
328 ibrahim ben mrad
et nous avons bien remarqué, dans plusieurs articles qui ont été envoyés
à la Revue de la Lexicologie, que les deux phénomènes d’homonymie et de
polysémie sont appelés ensemble « ishtirāk lafẓī » qui signifijie, littérale-
ment, que deux ou plusieurs mots s’associent à la même articulation ou la
même prononciation. Nous avons même constaté une sorte de confusion
entre les deux phénomènes dans des glossaires de termes linguistiques ou
même des livres de philologie arabe où l’on traduit clairement « homo-
nyme » par « mushtarak lafẓī » en donnant, parfois, l’exemple de « ʿayn. »17
Dans le meilleur des cas, s’il y a distinction entre les deux phénomènes,
on fait de « ishtirāk lafẓī » l’équivalent d’homonymie, et on se contente de
calquer le sens de « polysémie » en le traduisant par « taʿaddud maʿnawī »
(multiplicité de sens), sans penser à utiliser « ishtirāk dalālī » qui a plus de
légitimité, à cause du vieux usage de « mushtarak » et d’“ishtirāk » dans la
tradition linguistique arabe pour désigner le phénomène sémantique18.
Une telle généralisation résulte, en vérité, des difffijicultés que l’on trouve,
en linguistique moderne, à faire la distinction entre l’homonymie et la
polysémie. On leur donne, il est vrai, deux défijinitions diffférentes, mais très
proches l’une de l’autre. Dans un dictionnaire de terminologie linguistique
comme celui de Georges Mounin, l’homonymie « est une relation existant
entre deux (ou plusieurs) formes linguistiques ayant le même signifijiant,
mais des signifijiés radicalement diffférents. »19 Quant à la polysémie, le
même dictionnaire lui donne la défijinition suivante: « Propriété qu’a un
même signifijiant de présenter plusieurs signifijiés. »20 Mais le problème c’est
17
Cf. par exemple ʿAlī ʿAbd al-Wāḥid Wāfī, Fiqh al-lugha, 189–190; l’Académie de Lan-
gue Arabe du Caire, Majmūʿat al-muṣṭalaḥāt al-ʿilmiyya wa-l-fanniyya 1, 622; Ṣubḥī al-Ṣāliḥ,
Dirāsāt fī fijiqh al-lugha, 301–309; ALECSO, Unifijied Dictionary of Linguistic Terms, 62, 110, où
« ishtirāk lafẓī » est donné comme équivalent à homonymie et polysémie en même temps;
ʿAlī al-Qāsimī, ʿIlm al-muṣṭalaḥ, 357–363.
18
Cf. par exp. Bassam Baraké, Dictionnaire de linguistique, 100 (homonymie y est rendu
par « mujānasa » et « tajānus lafẓī »), et 162 (où polysémie et un autre synonyme écrit
« polysémémie » sont rendus ensemble par « taʿaddud al-maʿānī, taʿaddud al-dalālāt,
ishtirāk lafẓī »); Mubārak Mubārak, Muʿjam al-muṣṭalaḥāt al- alsuniyya, 132 et 229 (il
donne à homonymie « tajānus lafẓī » et « ishtirāk lafẓī » et rend polysémie par « taʿaddud
al-maʿānī » mais il copie sur Baraké « polysémémie » qu’il sépare de polysémie et auquel
il donne deux des équivalents de Baraké: « ishtirāk lafẓī » et « taʿaddud al-dalālāt. » Malgré
la distinction donc l’ « ishtirāk lafẓī » est commun à homonymie et à polysémie! Nabil
El-Zohairy, A Dictionary of Computer Science & Computational Linguistics, 165 (homonymie
est traduit par quatre termes arabes: « ishtirāk lafẓī, » « jinās, » « tajānus » et « tajnīs »),
et 282 (polysémie est rendu par cinq équivalents: « maʿnā kathīr » (sic !), « taʿaddud
al-maʿānī, » « ishtirāk, » « iḥtimāl » (sic !), « ittifāq al-lafẓ wa-khtilāf al-maʿnā. » Remarquons
que « iḥtimāl » est, dans ce dictionnaire, l’équivalent de « probability » aussi (293); Aḥmad
al-Maʿtūq, Ẓāhirāt lughawiyya, 94–97.
19
G. Mounin, Dictionnaire de la linguistique, 164.
20
Ibid., 264.
homonymie, polysémie et critères de distinction 329
qu’on ne sait pas toujours avec certitude quand les formes linguistiques
ayant le même signifijiant et des signifijiés diffférents constituent-elles de
vrais homonymes ou de vrais polysèmes. Pour un auteur comme G. Mou-
nin, « la polysémie difffère de l’homonymie en cela que les signifijiés difffé-
rents sont tout de même perçus comme présentant des traits sémantiques
communs, alors que dans l’homonymie ils n’ont rien de commun. »21 Mais
le problème que pose cette distinction c’est qu’elle impose arbitrairement
à des formes linguistiques identiques n’ayant pas des traits sémantiques
communs d’être des homonymes.
Cette distinction entre les deux phénomènes devient arbitraire parce
qu’elle dépend, en fijin de compte, de la conviction du sémanticien ou du
lexicographe vis-à-vis des signifijiants et des signifijiés qu’il traitent. Cette
conviction n’est pas, parfois, le résultat d’une vérifijication scientifijique des
données linguistiques mais d’une sorte de dogmatisme qui préfère une
approche à une autre. Ainsi, de tels mots, comme les noms « baie » et
« bouton, » les adjectifs « cher » et « pauvre, » et les verbes « appliquer » et
« descendre, » pourraient être considérés par d’aucuns comme des homo-
nymes et on les classe, dans le dictionnaire, en distribuant leurs diffférentes
signifijications sur des entrées séparées, et c’est l’approche synchronique
adoptée, par exp., par J. Dubois et alii, les auteurs du Dictionnaire du fran-
çais contemporain, qui traitent le verbe « appliquer, » par exp., sous trois
entrées distinctes et séparées par des numéros : 1- appliquer, v. tr., appli-
quer une chose (objet, matière), sur, contre, à; 2- appliquer, v. tr., appliquer
quelque chose (sans complément); 3- appliquer (s’), v. pr., (sujet nom de
personne)22. On parle, dans ce cas, d’un « dégroupement » des homony-
mes où le mot est considéré comme « une unité du discours défijinie par son
contexte: situation et distribution. »23 Ces mêmes mots pourraient aussi
être considérés comme des polysèmes, et on les classe en utilisant, pour
chacun d’eux, une seule entrée qui regroupe les diffférentes signifijications,
et c’est l’approche diachronique adoptée, par exp., par A. Rey et alii, les
auteurs du Petit Robert, qui traitent les diffférentes acceptions du verbe
« appliquer, » par exp., sous la même entrée: « appliquer, » qui est subdi-
visée en deux grandes parties ou deux sous-entrées: I. (Actif ) qui regroupe
deux acceptions numérotées du verbe transitif; et II. S’appliquer (v. pron.)
21
Ibid., 264–265.
22
J. Dubois, R. Lagane, G. Niobey, D. et J. Casalis, H. Meschonnic, Dictionnaire du fran-
çais contemporain—l’exemple mentionné est donné par J. et C. Dubois, Introduction à la
lexicographie, 68–69.
23
J. et C. Dubois, Introduction à la lexicographie, 67.
330 ibrahim ben mrad
Pour trouver une solution à un tel problème, on sait que plusieurs lin-
guistes ont proposé des critères de distinction28. Deux critères considérés
comme fondamentaux sont donnés: le premier est d’ordre étymologique.
Pour qu’un mot soit considéré comme polysémique, il faut que ses dif-
férentes signifijications remontent à une origine étymologique commune.
Mais ce critère est souvent invalidé parce qu’il se base sur la recherche
diachronique et l’histoire de la langue, et cela transgresse les normes de la
synchronie. D’après J. Lyons, « le critère de relation étymologique n’est pas
aussi évident qu’on pourrait le penser à première vue (. . .). En dépit des
avantages qu’il peut y avoir à fournir dans les dictionnaires des détails sur
l’histoire des mots, ces informations n’ont, ou ne devraient avoir aucune
valeur dans l’analyse synchronique des langues. »29 Donc pour respecter
l’usage synchronique de la langue, le lexicologue et le lexicographe doi-
24
Alain Rey et Josette-Rey Debove (dir.), Le Petit Robert. Dictionnaire alphabétique et
analogique de la langue française, 86.
25
J. et C. Dubois, 67.
26
Alain Rey, De l’artisanat des dictionnaires à une science du mot, 116.
27
Cf. d’autres détails et discussions concernant les deux approches dans J. et C. Dubois,
66–82; J. Picoche, Précis de lexicologie française, 69–89; A. Rey, 114–118.
28
Cf. par exp. J. Lyons, Sémantique linguistique, 178–180; J. Gardes-Tamine, La Gram-
maire, 1/Phonologie,morphologie, lexicologie, 109–110; A. Lehmann et F. Martin-Berthet,
Introduction à la lexicologie. Sémantique et morphologie, 68–86; A. Niklas-Salminen, La
Lexicologie, 123–127; V. Nykees, La Sémantique, 193–204; F. Gaudin et L. Guespin, Initiation
à la lexicologie française, 198–205.
29
J. Lyons, Sémantique linguistique, 179.
homonymie, polysémie et critères de distinction 331
vent la couper de son histoire pour ne penser qu’aux emplois actuels des
mots, c’est-à-dire aux « unités du discours » telles qu’elles se présentent
dans les contextes.
Le deuxième critère est d’ordre sémantique. C’est l’existence d’une rela-
tion de sens, dans le cas de la polysémie, par opposition à l’absence d’une
telle relation dans le cas de l’homonymie. Pour le même J. Lyons, « il est
clair que c’est la considération importante et on peut même arguer que
c’est la seule considération pertinente du point de vue synchronique. »30
Cette relation de sens nous rappelle les traits sémantiques communs que
les polysèmes doivent avoir pour être considérés comme de vrais polysè-
mes. Mais ce critère pourrait être invalidé lui aussi par le fait que l’absence
de relation de sens entre deux formes du même signifijiant ne prouve nul-
lement qu’une telle relation n’a pas existé dans une étape quelconque de
l’histoire du mot en usage. L’évolution métaphorique des unités lexicales
dans l’usage est un fait linguistique reconnu et il ne doit pas échapper
à l’attention du lexicographe pour bien saisir, parfois, les signifijications
exactes des « unités du discours » qu’il défijinit.
30
Ibid., 179.
31
J.-C. Milner, Introduction à une science du langage, 324–355.
32
Cf. surtout I. Ben Mrad, Introduction à la théorie du lexique, 106–114; idem., Du lexique
au dictionnaire, 18–20, 86–89.
332 ibrahim ben mrad
33
L’étude des « ṣiyagh » est la « ṣīghamiyya, » discipline de la morphologie dérivation-
nelle qui se distingue de la « ṣarfamiyya » dont l’objet est l’étude des « ṣarāfijim, » c’est-
à-dire les « morphèmes. » Cette deuxième discipline est donc « la morphématique; »
quant à la première, propre au système morphologique des langues ayant—en plus des
morphèmes—des « ṣiyagh » comme les langues sémitiques, elle n’a pas de nom dans la
littérature linguistique moderne. Nous lui avons proposé le terme « morphomatique, » un
néologisme dérivé du grec μορφωμα (morphôma) qui signifijie « forme » et « fijigure. » Les
unités qu’étudie la morphomatique sont donc de deux genres: les « ṣiyagh » elles-mêmes
ou formes types que nous appelons « morphomes, » et les unités lexicales simples qui s’y
intègrent et que nous appelons « morphomèmes »—Cf. I. Ben Mrad, Du lexique au diction-
naire, 73–95, et VI–VII (note 12).
homonymie, polysémie et critères de distinction 333
34
Cf. quelques éléments de cette discussion dans J. Lyons, Linguistique générale, 341–
346; J.-C. Milner, Introduction à une science du langage, 341-347. Cf. aussi I. Ben Mrad, Du
lexique au dictionnaire, 20–21. Cependant, il est à signaler que le trait [–C] est capital pour
établir une relation de synonymie entre deux termes.
334 ibrahim ben mrad
Cette forme nous présente une ressemblance presque parfaite entre les
deux mots puisqu’ils ne se diffférencient qu’en forme phonologique et que
cette diffférence est souvent le résultat d’un changement phonologique—
une mutation—qu’a subit un mot dans l’usage et qui se manifeste dans
une nouvelle forme représentant un deuxième mot. Il s’agit donc d’un
seul mot qui a changé de forme phonologique. C’est, par exemple, le cas
du mot « jashīsh » (blé écrasé) qui s’est transformé en « dashīsh » après la
mutation du [ʒ] en [d].
35
Une quinzaine dans al-Muʿjam al-wasīṭ de l’Académie de Langue Arabe du Caire 2,
664–665.
336 ibrahim ben mrad
36
J. Rey-Debove et A. Rey (dir.), Le Nouveau Petit Robert, 1769–1770.
homonymie, polysémie et critères de distinction 337
7. Conclusion
Pour conclure, nous insistons sur le fait que pour faire la distinction entre
l’homonymie et la polysémie, on se trouve obligé de prendre en considé-
ration la propriété étymologique des termes, c’est–à–dire de remonter à
une étape reculée de l’histoire du mot en usage. Même s’il est considéré,
dans le dictionnaire, comme une « unité du discours » dont la signifijication
se réalise dans le contexte, sa description sémantique dans une défijinition
satisfaisante nécessite du lexicographe une connaissance profonde de son
évolution sémantique pour bien saisir ses signifijications actuelles. L’adop-
tion d’une approche diachronique est donc nécessaire pour trancher si
des termes tels que « ʿayn, » « khurṣ » et « nāmūs » sont des homonymes
ou des polysèmes. Mais, d’après la théorie des propriétés distinctives des
termes, la propriété étymologique n’est sûrement pas la seule impor-
tante. D’après les formules de distinction que nous avons proposées dans
le paragraphe précédent, les autres propriétés sont aussi importantes et
particulièrement l’appartenance catégorielle et la signifijication lexicale.
Références
Gerhard Böwering
The terms, “Sufijism” and “the Science of the Letters” (ʿilm al-ḥurūf )1 men-
tioned together frequently awaken associations with the most widely
known work on magic in Islam, Shams al-maʿārif wa-laṭāʾif al-‘awārif (“The
Brilliance of Knowledge and the Subtleties of its Gift”) of Abū l-ʿAbbās
Aḥmad b. ʿAlī al-Būnī (d. 622/1225).2 The author was a native of the town
of Bone (i.e., ʿAnnāba) on the Mediterranean coast between Algiers and
Tunis, an old Phoenician settlement that became known as the Roman
city of Hippo, the bishopric of Saint Augustine (395–430), which passed
into the hands of the Muslim conquerors in the beginning of the second/
eighth century.3 The Shams al-maʿārif 4 exists in three versions, a short
one, the oldest (dated 618/1221), a middle-sized one, and a long one.5 The
work may be best understood as a kind of encyclopedia of magical prac-
tices popularly known in North Africa,6 that relies on superstitions and
insights into the supernatural world, covering a medley of topics, such
1
Where the spelling of Arabic and Persian terms or place names is included in Eng-
lish dictionaries, I have adopted standard American usage. The exceptions to this rule are
“Qurʾān” and “Qurʾānic” for Koran and Koranic. Personal names are written in long form
when they appear for the fijirst time in the text, thereafter they are quoted in their short
form with the defijinite article “al-” dropped whenever I refer to personal names denoting
descent or origin (nisba).
2
A. Dietrich (2004: “al-Būnī”); D. A. M. Pielow (1995); M. Ullmann (1972: 390–1). For the
relationship of Būnī’s works to the Kitāb al-jafr al-jāmiʿ by Abū Sālim Muḥammad b. Ṭalḥa
(d. 652/1254) and the Miftāḥ al-jafr al-jāmiʿ by ʿAbd al-Raḥmān b. Muḥammad al-Bisṭāmī
(d. 858/1454), see T. Fahd (1966: 228–30).
3
G. Marcais (1960: 1, 511–2).
4
The Arabic text is extant in a great number of manuscripts, see GAL I, 497; GALS I, 910.
The short version (al-ṣughrā) appeared in lithographs, Bombay 1237; 1296; 1298; and Cairo
1291; and was printed in Cairo 1319 and 1322; the middle-size version (al-wusṭā) is extant
in MS. Ahlwardt 4125; and the long version (al-kubrā) appeared in lithograph in Bombay
1296 and was printed in 4 volumes in Cairo 1905 (al-Maṭbaʿa al-Ḥusayniyya); see also,
T. Fahd (1966: 230–4).
5
H. A. Winkler (1930: 67–86); W. Ahrens (1922: 157–77).
6
D. Doutté, (1909); W. Ahrens (1922: 157–77 and 1925: 104–10); G. Bergsträsser (1923:
227–35).
340 gerhard böwering
as directions for the use of amulets, magical use of letters and numbers,
letter-squares, qurʾānic verses and names of God. The author of the work
is known as a Sufiji (al-Ṣūfī) who was given the honorifijic name of Muḥyī
l-Dīn, a name he shares with his famous contemporary Ibn al-ʿArabī
(d. 638/1240). The latter also employs “the science of the letters” at the
very heart of his magnum opus, al-Futūḥāt al-Makkiyya (“The Meccan
Revelations”), a huge encyclopedia that offfers a highly intellectual syn-
thesis of mystico-philosophical Sufijism.7
Having worked on it for some thirty years, Ibn al-ʿArabī divides his
work into six voluminous parts ( faṣl), each subdivided into sections ( juzʾ)
or chapters (bāb). The prologue, chapter 1, begins with a reflection on
the reality of being (al-ḥaqīqa l-wujūdiyya), the Logos and its manifesta-
tions (al-ḥaqīqa al-Muḥammadiyya) and the origin of the world (nashʾat
al-kawn), followed by an epistle to his master and shaykh ʿAbd al-ʿAzīz
al-Mahdawī of Tunis, disciple of Abū Madyan (d. 594/1197). Chapter 2
outlines the six parts of his work (al-maʿārif, al-muʿāmalāt, al-aḥwāl,
al-manāzil, al-munāzalāt, and al-maqāmāt). Chapter 3 offfers the actual
introduction (muqaddimat al-kitāb), where he presents his theory on the
nature of knowledge and its modes, prophetical, mystical, philosophical
and theological, the latter of which he criticizes severely. He ends this
chapter with three types of the profession of faith, that of the ordinary
believers, based on the teachings of Qurʾān and Sunna, that of the theolo-
gians, derived from intellectual reflection on the data of faith, and that of
the philosophers rooted exclusively in rational reflection. Chapter 4 then
details his own profession of faith, a declaration that is both mystical and
metaphysical and is based, in theory and practice, on his religion, “the
essential adoration” (al-ʿibāda al-dhātiyya) uniting his own being with the
absolute ground of existence (wujūd).
Upon this mystical and metaphysical core idea, Ibn al-ʿArabī develops
his hermeneutical method of “the science of the letters” (ʿilm al-ḥurūf ),
beginning in the second half of chapter 4 and ending with chapter 7. His
in-depth study of the letters of the alphabet provides a key to his whole
work, examining them against the background of his autobiographical
experience and fijinding in them the building blocks of his spiritual meta-
physics. Interpreting the letters one by one in chapter 6, he presents an
idiosyncratic order of the alphabet that reminds the reader of his Fuṣūṣ
7
Ibn al-ʿArabī, al-Futūḥāt al-Makkiyya (1329) and (1392/1972fff ); see also, W. C. Chittick
(1995: “Ebn al-ʿArabī”).
sulamī’s treatise on the science of the letters 341
al-ḥikam (“The Bezels of Wisdom”),8 the fijinal synthesis of his long years
of writing, which he develops along the lines of prophetical prototypes,
also quoted in his idiosyncratic order. In chapters 8 to 10 of al-Futūḥāt al-
Makkiyya, Ibn al-ʿArabī applies his hermeneutical method to the origin of
the world, “the word” (al-kalima) that brought forth the universe through
the command, “Be!” (kun). He completes his reflections with the interpre-
tation of the word that embodies the revelation through the command,
“Say!” (qul), as he focuses on the Basmala, the fijirst verse of the Qurʾān,
and al-Fātiḥa, its opening chapter. To illustrate the power, whether that of
creation or revelation, that he sees hidden in the letters giving expression
to speech, Ibn al-ʿArabī refers to Ibn Barrajān (d. 536/1141) who predicted
the recapture of Jerusalem in 583/1187 through numerological manipula-
tion of the letters.9 With the completion of these chapters in 599/1203 in
Mecca, Ibn al-ʿArabī set the stage for the development of a multifaceted
application of the science of the letters by Sufiji authors and movements in
the centuries that followed.10
The two principal works of Būnī and Ibn al-ʿArabī stand as beacons
on the Sufiji shore of “the science of the letters” (ʿilm al-ḥurūf )11 which, in
Islam, is constituted by vast tracts of literature on the meaning of the
letters that constitute the Arabic alphabet and function as the basis of
numbers in Arabic arithmetic. By delving into the depths of the meaning
of the letters, Muslim scholarship over the centuries has kept its focus on
the sacred meaning of the Arabic language and found its fulcrum in the
laws and elements that constitute its structure and composition, down to
the fijirst and last letter of its alphabet. Conceived as a constantly growing
standard dictionary co-authored by Ramzi Baalbaki, the scholar whom we
honor in these pages, the Mawrid has played a leading role in preserving
and maintaining its sacredness.12
In Western scholarship much research has also been conducted on the
letters of the Arabic alphabet13 as well as on the unconnected Arabic let-
ters, found separately or in groups, that stand at the head of twenty-nine
8
Ibn al-ʿArabī, Fuṣūṣ al-ḥikam.
9
I. Goldziher (1914: 544); A. Faure (1971: “Ibn Barradjān”).
10
The section on the science of the letters in Ibn al-ʿArabī’s al-Futūḥāt al-Makkiyya has
been examined meticulously by D. Gril (2004: 2, 105–219).
11
T. Fahd (1971a: “Ḥurūf ”).
12
Al-Mawrid al-ḥadīth, authored by Munir Baalbaki and Ramzi Baalbaki, Beirut, numer-
ous editions; see also, Ramzi Baalbaki (2007).
13
General and detailed information about the development of the Arabic alphabet and
script can be found in B. Gruendler (2001: “Arabic Script”).
342 gerhard böwering
suras of the Qurʾān as “the openers of the suras” (awāʾil al-suwar).14 Other
studies have devoted particular attention to the magical interpretation of
the letters by the means of geomantic (khaṭṭ al-raml)15 and divinatory tech-
niques (zāʾirja).16 In his Muqaddima, Ibn Khaldūn (d. 780/1378) treated this
topic extensively and distinguished several basic approaches to the inter-
pretation of the Arabic letters.17 Among these are the method of record-
ing dates by chronograms (ḥisāb al-jummal),18 the method of determining
the secret properties of the letters by analyzing their putative alchemical
compositions (ʿilm al-khawāṣṣ),19 and the method of drawing prognostica-
tions from their relation to astrological conjunctions, calculating portents
and predicting religious and political change (ʿilm al-awfāq),20 often with
the help of numerology.21 The letters of the alphabet were also used in the
creation of talismans (ṭilasm)22 and amulets (tamīma)23 that play a signifiji-
cant role in Muslim folklore. Most importantly, the letters of the Arabic
alphabet were employed as numerals for commercial purposes,24 deriving
from the older Arab practice of expressing cardinal numbers through the
position of the fijingers (ʿilm al-ʿaqd).25
The Sufijis, for their part, cultivated the interpretation of the Arabic
alphabet, known as “the science of the letters” (ʿilm al-ḥurūf ),26 as a distinct
hermeneutical approach to the sacredness of the Arabic language. They
tried to discern the mystical meaning hidden in the letters of the Arabic
14
H. Hirschfeld (1902: 101–3); T. Nöldeke, F. Schwally, G. Bergstrāsser and O. Pretzl
(1909; 1919; 1938: 2, 68–78); H. Bauer (1921); E. Goosens (1923); A. Jefffery (1924); M. S. Seale
(1959); A. Jones (1962); P. J. E. Cachia (1968); J. Bellamy (1973); K. Massey (2003, “Mysterious
Letters”).
15
For geomancy (khaṭṭ al-raml) and the various terms used to defijine it, see, T. Fahd
(1978: “Khaṭṭ”); the use of the term raml (ʿilm al-raml) for divination refers originally to
tracing lines in sand (raml); see also T. Fahd (1966: 195–203).
16
T. Fahd and A. Regourd (2002: “Zāʾirja”); T. P. Hughes (1935: “Daʿwah”).
17
F. Rosenthal (1967: 3, 137–61; especially 3, 118–136; 156–245).
18
G. S. Colin (1971: “Ḥisāb al-djummal). The chronograms, termed ramz, consist in a
group of letters whose numerical equivalents, added together, interpret past or predict
future events; see also W. Heinrichs and A. Knysh (1995: “Ramz”).
19
T. Fahd (1971b, “Khawāṣṣ al-Ḳurʾān”).
20
D. Pingree (1986: “Ḳirān”); D. Pingree (1986: “ʿIlm al-hayʾa”).
21
T. Fahd (1995: “Nudjūm”); P. Kunitzsch (1995: “Nudjūm”).
22
J. Ruska and B. Carra De Vaux (2000: “Tilsam”); T. Fahd (1997: “Siḥr”); the article,
“Tilsam,” EI 2 10, 500–2 spells the term in its popular form, “tilsam,” rather than in its techni-
cally correct form, “ṭilasm,” pl. “ṭalāsim.”
23
T. Fahd (2000: “Tamīma”).
24
M. Souissi (1971: “Ḥisāb al-ghubār”); A. I. Sabra (1971: “ʿIlm al-ḥisāb”); M. Souissi (2004:
“ʿIlm al-handasa”).
25
Ch. Pellat (1971: “Ḥisāb al-ʿaḳd”).
26
T. Fahd (1971a: “Ḥurūf ”).
sulamī’s treatise on the science of the letters 343
27
H. Fleisch (1971: “Ḥurūf al-hidjāʾ”).
28
A. T. Welch (1986: “Al-Ḳurʾān”).
29
The Sufiji movement of the Ḥurūfijiyya, traced back to Faḍlallāh al-Astarābādhī
(d. 796/1394), elaborated a system of numerological interpretations of the letters of the
Arabic/Persian alphabet and correlated them to the human form in an incarnationist doc-
trine, see H. Algar (2004, “Horufijism”), and the literature quoted in the article. See also,
S. Bashir (2005).
30
S. Bashir (2003).
31
P. Lory (2004).
32
B. Aladdin (2007).
33
M. Melvin-Koushki (forthcoming).
34
Occasional references to the early Sufiji interpretations of the letters can be found in
L. Massignon (1982); idem (1913); A. J. Arberry (1937); A. Schimmel (1975: 411–25).
35
The Arabic text of the Sharḥ maʿānī l-ḥurūf is included in al-Sulamī, Rasāʾil ṣūfijiyya,
1–19. The text is based on MS. Muḥammad Ibn Saʿūd 2118 (fff. 2b–12a), which has 227 folios
344 gerhard böwering
and was copied some sixty years after the author’s death in 474/1081 at Samarqand by the
copyist, ʿAbd al-Sayyid b. Aḥmad b. Yāsīn al-Khaṭīb al-Maskhāʾī al-Asrūshanī. A description
of the manuscript, which is the oldest known of Sulamī’s writings, except for one short
text, can be found in G. Böwering (2006: 219–230).
36
Sulamī’s life and work have been examined in G. Böwering (1991); see also, G. Böwering
(1997, “al-Sulamī”); for a general survey of Sulamī’s life and work see, L. Berger (1998); for
a recent study of Sulamī’s life and work see, J. J. Thibon (2009); for documentation from
Arabic primary sources, see al-Khaṭīb al-Baghdādī (d. 461/1073), Taʾrīkh Baghdād 2, 248–9
(nr. 717); Dhahabī (d. 748/1348), Siyar aʿlām al-nubalāʾ 17, 247–55; idem, Taʾrīkh al-Islām
(yrs. 401–20), 304–7, with additional references.
37
For a detailed examination of Sulamī’s writings, see the English introduction to the
Arabic text edition of select Sufiji treatises of Abū ʿAbd al-Raḥmān al-Sulamī by G. Böwering
and B. Orfali in al-Sulamī, Rasāʾil ṣūfijiyya. In quoting the text of Sharḥ maʿānī l-ḥurūf, the
sign # refers to the paragraphs in the Arabic text, independently from page numbers.
38
The edition of the Ḥaqāʾiq al-tafsīr, published by Sayyid ʿImrān under the title, Tafsīr
al-Sulamī wa-huwa Ḥaqāʾiq al-tafsīr, has been printed in two volumes, Beirut 1421/2001.
Unfortunately, it is based on one single manuscript, MS. Fatih 261 (316fff.; 600 h) and is
lacking a considerable part of the text, missing in the manuscript on folio 110a. Thus there
is a large lacuna (volume 1, page 325–6) including the end of Sulamī’s commentary on
sūra 11 (Hūd), from verse 11:90 onward, all of his commentary on sūra 12 (Yūsuf ), and the
beginning of sūra 13 (al-Raʿd) until verse 13:2. In addition, there are many mistakes in the
published text, often due to the state of the underlying manuscript, but often also due to
the less than painstaking way this edition was produced. The Ḥaqāʾiq al-tafsīr is known
to exist in about sixty Arabic manuscripts found in libraries all over the world. Most of
them are listed in GAS 1, 671–4, and G. Böwering (1996: 41–56). Two additional manuscript
references should be added: MS. St. Petersburg, Nr. 9 (ANC-9), Nr. 60 (306fff., 7th c. h) and
MS. Medina 16 (312fff., 704 h). When citing text portions that do not appear in the printed
version of volume 1, page 235, I cite this page and add in parenthesis the Qurʾānic verse
under which it is quoted in Ms. Br. Mus. Or.
sulamī’s treatise on the science of the letters 345
Sufijis, however, are cited by name along with their statements, occasion-
ally supported by chains of narrators (isnād) to authenticate a particular
statement. Sulamī’s most frequently quoted narrator of Sufiji statements
cited by name is Abū Naṣr Manṣūr b. ʿAbdallāh al-Iṣfahānī, who is known
to have played a pivotal role as a direct source in the compilation of the
Ḥaqāʾiq al-tafsīr and Ziyādāt al-ḥaqāʾiq, Sulamī’s major and minor com-
mentaries on the Qurʾān.39
Sulamī begins the treatise with reference to a saying traced to ʿAlī b. Abī
Ṭālib (d. 40/661),40 confijirmed by a statement transmitted on the Prophet’s
authority, which serves Sulamī as the justifijication for his discourse on the
meanings of the letters: “Each verse of the Qurʾān has a “back” (ẓahr, i.e.,
a literal and outer meaning), and a “belly” (baṭn, i.e., a hidden and inner
meaning), and each letter (ḥarf ) has a horizon (ḥadd, i.e., a boundary, a
defijinition) and a point of ascent (maṭlaʿ, muṭṭalaʿ, i.e., an allegory, a sym-
bolism).” Sulamī adds explicitly, “this saying justifijies the discourse on the
letters and their meanings” (# 3). This tradition afffijirms the well-known
distinction between the literal from the allegorical interpretation of the
Qurʾān (ẓāhir and bāṭin), the foundation of Sufiji hermeneutics. Operating
on two levels, it attributes to each Qurʾānic verse an outer or literal and
an inner or metaphorical meaning. Furthermore, it discerns in each let-
ter a specifijically defijined and a symbolically implied meaning.41 It would
appear that by “letter (ḥarf )” the Arabic sources are referring generally
to any discrete element of speech that can be pronounced, whether it
be a sound, a consonant, a consonant and vowel, a particle, a word or
even a phrase.42 In his Sharḥ maʿānī l-ḥurūf, however, Sulamī employs the
term ḥarf as referring particularly to the mysterious letters of the Qurʾān
(al-ḥurūf al-muqaṭṭaʿa) found at the head of twenty-nine suras and, more
generally, to each letter of the Arabic alphabet found in the Qurʾān. To
further sanction the compilation of his treatise, Sulamī cites a tradition
on the authority of Ibn ʿAbbās (d. 68/687),43 in which the Prophet explains
39
The importance of this narrator for the writings of Sulamī has been analyzed in
G. Böwering (1996).
40
ʿAlī b. Abī Ṭālib (d. 40/661) is regarded as the originator of the jafr, T. Fahd (1965:
“Djafr”); G. Windfuhr (2008: “Jafr”) and the select literature quoted in the article. Sulamī,
however, does not raise the issue of the jafr in his Sharḥ maʿānī al-ḥurūf, and his explana-
tions of the letters do not coincide with the table of the jafr designed by L. Massignon
(1968: 98–101).
41
Cf. G. Böwering (2003), in particular, 351, 360.
42
W. Fischer (1989); G. Böwering (2003: 360).
43
Ibn ʿAbbās, i.e. ʿAbdallāh b. al-ʿAbbās (d. 68/687), is considered the father of Qurʾānic
exegesis and the greatest scholar of the fijirst generation of Muslims, L. Veccia Vaglieri (1960,
“ʿAbd Allāh b. al-ʿAbbās”).
346 gerhard böwering
that the Arabic alphabet (Abū Jād) includes “all the marvels that exist”
(al-aʿājīb kulluhā, #4). Sulamī uses these two Hadith statements as the
foundation for his treatise—one arguing for the allegorical interpretation
of the letters of the Qurʾān, and the other providing the basis for the meta-
phorical interpretation of the letters of the Arabic alphabet.
44
The Lām-Alif is inserted as a twenty-ninth letter to distinguish the Alif as the long
vowel “ā” from the Alif with hamza, known as the glottal stop or the Alif as spiritus lenis.
45
G. Weil-[G. S. Colin] (1960: “Abdjad”); G. Krotkofff, Abjad (1985: “Abjad”); W. Lane
(1968: 1, 4).
46
S. A. Horodezky (1972: 1, 747–9).
sulamī’s treatise on the science of the letters 347
In the fijirst stage of the treatise (# 5–7), formed by his statements on the
Abjad, Sulamī interprets the letters of the Arabic alphabet with reference
47
T. Noeldeke (1904: 124–39); H. Bauer (1913: 501).
48
As the legend has it, Murāmir b. Murra gave his sons the names of the eight groups
of words that make up the Abjad; see T. P. Hughes (1935: 3). In general the Islamic his-
torical sources refer only briefly to Murāmir b. Murra and sometimes include a reference
to him in the biography of the calligrapher Ibn Bawwāb (d. 413/1022; see, Ibn Khallikān,
Wafayāt al-aʿyān 3, 344 (under Ibn al-Bawwāb); Dhahabī, Siyar aʿlām al-nubalāʾ 17, 319
(under Ibn al-Bawwāb); idem, Taʾrīkh al-Islām, yrs. 401–420, 329 (under Ibn al-Bawwāb),
while the lexicographical sources record a memory of him under the root letters of his
name; see, Abū Hilāl al-ʿAskarī (d. after 400/1010), al-Awāʾil (in chapter awwal man waḍaʿa
l-khaṭṭ al-ʿarabī); Fīrūzābādī, al-Qāmūs al-muḥīṭ 2, 132; Ibn Manẓūr, Lisān al-ʿArab 3, 171 and
al-Zabīdī, Tāj al-ʿarūs 14, 112–3.
49
I. Goldziher, (1979: “Bismillah”); B. Carra de Vaux and L. Gardet (1960: “Basmala”);
W. A. Graham (2001: “Basmala”).
348 gerhard böwering
to their eternal origin in God, His blessings and His divine names, as well
as in relation to the eschatological realities of life to come, the bliss of para-
dise, the damnation of hell, the resurrection, the remission of sins, the rev-
elation of God’s eternal word and His everlasting rule (# 5). In the second
stage of his treatise (# 8–21), he introduces the statements of certain early
Sufiji masters that illustrate basic mystical explanations of “the science of
the letters” (ʿilm al-ḥurūf ). These Sufiji masters are: Abū ʿAbdallāh al-Ḥārith
b. Asad al-Muḥāsibī (d. 243/857; # 8),50 Abū Saʿīd Aḥmad b. ʿĪsā al-Kharrāz
(d. 277/890–1; # 17),51 Abū l-ʿAbbās Aḥmad b. Muḥammad b. Sahl b. ʿAṭāʾ
al-Adamī (d. 309/921 or 311/923–4; # 9),52 al-Ḥusayn b. Manṣūr al-Ḥallāj
(d. 309/922; # 11; 12; 15),53 Abū Bakr Muḥammad b. Mūsā al-Wāsiṭī (d.
320/932; # 16), Abū Bakr Dulaf b. Jahdar al-Shiblī (d. 334/946; # 10),54 Abū
l-ʿAbbās al-Qāsim b. al-Qāsim al-Sayyārī (d. 342/953–4; # 14) and two anon-
ymous Sufijis (# 13, 19) followed by a general statement (# 20). Conclud-
ing this section by a statement of ʿAlī b. Abī Ṭālib, Sulamī cites a report
by Abū Bakr Muḥammad b. ʿAbdallāh b. Muḥammad b. ʿAbd al-ʿAzīz b.
Shādhān al-Rāzī, known as Ibn Shādhān (d. 376/986): “the science of the
letters (ʿilm al-ḥurūf ) belongs to the safely-kept sciences that are known
only to the learned divines (al-ʿulamāʾ al-rabbāniyyūn). If I could fijind a
place to put them, I would divulge them” (# 21).
Each of the sayings of the great Sufiji masters illustrates an essential
aspect of “the science of the letters” as it was understood in early Sufijism.
Muḥāsibī maintains the notion that God created the letters (al-aḥruf ) at
the dawn of creation, calling them to obedience and drawing their par-
ticular shape from the upright Alif, a letter that remained standing sepa-
rately (# 8). Divinely entrusted to Adam, rather than to the angels, the
secret of the letters was articulated by Adam, in Ibn ʿAṭāʾ’s view, after God
had given each letter its particular shape (# 9). Each letter proclaimed
50
Muḥāsibī’s statement is also cited by Sulamī, Ḥaqāʾiq 1, 326 (Q 13:1) and Baqlī, ʿArāʾis
2, 216 (Q 13:1).
51
Kharrāz’s statement is also cited by Sarrāj, K. al-Lumaʿ, 45. A similar statement is
attributed to Abū Muḥammad Aḥmad b. Muḥammad al-Jurayrī (d. 312/924) in Sulamī,
Ḥaqāʾiq 1, 219 (Q 7:1) and Baqlī, ʿArāʾis 1, 413 (Q 7:1).
52
This statement of Ibn ʿAṭāʾ is also cited by Sulamī, Ḥaqāʾiq 1, 219 (Q 7:1) and 1, 326
(Q 13:1) and Baqlī, ʿArāʾis 1, 413 (Q 7:1). It is also included in Abū l-Qāsim al-Qushayrī,
al-Risāla al-Qushayriyya, 30. The statement can be traced back to Abū l-ʿAbbās b. ʿAṭāʾ
al-Adamī rather than Abū ʿAbdallāh Aḥmad b. ʿAṭāʾ al-Rūdhabārī (d. 369/980), as claimed
by A. D. Knysh (2007: 13), following R. Gramlich (1989: 31).
53
Ḥallāj’s statement in # 11 is also cited by Sulamī, Ḥaqāʾiq 1, 325 (Q 13:1) and Baqlī,
ʿArāʾis 1, 413 (Q 7:1); Ḥallāj’s statement in # 15 is also cited by Baqlī, ʿArāʾis 1, 413 (Q 7:1).
54
Shiblī’s statement is also cited by Sulamī, Ḥaqāʾiq 1, 325 (Q 11:90) and 1, 326 (Q 13:1)
and Baqlī, ʿArāʾis 2, 216 (Q 13:1).
sulamī’s treatise on the science of the letters 349
55
R. Sellheim (1978: “al-Khalīl b. Aḥmad”); see also S. Wild (1965).
56
In his treatise on the letters, al-Khalīl enumerates 29 letters of the Arabic alphabet,
adding the Lām-Alif in the penultimate position, and explains each letter with reference
to qualities (ṣifāt) of human beings and animals (rather than with reference to divine
attributes, as Sulamī’s wording may be misunderstood); cf. Khalīl b. Aḥmad al-Farāhīdī,
al-Ḥurūf ; idem. K. al-Ḥurūf wa-l-adawāt; Ramaḍān ʿAbd al-Tawwāb (ed.), Thalāthat kutub
fī l-ḥurūf li-l-Khalīl b. Aḥmad wa Ibn al-Sikkīt wa-l-Rāzī, 33–48.
350 gerhard böwering
in depth (# 20). God entrusted this in-depth knowledge to the elite among
His friends, so that they would be able to discourse about them offfering
spiritual advice, moral counsel, mystical insight and increasing faith. In
this way their souls became intimately familiar with the meanings of the
letters, their hearts delighted at the moral lessons they include, and their
inner beings were enlightened by their contemplation. Each Sufiji became
aware of them according to his capacity while the realities of the letters
remained under God’s guard and are disclosed only by divine messengers
and select prophets as evidenced in the Qurʾān: “Knower of the Unseen,
and He discloses not His Unseen to anyone, save only to such a Messen-
ger as He is well-pleased with” (Q 72:67–8). A further anonymous Sufiji
statement distinguishes between three classes of mystics—the aspiring
penitents (tāʾibūn), striving novices (murīdūn) and accomplished mys-
tics (ʿārifūn)—who actualize particular letters engraved in their inmost
beings according to the extent of their mystical experience. The accom-
plished mystics achieve a deep awareness of being at peace before God,
drawing near to Him and being intimately in communion with Him so
that they are empowered to reveal the wisdom enshrined in the letters
and able to communicate with all creatures, whether they are human
beings, demonic beings ( jinn), beasts of prey, birds or animals. The peni-
tents only become acquainted with the recitation of the divine address
while the novices are able to derive from their proclamation what God
has decreed (# 19).
The fulcrum of Sulamī’s Sharḥ maʿānī l-ḥurūf is without doubt Ḥallāj, who
stands out as the principal Sufiji authority most frequently quoted by name
in the treatise (# 11, 12, 15, 54, 74, 75). In his K. al-Fihrist, Ibn al-Nadīm
(d. 385/995 or 388/998) attributes to Ḥallāj a treatise on the letters enti-
tled K. al-Aḥruf al-muḥdatha wa-l-azaliyya wa-l-asmāʾ al-kulliyya (“The
Book on the Created and Eternal Letters and the Universal Names”), and
also mentions two other titles that indicate themes discussed in Sulamī’s
treatise, namely K. al-Nuqṭa wa-badʾ al-khalq (“The Book of the [Primor-
dial] Point and the Beginning of Creation”) and a book known as al-Alif
al-maqṭūʿ wa-l-alif al-maʾlūf (“The Alif standing separately and the Alif
that is connected”).57 These three works of Ḥallāj are no longer extant,
57
Ibn al-Nadīm, K. al-Fihrist, 241–2.
sulamī’s treatise on the science of the letters 351
58
Massignon (1913).
59
Abū l-Qāsim Qushayrī, al-Risāla al-Qushayriyya, 486–7.
60
Cf. introduction to Sulamī, Rasāʾil ṣūfijiyya by G. Böwering and B. Orfali.
61
Sulamī, Dhikr miḥan al-mashāyikh al-ṣūfijiyya.
62
Sarrāj, K. al-Lumaʿ (Pages from the Kitab al-Lumaʿ), 9.
63
L. Massignon (1982: 1, 73), where the title of ʿAmr al-Makkī’s manuscript stolen by
Ḥallāj, is given as K. al-Kanz.
64
Farīd al-Dīn al-ʿAṭṭār, Tadhkirat al-awliyāʾ 2, 37–8, who cites the title of the stolen
manuscript as Ganjnāma, relating its content to the story of Iblīs, i.e., the secret of Satan’s
damnation and mystical redemption.
352 gerhard böwering
262/875 and before joining Junayd (d. 297/910) as a disciple for a short
time.65 Other than the theft, however, two alternate reasons are quoted in
the sources for the falling out. Makkī is said either to have disapproved
of Ḥallāj’s claim that he was able to compose writings equal in wording
to the Qurʾān or to have resented Ḥallāj’s choice of the daughter of Abū
Yaʿqūb al-Aqṭāʿ al-Baṣrī as his bride, a woman in whom his teacher also
had an interest.66
There is no doubt, however, that Ḥallāj was a master at interpreting the
mystical meanings of the letters. The crux of Ḥallāj’s explanation of the
letters and the central image of his interpretation are the two vectors of
the Lām-Alif, written in the Arabic script with a downward and upward
stroke. These strokes are reversed in direction at their turning point, the
“point” or “dot” (nuqṭa), thus representing the pattern of descent from
and re-ascent to God. The term, nuqṭa, is ordinarily employed to denote
the diacritical points (nuqṭa, pl. nuqaṭ) that distinguish the Arabic letters,
many of which are identical in their basic shape, from one another. The
term is also used to denote the vowel points that indicate the pronun-
ciation and division of syllables in Arabic. The nuqṭa as the dot under-
neath the fijirst letter of the Basmala, the beginning verse of the Qurʾān, is
understood in Sufijism since early times as signifying God’s manifestation
of creation.67 Furthermore, the term nuqṭa designated “earth” as the fijirst
of the four elements that are regarded as fundamental constituents of the
universe in ancient and medieval cosmologies. In this doctrine, adopted
by the Nuqṭawiyya in the ninth/fijifteenth century, “earth” was seen as the
starting point (nuqṭa) of all things, from which the remaining three ele-
ments (air, water and fijire) are derived.68
Ḥallāj understands the “point” symbolically against the background of
a mathematical point, a point that has location but no extension, such
as the extremity of a line. In Ḥallāj’s view, the knowledge of everything
is discovered in the Qurʾān, where it is hidden in the mysterious letters
introducing twenty-nine of its suras. The knowledge of these mysterious
letters is encapsulated in the joined pattern of the two letters, Lām-Alif
that intersect at their turning point and imply the meaning of negation
expressed by “lā,” “no!” Furthermore, the knowledge of the Lām-Alif is
hidden in the Alif, the symbol of God, and its knowledge, in turn, is hidden
65
G. Böwering (1980: 62).
66
L. Massignon (1975: 38 (Arabic text), 118 (French translation)); G. Böwering (1980: 62).
67
al-Sarrāj, Kitāb al-Lumaʿ, 88–9.
68
See H. Algar (1995: “Nuḳtawiyya”).
sulamī’s treatise on the science of the letters 353
in the dot. To know this dot (nuqṭa) requires realizing one’s primordial
intuitive knowledge (al-maʿrifa al-aṣliyya) that conveys the knowledge of
eternity a parte ante (ʿilm al-azal). This conceals the divine will of God
expressing the inefffable “He” (hū) that no one else knows but He, God
(# 11)—“like Him there is naught” (Q 42:11). Developing further this idea
of the primordial point, the “dot” (nuqṭa), Ḥallāj is cited later in the
treatise describing the way in which the mystic arrives at this dot as the
inmost point of his mystical experience: “The allusion of all the letters is
hidden in the Lām-Alif, the allusion of the Lām-Alif is hidden in the Alif,
the allusion of the Alif is hidden in the dot (nuqṭa), and the allusion of
the dot is hidden in the complete passing away in the vision of God, the
Everlasting” (# 75).
Sulamī may well have had a reason for quoting anonymously a Sufiji say-
ing that immediately follows Ḥallāj’s reflection on the dot (nuqṭa), possi-
bly intentionally concealing Ḥallāj as its author. The provocative saying is
nothing short of the earliest testimony to the idea of the “Perfect Human
Being” (al-insān al-kāmil), a concept that became a central idea of Islamic
mysticism after its presentation in the fijirst chapter in Ibn al-ʿArabī’s Fuṣūṣ
al-ḥikam.69 The statement goes to the core of Islamic monotheism because
it explicitly challenges the gulf that exists between God and creation in
the orthodox interpretation of Islam that leaves no room for associating
anything with God (shirk). The nerve of shirk is touched by this state-
ment because it perceives the dot (nuqṭa) as a spiritual fijigure mediating
between the divine and the human realms. It says (# 13): “In each word
(kalima) of God’s speech (kalām) there is the entire speech, and the entire
speech is (encased) in each word. The word is (encapsulated) in the letter
(ḥarf ), and the letter in the dot (nuqṭa). The dot is its rank (miqdār, lit.
“measure, extent”), the rank of the kind, spiritual, perfect, upright, com-
plete and universal servant (al-ʿabd al-laṭīf al-rūḥānī al-kāmil al-muḥkam
al-tāmm al-jāmiʿ).” This perfect, universal and spiritual servant links
the divine and the human realms at the point where they touch one
another.70 There is no Sufiji statement in the sources prior to Ibn al-ʿArabī
that proclaims the idea of the “Perfect Human Being” more forcefully than
this anonymous saying.71
69
Ibn al-ʿArabī, Fuṣūṣ al-ḥikam, chapter 1, 50.
70
For an examination of the idea of the Perfect Human Being in early Sufijism, see
G. Böwering (1998: “Ensān-e kāmel”).
71
The saying of Abū Yazīd al-Bisṭāmī (d. 261/874–5) that a friend of God becomes a
“totally perfect” mystic (al-kāmil al-tāmm), however, does not relate the idea with the pri-
mordial point (nuqṭa) of Ḥallāj; see Qushayrī, al-Risāla al-Qushayriyya, 523.
354 gerhard böwering
72
It is possible that Ḥallāj developed Ibn ʿAṭāʾ’s statement, “the Alif is the Confijidant
one confijides in” (al-alūf al-maʾlūf ) to express God’s primordial act of love in which God,
the subject of His act of creation (al-alūf ) makes Himself manifest in its object (al-maʾlūf ),
the world of His creation. This explanation, traced back to Massignon, is upheld by
J. N. Bell in the introduction to his translation of Daylamī’s treatise on mystical love; see
J. N. Bell and H. M. Abdul Latif al-Shafijie (2005: 56–8); see also, Daylamī, K. ʿAṭf al-alif
al-maʾlūf ʿalā l-lām al-maʿṭūf.
sulamī’s treatise on the science of the letters 355
to Ibn ʿAṭāʾ (Abū l-ʿAbbās Aḥmad b. ʿAṭāʾ al-Adamī), clarifijies the some-
what enigmatic phrase of al-alūf al-maʾlūf by employing the word play,
“The Alif symbolizes intimacy (al-ulfa) because it is the Confijidant one
confijides in (al-alūf al-maʾlūf ).” He goes on to explain that God makes the
spirits of the mystics, prophets and friends of God intimately familiar with
Himself. In the second pattern, Ḥāʾ stands for the praise of God (al-ḥamd),
the ʿAyn for the Knower and the known (al-ʿālim wa-l-maʿlūm), and the
Dāl for the judgment and the turns of fortune (al-dīn wa-l-dawl). To each
of the remaining letters, Ḥallāj assigns two particular mystical meanings,
making use of alliteration and presenting them in tandem by hendiadys,
except for the Bāʾ, Tāʾ, Ẓāʾ, Ghayn and Hāʾ, for which he cites only one
mystical meaning.
Later in the treatise, Sulamī cites Ḥallāj’s view on the creation of Adam
and his spouse, depicted as fijigures of light and symbolized by the joined
letters of Lām-Alif: “With regard to the Lām-Alif al-Ḥusayn (al-Ḥallāj) said:
The Alif alludes to the upright posture of Adam’s physique. His Lord cre-
ated him with an erect bearing and a beautiful composition of shape. Then
He revealed to him a light in the manner of the Lām. When Adam caught
sight of it, he liked its company. So God said to him, ‘Do you want to have
her?’ He replied, ‘Yes, I do.’ So God said, ‘There she is,’ and gave him the
light, and Adam embraced her” (# 74). Reading the joint Lām-Alif as the
Arabic particle of lā (“no”), so Ḥallāj continues, the Lām-Alif received
the fijigurative shape expressing true monotheism by denying that God had
any opponents and peers, as stated in the Qurʾān, “there is no god but
God” (47:19; 37:35). “The Lām-Alif,” so Ḥallāj concludes, is the shape of
Adam in his embrace of the light, by which his heart was favored among
all other creatures” (# 74).
Setting forth the main body of his treatise on the mystical interpreta-
tion of the letters, Sulamī examines each of the letters of the alphabet for
their mystical meanings (# 22–76), including the joint letters of Lām-Alif
(# 73–74) appearing in the penultimate position before the Yāʾ at the very
end of the treatise. He begins this long section by citing the name of Abū
Naṣr ʿAbdallāh b. ʿAlī al-Ṭūsī, i.e., Sarrāj (# 22) and quotes him twice later
on (# 28, 47) as a source for his explanation of the letters. The content and
subject matter of Sulamī’s Sharḥ maʿānī l-ḥurūf is not copied, however,
from Sarrāj’s K. al-Lumaʿ. In fact, Sulamī quotes most of the content of his
356 gerhard böwering
treatise from sources that are cited anonymously and introduced simply
by, “it has been said” (qīl). This makes it impossible to identify his specifijic
source for the several hundred statements on particular letters included
in the treatise. Some seven statements are introduced by named narra-
tors other than Sarrāj, such as Abū Naṣr Manṣūr b. ʿAbdallāh al-Iṣfahānī
(# 26, 30, 48), Abū Ḥafṣ ʿUmar b. Aḥmad b. ʿUthmān b. Shāhīn al-Baghdādī
(d. 385/995; # 27), Abū Bakr Muḥammad b. ʿAbdallāh b. Muḥammad b.
ʿAbd al-ʿAzīz b. Shādhān al-Rāzī (d. 376/986; # 40, 71), and Abū l-ʿAbbās
Muḥammad b. al-Ḥasan b. Saʿīd b. al-Khashshāb al-Muḥarrimī al-Baghdādī
(d. 361/971–2; # 51).
In Sulamī’s treatise only ten prominent Sufijis are quoted by name as
authors of brief particular sayings. They are: Dhū l-Nūn al-Miṣrī (d. 245/860;
# 40), Abū Bakr Muḥammad b. ʿUmar al-Warrāq al-Balkhī al-Tirmidhī
al-Ḥakīm (d. 280/893; # 40, 46, 71), Abū Saʿīd al-Kharrāz (# 72), Junayd
(# 46), Abū ʿUthmān Saʿīd b. Ismāʿīl al-Ḥīrī (d. 298/910; #33), Abū
Muḥammad Aḥmad b. Muḥammad al-Jurayrī (d. 312/924; # 47), Ibn ʿAṭāʾ
(# 26, 30, 48, 52, 65), Ḥallāj (# 54), Abū Bakr ʿAbdallāh b. Ṭāhir al-Abharī
(d. ca. 330/941–2; # 54), Muḥammad b. ʿĪsā al-Hāshimī (# 55) and Abū
Muḥammad Jaʿfar b. Muḥammad b. Nuṣayr al-Khuldī (d. 348/959–60;
# 51, 53). Sulamī also adds verses of the poet Abū l-Ḥasan Manṣūr b. Ismāʿīl
al-Tamīmī al-Ḍarīr al-Miṣrī, known as Manṣūr al-Faqīh (d. 306/918; # 56),
and the Sufiji Abū ʿAlī al-Rūdhabārī (d. 322/934; # 28, 56) to illustrate a
point. He makes no efffort, however, to present a comprehensive view
about the science of the letters as expressed by any of these Sufijis.
The Mīm (# 65–66) alludes to God as the king (malik) who holds sway
over the kings. Whoever seeks the kingdom (mulk), falls short of fijinding
the king, but whoever seeks the king, is made the owner of the royal lands.
Ibn ʿAṭāʾ held that the Mīm refers either to the meanings (maʿānī) of the
divinely proclaimed command and interdiction or to the graces (minan)
God accords the novices. Some held that the Mīm alludes to the inclina-
tion of the soul (mayl al-nafs) to follow its passions and oppose those
who prevent it from doing so, while others had the Mīm allude to the
inclination of the mystics (mayl al-ʿārifīn) to seek God’s pleasure. Some
said, the Mīm alludes to the disgust for the soul that seduces (maqt al-nafs
al-musawwila), while others said, it alludes to the desire of death (ḥubb
al-mamāt) in longing for the almighty King (al-malik al-jabbār).
The Nūn (# 67–69) alludes to the light (nūr) that God casts into the
hearts of His friends. The mystics see in this light the leader of God’s
friends (imām al-awliyāʾ) who was made a sign of God’s mercy for creation
and, by virtue of this light, is able to perceive the invisible things with his
own eyes. About him the Prophet said, “When that light was cast in the
heart, it became wide and was opened.” When the light of the servant’s
spirit (nūr rūḥ al-ʿabd) overwhelms the darkness of his body, the heart is
widened and opened. When the darkness of the body overwhelms the
light of his spirit, it darkens both spirit and body. There are many lights
God reveals to human beings: in the head, the light of revelation, between
the eyes, the light of intimate conversation, in the ear, the light of certi-
tude, in the tongue, the light of explanation, in the chest, the light of faith
and in the heart, the light of mystical knowledge. When any of these lights
flares up somewhat, it overpowers one of the other lights and enters into
its domain. When all lights are ablaze, they become light upon light, and
“God guides to His light whom He wills” (Q 24:35). The key of the Nūn is
derived from God’s name, “the light” (al-nūr). God enlightens the heavens
and the earth with visible lights and the bodies with invisible lights, such
as their well-being. He illuminates the hearts of the prophets and the elite
of His friends with His special light of mystical knowledge. The Nūn refers
to God declaring Himself above (tanzīh al-ḥaqq) all comprehension and
description. “So declare Him above what He declared Himself to be above
in reality, so that He may sanctify you with the lights of His compassion
and mercy and make you reach the utmost limit of your quest, now and in
the future” (# 69). God declared Himself above (nazzaha nafsahu) anyone
being brought near Him except through Him or truly giving thanks to
Him for an instant of grace, because praise is the utterance of the divine
Speaker and thanksgiving is the search for more grace.
364 gerhard böwering
73
A curious way of interpreting the Lām-Alif is represented by A. J. Arberry (1937).
sulamī’s treatise on the science of the letters 365
and joy in the nearness to God, and draws you near (yudnīka) to what
you hope for.
74
MS. Chester Beatty 3168/3 (fff. 83–87, 686 h); M. K. Jaʿfar (1974: 366–75).
75
Sulamī, Miḥan al-mashāyikh al-ṣūfijiyya, MS. Muḥammad Ibn Saʿūd 2118 (fff. 79a–88b).
366 gerhard böwering
76
Sarrāj, K. al-Lumaʿ (Pages from the Kitab al-Lumaʿ), 9; ḥiltīt is a gum resin extracted
from the plant asafetida that is used as a medical remedy and has a sulphur like smell.
77
G. Böwering (1980: 64–5).
78
Risālat al-iʿtibār, MS. Chester Beatty 3168/4 (fff. 88–95, 686 h) and K. Khawāṣṣ al-ḥurūf,
MS. Chester Beatty 3168/2 (fff. 65a-83, 686 h); M. K. Jaʿfar, Min al-turāth al-falsafī; Ibn
Masarra, al-Ḥurūf; M. Asin Palacios (1914); Engl. tr. E. H. Douglas and H. W. Yoder (1978);
M. N. Bardakçı (1999); R. Arnaldez (1971: “Ibn Masarra”).
79
Daylamī, K. ʿAṭf al-alif al-maʾlūf.
80
Fārābī, K. al-Ḥurūf. Sulamī could hardly have consulted the (Risāla fī) Asbāb
ḥudūth al-ḥurūf of Ibn Sīnā (370/980–428/1037). It is not known, however, whether Ibn
Sīnā completed this treatise before or after Sulamī’s death in 412/1021. Ibn Sīnā’s Asbāb
ḥudūth al-ḥurūf; cf. M. Bravmann (1934); P. N. Khānlarī (1333sh/1963); K. I. Semaan (1963);
N. Radhouane (2002).
81
Sulamī, Ḥaqāʾiq al-tafsīr, 19–20.
sulamī’s treatise on the science of the letters 367
two chains of transmitters that are intertwined with the isnād of the Shīʿa
family (ahl al-bayt).82 In the introductions to his major and minor Qurʾān
commentaries, Sulamī also refers to various criteria of Jaʿfar al-Ṣādiq’s
method of Qurʾān interpretation.83 The specimens of the interpretation of
the letters that Sulamī actually quotes on Jaʿfar al-Ṣādiq’s authority, how-
ever, belong to the category of alliteration and suggest little in the way of
symbolical or allegorical modes of interpretation.
For example, Sulamī states the following interpretations on Jaʿfar
al-Ṣādiq’s authority in his Ḥaqāʾiq al-tafsīr: With regard to bismi, (“in the
name of ”), the beginning of the Basmala, the Bāʾ alludes to God’s sub-
sistence (baqāʾ), the Sīn to God’s names (asmāʾ) and the Mīm to God’s
reign (mulk),84 or in other terms, the Bāʾ refers to God’s beauty (bahāʾ), the
Sīn to God’s splendor (sanāʾ) and the Mīm to God’s magnifijicence (majd),85
or by way of yet another alliteration, the Bāʾ refers to the door of proph-
ecy (bāb al-nubuwwa), the Sīn to the secret of prophecy (sirr al-nubuwwa)
and the Mīm to God’s rule on the Day of Judgment (mamlakat al-dīn).86
The name of God, “Allāh,” is analyzed by Jaʿfar al-Ṣādiq as a tretragram,
the Alif meaning the pillar of divine oneness (ʿamūd al-tawḥīd), the fijirst
Lām the tablet of understanding (lawḥ al-fahm), the second Lām the tab-
let of prophecy (lawḥ al-nubuwwa), and the Hāʾ infijinity (nihāya) by way
of allusion.87 The word al-ḥamd (the “praise” belonging to God) in the fijirst
sūra of the Qurʾān (1:2), is disassembled by Jaʿfar al-Ṣādiq in such a way
that the Ḥāʾ alludes to God’s singularity (waḥdāniyya), the Mīm to God’s
reign (mulk) and the Dāl to God’s everlastingness (daymūmiyya)88 or, in
other terms, al-ḥamd including the defijinite article has the Alif refering to
God’s gifts (ālāʾ), the Lām to God’s grace (luṭf ), the Ḥāʾ to God’s praise of
Himself (ḥamd nafsihi), the Mīm to God’s magnifijicence (majd), and the
Dāl to the religion of Islam (dīn al-Islām).89 The fijive Arabic consonants
constituting God’s name, “the Impenetrable” (al-ṣamad, Q 112:2), are
82
G. Böwering (1996: 35–56). It is not entirely clear why certain Sufijis appropriated the
name of Jaʿfar al-Ṣādiq to cover their own Qurʾān interpretations, but one can surmise that
this may have been done during the early Būyid rule in Baghdad after 334/945.
83
Sulamī, Ḥaqāʾiq al-tafsīr 1, 22, and Ziyādāt ḥaqāʾiq al-tafsīr, 2.
84
Sulamī, Ḥaqāʾiq al-tafsīr 1, 22 (ad Q 1:1); Baqlī, ʿArāʾis al-bayān, 1, 15.
85
Sulamī, Ḥaqāʾiq al-tafsīr 1, 22 (ad Q 1:1).
86
Ibid. 1, 26 (ad Q 1:1).
87
Ibid. 1, 31 (ad Q 1:1).
88
Ibid. 1, 33 (ad Q 1:2); Baqlī, ʿArāʾis al-bayān, 1, 19–20.
89
Sulamī, Ḥaqāʾiq al-tafsīr 1, 35 (ad Q 1:2).
368 gerhard böwering
90
Ibid. 2,429 (ad Q 112:2).
sulamī’s treatise on the science of the letters 369
1 Praise belongs to God, the Lord of all Being in the beginning and in the
end. May God bless Muḥammad and grant him salvation.91
Praise belongs to God who enlightened the hearts of His friends and
the elite among His servants with understanding of His word (i.e. the
Qurʾānic revelation). He gave them the capacity to understand the
difffijicult and obscure passages by turning them to Him and making
them mystics who possess knowledge of Him and know His names
and attributes. He caused them to transcend their ordinary ability to
comprehend His Proclamation and the subtle meanings of the letters
of His Book. He instilled in them a profound knowledge of each letter
of his proclamations through understanding its meanings and, through
their vision and insight, made them ponder their hidden meanings.
In every letter He placed for them an increment of explanation and a
special understanding and proof. “And God singles out for His mercy
whom He wills” (Q 2:105).
2 Now then, I say: After having completed the book of “The Realities
of Interpretation” (Ḥaqāʾiq al-tafsīr), I was asked to write something
about the meaning of the letters (maʿānī l-ḥurūf ) and what the wise
men among the mystics said about them so as to append it to “The
Realities of Interpretation” and conclude the book with it. I did as
I had been asked and begged God for help in compiling it, after dis-
avowing my own power and strength to do so and turning to the One
in whose hand are all blessings. May God grant success to its comple-
tion through His grace and abundance of His mercy.
3 ʿAlī b. Abī Ṭālib is reported to have said, as is the Prophet, supported by
a chain of transmitters: “Each verse of the Qurʾān has a ‘back’ (ẓahr, ie.,
a literal and outer meaning), and a ‘belly’ (baṭn, i.e., a hidden and inner
meaning), and each letter (ḥarf ) has a horizon (ḥadd, i.e., a boundary,
a defijinition) and a point of ascent (maṭlaʿ, muṭṭalaʿ, i.e., an allegory, a
91
I have made the following emendations to the Arabic text of Sharḥ maʿānī l-ḥurūf:
# 23, line 1, read annā rather than innā; # 25, line 5, read al-qalam bihā rather than al-qalam
bihi; # 27, line 4, read a-lā rather than lā; # 35, line 2, read fī qalbihi rather than fa-qalbuhu;
# 35, line 3, read ʿazza rather than ʿizz; # 49, lines 2–3, read bimā lā yalīqu bihi, rather than
bimā yalīqu bihi; # 63, lines 3 and 4, spell bi-ḥayātihi with long alif, rather than wāw (alif
al-tafkhīm); # 69, lines 5–6, delete wa-qīla nazzaha nafsahu as redundant due to a scribal
error.
sulamī’s treatise on the science of the letters 371
symbolism).” This report justifijies the discourse on the letters and their
meanings.
4 What further substantiates the teachings about the letters is the
statement of God’s Messenger, about which Abū Bakr Muḥammad b.
ʿAbdallāh b. Muḥammad b. Quraysh told me: al-Ḥasan b. Saʿīd told
me that Aḥmad b. Naṣr reported Dāwūd b. Sulaymān al-ʿAṭṭār to
have reported on the authority of Muḥammad b. Ziyād – al-Furāt b.
Sulaymān – Abān b. Abī ʿAyyāsh – Ibn ʿAbbās that the God’s Mes-
senger said: “Learn the alphabet (Abū Jād) and its interpretation! Woe
unto the scholar who ignores its interpretation!” They replied, “O Mes-
senger of God, what is it about the alphabet?” He replied, “In it are all
the wondrous things that there are.”
5 With regard to abjad, the Alif is God and the gifts of God. The Alif is a
letter drawn from God’s names, the Bāʾ is God’s beauty, the Jīm God’s
paradise and the Dāl God’s Judgment. With regard to hawwaz, the Hāʾ
is the bottomless pit of Hell and the agony of those fallen into it, the
Waw are the woes of the people of Hell, and the Zāʾ is the corner (of
Hell) and God save us from what lurks in the corner. With regard to
ḥuṭṭiy, the Ḥāʾ refers to the remission of sins for those who seek for-
giveness in the Night of Power and the news Gabriel brought down
together with the angels at the rise of dawn in the Night of Power; the
Ṭāʾ refers to, “Theirs is blessedness and a fair resort” (Q 13:29), a tree
implanted before Him by His own hand, whose branches can be seen
reaching out from behind the walls of paradise laden with ornamen-
tation and clothing flowing over its inhabitants; and the Yāʾ refers to
God’s hand above His creation, “Glory be to Him! High be He exalted
above that they associate with Him!” (Q 10:18; 16:1; 30:40; 39:67). With
regard to kalamun, the Kāf is God’s speech, “No man can change His
words; apart from Him you will fijind no refuge” (Q 18:27); the Lām is
the respectful greeting of one another by the inhabitants of paradise
with words of peace, welcome and visitation; the Mīm is God’s rule
that will never end; and the Nūn is, “Nūn, By the Pen, and what they
inscribe” (Q 68:1), a book of light and a pen of light “in a parchment
unrolled” (Q 52:3) in “a book inscribed” (Q 52:2). With regard to saʿafaṣ,
it means, He gives tit for tat and an eye for an eye, that is He returns in
equal measure “and God desires not wrong for His servants” (Q 40:31).
With regard to qurishat, the Qāf is the goal of humanity and God gath-
ers them for the Day of Resurrection, “and justly the issues shall be
decided between them, and they not wronged” (Q 39:69).
372 gerhard böwering
10 I heard Manṣūr (b. ʿAbdallāh al-Iṣfahānī) say, I heard al-Shiblī say:
“There is not a single letter of the alphabet that does not exalt God
with a tongue and remember Him with its own language. Each tongue
has a letter and each letter has a tongue. This is the secret of God in
His creation in which lies the richness of insights and the fullness of
thoughts.”
11 Al-Ḥusayn (Ḥallāj) said: “In the Qurʾān there is the knowledge of
everything and the knowledge of the Qurʾān is hidden in the let-
ters which stand at the beginning of the sūras. The knowledge of
the letters is hidden in the Lām-Alif, the knowledge of the Lām-Alif
in the Alif, the knowledge of the Alif in the point, the knowledge of
the point in the primordial knowledge, the primordial knowledge in
the knowledge of pre-eternity, the knowledge of pre-eternity in the
divine will, and the knowledge of the divine will in the unseen of the
‘He’ (huwa) of ‘like Him there is naught’ (Q 42:11), which no one else
knows but He.”
12 Al-Ḥusayn (Ḥallāj) said: “The entirety of the letters is a kingdom, and
the king of the kingdom (malik al-mulk) is the Alif. The Lām is its
outer form (ṣūra) and the Alif is the soul (rūḥ) of the Lām. The knowl-
edge of the Lām is in the essence of the Alif and the knowledge of
the Mīm is in the essence of the Lām. The Lām is the soul (nafs) and
light of the Mīm. The Alif is manifest with respect to the Mīm that
is hidden (behind it), while the Mīm is linked to the manifest Lām
(before it).”
13 A certain Sufiji said: “In each word (kalima) of God’s speech (kalām
Allāh) there is the entire speech, and the entire speech is (encased)
in each word. The word is (encapsulated) in the letter (ḥarf ), and the
letter in the point (nuqṭa). The point is its rank (miqdār, lit. “measure,
extent”), the rank of the kind, spiritual, perfect, upright, complete
and universal servant (al-ʿabd al-laṭīf al-rūḥānī al-kāmil al-muḥkam
al-tāmm al-jāmiʿ).”
14 Al-Qāsim said: “There are thirty letters. God revealed twenty-nine of
them but concealed one. He made it the key to the secret of (God’s)
friends, revealing it to whomever He wished among them.” It has
been said: “It is something that can neither be expressed by a word
nor intuited by imagination.”
15 Al-Ḥusayn (Ḥallāj) said: “Are you not aware that the Alif is the Con-
fijidant in whom one confijides (al-alūf al-maʾlūf ), the Lām the divine
gifts, and the Mīm the kingdom. The Ḥāʾ refers to the praise, the ʿAyn
to the Knower and the known, and the Dāl to the judgment and the
turns of fortune. The Bāʾ is the praise, the Tāʾ the perfection and
374 gerhard böwering
penitence, the Thāʾ the commendation and constancy, the Jīm the
(divine) glory and beauty, the Khāʾ good demeanor and character,
the Dhāl personality and responsibility, the Rāʾ gentleness (rawḥ)
and kindness, the Zāʾ increment and adornment, the Sīn, splendor
and secret, the Shīn circumstances and will, the Ṣād sincerity and
purity, the Ḍād brightness and forenoon, the Ṭāʾ purifijication, the Ẓāʾ
protection (ẓill), the Ghayn the Unseen, the Fāʾ dawn and insight,
the Kāf capacity and generosity, the Waw friendship and afffection,
the Hāʾ spiritual guidance, the Nūn illumination and enlightenment
(niwāl), the Lām-Alif rejoicing in union with the divine (tahlīl) and
the Yāʾ support and confijirmation.”
16 Wāsiṭī said: “There are twenty-eight letters that were brought into
being.” Al-Khalīl (i.e., Abū ʿAmr Khalīl b. Aḥmad b. ʿAmr b. Tamīm
al-Farāhīdī, d. between 160/777 and 175/791) said: “there are twenty-
nine letters, which are all attributes (ṣifāt) when the Distinguisher
distinguished them by saying, ‘not a thing, fresh or withered’ (Q 6:59)
and, ‘We have neglected nothing in the Book’ (Q 6:38). For anyone
who can diffferentiate or reflect, each letter points to an attribute.
And each one can reflect about what is appropriate to it and what is
its defijinition, locus and condition.”
17 Abū Saʿīd al-Kharrāz said: “To each letter there is a fountain of insight
diffferent from any other, a fresh flavor diffferent from any other and a
pleasant taste diffferent from any other. Only men endowed with pure
souls, discerning eyes and enlightened hearts are aware of them.”
18 A certain Sufiji said: “(God) made the Alif the fijirst and the Yāʾ the last
of the letters. The Alif signifijies the divine oneness and singularity, the
Yāʾ signifijies human pride (poverty?), worship and obedience. When
you link the two letters, the fijirst that is the Alif and the last that is
the Yāʾ, and reverse them, they become an interjection that is the
manifestation of worship by the servants before their Master by call-
ing out: ‘O God, O Benefactor, O Merciful!’ (yā Allāh, yā Raḥmān, yā
Raḥīm). In this consists the goal of the quest of all ascetics and mys-
tics, when the needs of the ascetics are fulfijilled and the exclamations
of the mystics answered.”
19 A certain Sufiji said: “(God) made engravings of the letters in the inmost
beings of the mystics, the aspirants and the penitents. Each one of
them turns in his inmost being to a particular letter, becomes famil-
iar with it and feels at ease with it according to the degree of his state.
When the mystics have completely achieved the station of knowledge,
are at peace before the Object of their knowledge and stand upright
sulamī’s treatise on the science of the letters 375
[Listing the letters of the Arabic alphabet, one by one, Sulamī explains]:
make manifest until eternity what the world would be and of what
it would consist.”
26 I heard Manṣūr b. ʿAbdallāh say, I heard Abū l-Qāsim al-Bazzāz in
Egypt say that Ibn ʿAṭāʾ said: “The Alif indicates intimacy because it
is the Confijidant one confijides in (al-alūf al-maʾlūf ). God makes the
spirits of the mystics intimately familiar by having them dwell with
Him. He makes the spirits of the prophets intimately familiar through
friendship, prophecy and message. He makes the hearts of the friends
intimately familiar through love and assistance.” Ibn ʿAṭāʾ also said:
“The Alif has six directions: right, the works of obedience; left, the
acts of disobedience; above, opposing God’s command; below being a
loyal servant; back, His manifest gifts; and front, His blessings granted
one after another.”
27 I heard ʿUmar b. Aḥmad b. Shāhīn in Baghdad say, al-Ḥusayn b.
al-Qāsim al-ʿAskarī said that ʿAlī b. Ḥusayn and Zayd b. Ḥubāb told
him on the authority of Ḥusayn that Yazīd al-Naḥwī reported ʿIkrima
saying, Ibn ʿAbbās said: “Jesus was sent to the scribes. One of them
said to him, ‘Say, Alif !’ which he did. Then he said to him, ‘Say, Bāʾ!’
Jesus replied, ‘Can you not tell me what the Alif stands for?’ The
scribe answered, ‘I do not know what it means.’ Jesus replied, ‘The
Alif is God, Mighty and Exalted is He.’ ”
by the rules of the law with great zeal, and inwardly, it expresses
bearing up under forebodings and being patient in affflictions.”
30 It has been said: “The Bāʾ alludes to the sound beginning according
to the Holy Custom so that the fijinal stages will be sound with regard
to the experiences of unveiling and witnessing.” It has been said:
“The Bāʾ is an allusion to God’s names, the Everlasting, the Reviver,
the Originator, the Benefijicent, the Inward and the Dispenser. It is an
allusion to God’s everlastingness and His permanence without end,
limit, or time.” I heard Manṣūr b. ʿAbdallāh al-Iṣfahānī say, I heard
Abū l-Qāsim al-Bazzāz in Egypt say that Ibn ʿAṭāʾ said: “The Bāʾ is
God’s kindness to the spirits of the prophets through the inspiration
of prophecy and messengership.”
cal moments; after that, the fear of having hardly any fear; after that,
the fear of lacking sincerity in fearing God; and after that, the fear of
hypocrisy in fearing God; and from here on to what can no longer be
described by stations of fear.”
39 It has been said: “The Khāʾ alludes to putting into practice your share
of the divine commands under the supervision of the One who gives
the command, until you see for yourself no further place to perform it
nor seek for yourself a stake in it, neither a recompense nor a reward.
Because one who gains control of his soul with joy about what he is
commanded to do, is distracted from seeking a reward for it, and is
set free to witness the One who gives the command.” It has been said:
“It alludes to purity of intention in every moment and state and at
every time and breath.”
and ‘the Compassionate.’ God spreads His mercy among His creation,
now and in the future. He revives them with His refreshing protec-
tion and illuminates their hearts with the lights of His knowledge. In
this world, they are shown traces of mercy and, in the world to come,
its reality. God’s Messenger said: ‘God has a hundred acts of mercy;
from their number He accords one mercy to His servants, by virtue
of which the creatures show mercy to one another, and He keeps
ninety-nine mercies in store for the Day of Resurrection.’ ”
48 It has been said: “The Sīn signifijies that the master (al-sayyid) is equal
to God in bringing about the precepts concerning pleasant and despi-
cable things, as well as blessings and misfortunes.” It has been said:
“The Sīn is the key to God’s name, ‘Giver of peace’ (al-salām). There
is no giver of peace other than Him, because He honored His friends
by calling them Muslims. He made them dwell in the house of peace,
honored them with the angels’ greeting of peace, and saluted them
without any intermediary. God said: ‘Peace, such is the greeting, from
a Lord All-compassionate’ (Q 36:58).” I heard Manṣūr b. ʿAbdallāh
say, I heard Abū l-Qāsim al-Bazzāz in Egypt say that Ibn ʿAṭāʾ said:
“The Sīn signifijies the secret God has with the people of His friendship
among the mystics by inspiring clairvoyance and familiarity with
Him through alienation from everything that is other than Him.” It
has been said: “The Sīn alludes to the servant blocking himself from
entering the door of transgressions.”
said: “It refers to the goodness of the hearts of the lovers by virtue of
their Beloved.” Al-Ḥusayn (Ḥallāj) said: “It alludes to God’s unfore-
seen appearances suddenly coming upon the inmost beings of the
elite of His friends, sweeping them clean of all kinds of other things
that dwell there and making them pure before the One, the Almighty,
because nobody dwells together with the Almighty and alights in His
abode. Rather, God subdues everyone who enters His dwelling and
alights in His abode, being at ease.”
source. The knowledge of the tablet has the archangels as its source.
The mystical knowledge has the friends of God as its source. The
knowledge of the divine essence has the prophets as its source. The
real knowledge of God has Muḥammad’s heart as its source and no
one else. This is why God said: ‘Surely you are possessed of a mighty
character’ (Q 68:4) because you were able to bear the realities of the
sciences that none other than you were able to endure. This is why
God addressed Muḥammad with the words, ‘Know you therefore that
there is no god but God’ (Q 47:19).”
58 It has been said: “The ʿAyn is the key to God’s name ‘the Mighty.’ He
is mighty in His majesty and loftiness above comparison and compre-
hension.” It has been said: “It is the key to God’s name, ‘the Omni-
scient’ because He knows the human beings that He happened to
create and what they will make manifest in the passage of time and
destiny.” It has been said: “The ʿAyn alludes to the appropriate way
of interacting with God and the proper perception of God interact-
ing with humanity by becoming oblivious to perceiving one’s inter-
action.” A certain Sufiji said: “The ʿAyn signifijies living constantly by
virtue of God and with God.”
him to life with it and took an oath by his life. The manifest perfec-
tion belongs to the messengers and the incipient perfection belongs
to the friends of God and the sincere mystics. Any human being who
becomes perfect, becomes perfect by being raised to God’s perfec-
tion and witnessing it.” It has been said: “It is an allusion to exis-
tence, Be! and being. Being is God’s speech, Be! is God’s command,
and existence is God’s creation.” It has been said: “It refers to God as
the ‘Sufffijicer.’ Whoever is content with Him, God sufffijices him in the
face of anxiety about this world and the next, and makes him reach
the place of sufffijiciency.”
that they may reach gladness on the Day of Judgment; God said, ‘We
were before among our people, ever going in fear’ (Q 52:26).”
designating you to fulfijill His commands.” It has been said: “The Yāʾ
is the letter that bequeathes you sadness in the vale of tears and joy
and delight in the closeness to the ‘Merciful.’ ” It has been said: “The
Yāʾ brings you near to the Object of your desire.”
Praise belongs to God, the Lord of all Being, and blessings upon His
Messenger Muḥammad and His virtuous family.
394 gerhard böwering
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STYLE FORMULAIRE ET PARALLÉLISME DANS LE CORAN
Georges Bohas
Préliminaires
1. Transcription
Quand nous analysons des vers dans le cadre khalīlien, nous sommes
contraint d’adopter les conventions des grammairiens et métriciens
arabes selon lesquelles ce que nous appelons une voyelle longue est com-
posé d’une voyelle brève et d’un glide : ā = a” 1, ī = iy et ū = uw ; on écrira
alors faʿuwlun et non faʿūlun.
2. Métrique
La métrique classique à laquelle nous ferons souvent allusion est résumée
dans le tableau suivant.
Watid initial
1 hazaj [⏑–] .. [⏑–] .– /////////////////// ///////////////////
2 wāfijir [⏑–] X– [⏑–] X– ([⏑–] –) /////////////////
3 muḍāriʿ [⏑–] .. [-⏑] .– /////////////////// ///////////////////
4 ṭawīl [⏑–] . [⏑–] .. [⏑–] . [⏑–] .–
5 mutaqārib [⏑–] . [⏑–] . [⏑–] . ([⏑–] –)
Watid fijinal
6 rajaz .. [⏑–] .. [⏑–] (.. [⏑–]) ///////////////////
7 sarīʿ .. [⏑–] .. [⏑–] .⏑–/ — — ///////////////////
8 kāmil X– [⏑–] X– [⏑–] (X– [⏑–]) ///////////////////
9 munsariḥ .. [⏑–] .. [-⏑] .. [⏑–] ///////////////////
10 muqtaḍab .. [-⏑] .. [⏑–] /////////////////// ///////////////////
11 basīṭ .. [⏑–] . [⏑–] .. [⏑–] (. [⏑–])
12 mutadārak . [⏑–] . [⏑–] . [⏑–] (. [⏑–])
Watid médian
13 ramal . [⏑–] . . [⏑–] . (. [⏑–] –) ///////////////////
14 khafīf . [⏑–] . . [-⏑] . (. [⏑–] –) ///////////////////
15 mujtathth . [-⏑] . . [⏑–] – ////////////////// //////////////////
16 madīd . [⏑–] . . [⏑–] . [⏑–] – ///////////////////
1
Nous utilisons “ pour transcrire le alif.
400 georges bohas
X = ⏑ ⏑ ou –
. = unité métrique variable, brève (⏑) ou longue (–)
⏑ = syllabe formée d’une consonne et d’une voyelle brève à l’intérieur du vers (CV)
– = syllabe formée
→ d’une consonne et d’une voyelle brève en fijin de vers (CV#); ou bien
→ d’une consonne et d’une voyelle longue (CṼ); ou bien
→ d’une consonne, d’une voyelle brève et d’une consonne CVC.
[⏑–] watid majmūʿ
[-⏑] watid mafrūq
(..) = facultativement réalisé.
////// = jamais réalisé.
Dans le 12 mutadārak2, les pieds se réalisent –⏑– ou ⏑ ⏑– ou – – (par synérèse : ⏑ ⏑ > –).
Dans 6 et 7, les deux premiers pieds sont strictement identiques, la diffférence tient au
dernier pied. S’il a la structure écrite en 7, alors le vers est un sarīʿ.
Tout hémistiche comporte au moins deux pieds et possiblement trois ou quatre comme
indiqué par les parenthèses. Le vers comporte deux hémistiches. Le nombre de pieds par
hémistiche est identique dans tout le poème.
Si une séquence peut être analysée 13 et 16, la bonne analyse est 16.
Ce tableau engendre tout le shiʿr ʿamūdī
Introduction
Notre but est d’amorcer une étude sur le style formulaire3 dans le Coran.
Parry, qui fut le premier à en systématiser l’étude chez Homère, défijinit la
formule poétique orale comme un groupe de mots régulièrement employé
dans le même contexte métrique pour exprimer une idée donnée4. Le style
formulaire consiste donc à construire des vers ou des demi-vers métriques
au moyen de formules et d’expressions formulaires5 traditionnelles qui ont
été préalablement apprises et assimilées. La formule est donc un groupe
de mots et une structure métrique. Rappelons un des acquis de notre
étude de 2007 : les structures prévalentes que l’on peut détecter dans
le Coran sont conçues comme une forme faible du double parallélisme
trouvé en poésie arabe classique. En d’autres termes, en poésie, le paral-
lélisme est absolu tandis que dans le Coran il est relatif. Ainsi, dans la
sourate al-Raḥmān, on observe la structure prévalente :
2
Selon les ouvrages des métriciens arabes. Selon Bruno Paoli, dans la réalité de la pro-
duction poétique, l’existence du pied –[⏑–] semble peu attestée.
3
Voir l’étude de Paoli (à paraître).
4
Parry (2007: 270).
5
Lord (1960, 4).
style formulaire et parallélisme dans le coran 401
P1 P2 P3 P4
.. [⏑–] . [⏑–] . [⏑–] .. [⏑–]
79% 77% 76% 73%
P1 P2 P3 P4
.. [⏑–] . [⏑–] .. [⏑–] . [⏑–]
100% 100% 100% 100%
A. Première formule
La première formule que nous allons étudier est constituée par la parti-
cule idhā, précédée de wa (et une fois de fa), à l’initiale du verset, suivie
d’un nom portant l’article et d’un verbe. Le groupe waʾidhā s’analyse lui-
même métriquement en ⏑⏑–, unité que les métriciens ont nommé fāṣila
ṣughrā : mutafa” comme ʿalima”, ḍaraba” etc6.
La sourate al-takwīr (tak) et celle qui contient le plus de structures de
ce type7 :
2
waʾidhā l-nujūmu nkadarat
⏑⏑–⏑––⏑⏑–
3
waʾidhā l-jibālu suyyirat
⏑⏑–⏑–⏑–⏑–
4
waʾidhā l-ʿishāru ʿuṭṭilat
⏑⏑–⏑–⏑–⏑–
6
Tibrīzī, Kitāb al-Kāfī, 18.
7
Nous avons pu réaliser notre recherche grâce au site : http://quran.muslim-web.com.
402 georges bohas
5
waʾidā l-wuḥūshu ḥushirat
⏑⏑–⏑–⏑⏑⏑–
6
waʾidhā l-biḥāru sujjirat
⏑⏑–⏑–⏑–⏑–
7
waʾidhā l-nufūsu zuwwijat
⏑⏑–⏑–⏑–⏑–
8
waʾidhā l-mawʾūdatu suʾilat
⏑⏑–––⏑⏑⏑⏑–
10
waʾidhā l-ṣuḥufu nushirat
⏑⏑–⏑⏑⏑⏑⏑–
11
waʾidhā l-samāʾu kushiṭat
⏑⏑–⏑–⏑⏑⏑–
12
waʾidhā l-jaḥīmu suʿʿirat
⏑⏑–⏑–⏑–⏑–
13
waʾidhā l-jannatu ʾuzlifat
⏑⏑––⏑⏑–⏑–
– –[⏑–] > ⏑⏑–[⏑–] en partant d’un pied de type .. [⏑–] où les deux vari-
ables (.) sont réalisées –, la première étant objet de diérèse.
8
Bohas et Paoli (1997).
style formulaire et parallélisme dans le coran 403
⏑ ⏑ – ⏑ – // – ⏑ ⏑ –
comme une réalisation d’une structure métrique .. [⏑–] // . . [⏑–]
ce que nous allons expliciter :
structure métrique . . [⏑ –] // . . [⏑–]
réalisation des variables – – – ⏑
diérèse ⏑ ⏑
waʾi dhal-nu jūmunka darat
Dans le verset 3, seule variera la réécriture des brèves dans le deuxième pied :
. . [⏑ –] // . . [⏑–]
réalisation des variables – – – ⏑
diérèse ⏑ ⏑
waʾi dhal-ji bā lu suy yirat
10 ⏑ ⏑ – ⏑ ⏑ ⏑ ⏑ [⏑–]
404 georges bohas
Dans ce verset, c’est le premier pied qui pose problème, puisque au lieu
du watid attendu, on observe la présence de deux brèves.
10 ⏑ ⏑ – [⏑–] ⏑ ⏑ [⏑–]
11 ⏑ ⏑ – [⏑–] ⏑ – [⏑–]
13 ⏑ ⏑ – – ⏑ ⏑ – [⏑–]
Il est clair que waʾidhā l-Ni Vi 9 est corrélée à une structure métrique pré-
valente : pied de kamil/pied de rajaz.
Cette constatation va être confijirmée par l’étude de la sourate al-mursalāt
(mur) :
9
Par l’usage des indices nous entendons que le pronom de rappel dans le verbe réfère
au nom.
style formulaire et parallélisme dans le coran 405
8
faʾidhā l-nujūmu ṭumisat
⏑⏑–⏑–⏑⏑⏑–
9
waʾidhā l-samāʾu furijat
⏑⏑–⏑–⏑⏑⏑–
10
waʾidhā l-jibālu nusifat
⏑⏑–⏑–⏑⏑⏑–
11
waʾidhā l-rusulu ʾuqqitat
⏑⏑–⏑⏑⏑–⏑–
2
waʾidhā l-kawākibu ntatharat
⏑⏑–⏑–⏑–⏑⏑–
3
waʾidhā l-biḥ āru fujjirat
⏑⏑–⏑–⏑–⏑–
4
waʾidhā l-qubūru buʿthirat
⏑⏑–⏑–⏑–⏑–
10
Bohas (2002).
style formulaire et parallélisme dans le coran 407
(cont.)
pied kāmil pied rajaz
Tak 11 ⏑ ⏑ – [⏑–] ⏑ ⏑ [⏑–]
Tak 12 ⏑ ⏑ – [⏑–] ⏑ – [⏑–]
Tak 13 ⏑ ⏑ – – ⏑ ⏑ – [⏑–]
mur 8 ⏑ ⏑ – [⏑–] ⏑ ⏑ [⏑–]
mur 9 ⏑ ⏑ – [⏑–] ⏑ ⏑ [⏑–]
mur 10 ⏑ ⏑ – [⏑–] ⏑ ⏑ [⏑–]
mur 11 ⏑ ⏑ – ⏑⏑ ⏑ – [⏑–]
Inf 2 ⏑ ⏑ – [⏑–] (⏑) – ⏑ [⏑–]
Inf 3 ⏑ ⏑ – [⏑–] ⏑ – [⏑–]
Inf 4 ⏑ ⏑ – [⏑–] ⏑ – [⏑–]
insh 3 ⏑ ⏑ – – ⏑ – –
wa ʾi dha l -Ni Vi
v v – [⏑–] . . [⏑–]
pied kāmil pied rajaz
B. Deuxième formule
Les sourates al-ʿādiyāt (ʿād) et al-mursalāt (mur), toutes deux mecquoises,
présentent une similitude frappante. Analysons-les.
al-mursalāt
1) wa-l-mursalāti ʿurfā
––⏑–⏑––
2) fa-l-ʿāṣifāti ʿaṣfā
––⏑–⏑––
3) wa-l-nāshirāti nashrā
––⏑–⏑––
4) fa-l-fāriqāti farqā
––⏑–⏑––
5) fa-l-mulqiyāti dhikrā
––⏑–⏑––
408 georges bohas
al-ʿādiyāt
1) wa-l-ʿādiyāti ḍabḥā
––⏑–⏑––
2) fa-l-mūriyāti qadḥā
––⏑–⏑––
3) fa-l-mughīrāti ṣubḥā
–⏑––⏑––
m u s t a f ʿ i l u n f a ʿ u w l u n
w a l m u r s a l a “ t i ʿ u r f a “
11
Tibrīzī, Kitāb al-Kāfī, 108.
style formulaire et parallélisme dans le coran 409
m u s t a f ʿ i l u n f a ʿ u w l u n
w a l m u r s a l a “ t i ʿ u r f a “
h a l b i l d i y a “ r i ’ i n s u w
Non seulement nous avons détecté une formule commune à ces versets,
mais, de plus, cette formule correspond métriquement à un vers : munsariḥ
manhūk, où nous avons écrit le watid en gras.
Le munsariḥ fait partie des vers à watid fijinal, groupe dont le rajaz est
en quelque sorte la tête de fijile. Il ne s’agit donc pas de qaṣīd (vers à deux
hémistiches). Dans ce groupe les manhūk attestés sont relativement peu
nombreux mais anciens, comme :
rajaz manhūk
yā laytanī fīhā jadhaʿ de Durayd b. al–Ṣimma : quatre vers
et
munsarih manhūk
ṣabran banī ʿabdi d-dār de Hind bint ʿUtba : trois vers.
Dans Tibrīzī p. 105 une main anonyme a ajouté : wa hādhā ʿindī laysa
shiʿran.
L’objet de la remarque est sans doute de dire qu’il ne s’agit pas de qaṣīd,
de vers à deux hémistiches, mais de vers de type rajaz à un seul hémis-
tiche12. Il est vrai que le problème se pose : est-ce que ces sortes de refrains
de 3 ou 4 vers constituent de la poésie, tout comme ces vers que Hind est
supposée avoir composés à la bataille de Uhud ?
naḥnu banātu ṭāriq
namshī ʿala l-namāriq
in tuqbilū nuʿāniq
12
Bruno Paoli a attiré mon attention sur ce point.
410 georges bohas
aw tudbirū nufāriq
fijirāqa ghayra wāmiq13
sont de la poésie? Le texte ajoute qu’elle était accompagnée au tambou-
rin par les femmes pour exciter les combattants ; n’aurait-on pas plutôt
un genre intermédiaire entre la prose et la poésie? Notons que les vers
de Hind sont riches en parallélismes (rime riche et métrique) que nous
signalons par l’usage des caractères gras :
– ⏑ [⏑ –] ⏑ – –
– ⏑ [⏑ –] ⏑ – –
– – [⏑ –] ⏑ – –
– – [⏑ –] ⏑ – –
⏑ – [⏑ –] ⏑ – –
C. Formules et parallélisme
Revenons à al-ʿādiyāt et al-mursalāt et à l’étude des parallélismes dans ces
versets. À cet efffet, insérons tous les versets dans le tableau mustaf ʿilun
faʿuwlun :
13
Il existe d’autres versions avec deux vers de plus.
Nous sommes fijilles de l’étoile du matin
Nous marchons sur des coussins
Si vous attaquez, nous embrassons
Si vous reculez, nous nous séparons
D’une séparation sans tendresse.
style formulaire et parallélisme dans le coran 411
m u s t a f ʿ i l u n f a ʿ u w l u n
w a l m u r s a l a “ t i ʿ u r f a “
f a l ʿ a “ ṣ i f a “ t i ʿ a ṣ f a “
w a l n a “ sh i r a “ t i n a sh r a “
f a l f a “ r i q a “ t i f a r q a “
f a l m u l q i y a “ t i dh i k r a “
w a l ʿ a “ d i y a “ t i ḍ a b ḥ a “
f a l m u w r i y a “ t i q a d ḥ a “
f a l m u gh i y r a “ t i ṣ u b ḥ a “
w a l m u r s a l a “ t i ʿ u r f a “
f a l ʿ a “ ṣ i f a “ t i ʿ a ṣ f a “
w a l n a “ sh i r a “ t i n a sh r a “
f a l f a “ r i q a “ t i f a r q a “
f a l m u l q i y a “ t i dh i k r a “
w a l ʿ a “ d i y a “ t i ḍ a b ḥ a “
f a l m u w r i y a “ t i q a d ḥ a “
f a l m u gh i y r a “ t i ṣ u b ḥ a “
Références
Sources Primaires
al-Tibrīzī, Abū Zakariyyā b. ʿAlī b. Muḥammad b. al-Ḥasan b. Bisṭām al-Shaybānī (al-Khaṭīb).
Kitāb al-Kāfī fī l-ʿarūḍ wal-qawāfī. édité par al–Ḥassānī Ḥasan ʿAbdallāh. Le Caire : Dār
al-Kitāb al-‘Arabī lil-Ṭibāʿa wa-l-Nashr.
Sources Secondaires
Bohas, Georges. 2003. “La métrique et la poésie arabe moderne.” Cent titres 3 : Poésie de
langue arabe dirigé. édité par J.-Ch. Depaule. Marseille : cipM, 115–126.
——. 2007. “La mesure de la sourate al-Raḥmān.” Langues et littératures du monde arabe
7: 53–74.
——. à paraître, “De la mesure en arabe, une description unifijiée.” Actes du colloque Métri-
que arabe, état des lieux et perspectives, Damas 2007. [Bulletin d’études orientales. Institut
du Proche-Orient].
Bohas, Georges et Paoli, Bruno. 1997. Aspects formels de la poésie arabe, I. La métrique arabe
classique. Toulouse : Amam.
Jakobson, Roman. 1960. “Linguistics and Poetics.” In Style in Language. éd. par T.A. Sebeok.
New York : John Wiley and Sons, 350–377. [Trad. de l’anglais par Nicolas Ruwet. In
R. Jakobson. 1963. Essais de linguistique générale. Paris : Éditions de Minuit, 209–248.]
Lord, Albert. 1960. The Singer of Tales. Cambridge, Massachusetts/Londres : Harvard Uni-
versity Press.
Paoli, Bruno. à paraître. “Deux études sur la poésie bachique arabe : 2. L’art de la formule.”
site web La clé des langues de l’École supérieure normale de Lyon.
Parry, Milman. 1971. The Making of Homeric Verse : The Collected Papers of Milman Parry.
Oxford : Clarendon Press.
Ruwet, Nicolas. 1975. “Parallélismes et déviations en poésie.” In Langue, discours, société,
Pour Emile Benveniste. éd. par J. Kristeva, J.-C. Milner et N. Ruwet. Paris, Éditions du
Seuil, 307–353.
14
Ruwet (1975) qui reformule le principe de Jakobson (1960).
15
Voir Bohas, à paraître.
STYLES IN PREMODERN ARABIC POPULAR EPICS
Peter Heath
1
The term al-sīra al-shaʿbiyya is modern. The narratives themselves equally and inter-
changeably use the terms al-sīra and al-qiṣṣa. For general accounts of Arabic popular
epic and its study, see Heath (1996: 3–64), Lyons (1995: 1:1–8), Irwin (1994: 42–62), and
respective chapters in The Cambridge History of Arabic Literature (2006). Canova (2003) is
devoted to articles on this subject and also contains an extensive bibliography of articles
on the subject.
2
Cf., Heath (1996: 8–11) and Connelly (1986: 12–18).
414 peter heath
3
Cf. the studies of Ott (2003) and Gavillet Matar (2005) devoted to written versions
with those of Slyomovics (1987) and Reynolds (1995), who offfer studies of the oral perfor-
mance tradition.
4
Among those who develop a comparative framework are Lyons (1996: vol. 1) and from
the methodological vantage point of folklore, El-Shamy (1995, 2004, 2006).
styles in arabic popular epics 415
5
“Middle Arabic is the language of mediaeval A[rabic] texts in which classical,
post-classical, and also often NA [Neo-Arabic] and pseudo-correct elements alternate
quite freely. Nevertheless, the diffferent strata tend to merge into one superstructure.” Blau
(2002: 14).
6
A brief overview of contemporary stylistics is Simpson (2004), which also has an
extensive bibliography. Ḥarb (1999: 358–74) offfers a brief discussion of general aspects of
sīra style.
416 peter heath
infuse their texts. Hence one way to diffferentiate styles is to ascertain the
extent to which the text utilizes rhymed prose and poetry.
The second assumption is that Middle Arabic is the default linguis-
tic register of these texts. Again, however, this default is only one point
along a continuum. One may fruitfully consider this register as a collo-
quial dialect that becomes integrated with degrees of literate syntax and
vocabulary as it enters written form. As the scribe or editor transcribes the
narrative he recasts it into standard Arabic usage and grammar according
to his level of education. The text undergoes a process of translation from
Middle Arabic to standard written Arabic, retaining nonetheless many of
the stylistic enhancements of rhymed prose and poetry. This translation
process can theoretically occur at diffferent points, when an oral version
is transcribed, when a Middle Arabic manuscript version is copied by a
more learned scribe, or when a manuscript is published in printed form.
It can also occur over time, as scribes of diffferent educational background
recopy manuscripts they may inject into the new copy varied levels of
grammar and usage.
The third assumption is that repetition is an essential facet of this story-
telling tradition. Repetition of themes and motifs occur throughout. The
extent to which repetition in language, the use of formulaic language,
is emphasized is another point of diffferentiation among styles. Milman
Parry and Albert B. Lord have done the most to broaden understanding
of the use of formulaic language in their studies of Serbo-Croatian poetic
epics and Homeric poems. Their analytic approach offfers a framework
within which to examine this aspect of style.7
These three assumed axes of stylistic diffferentiation interlace. Rhetori-
cal embellishment relies extensively on linguistic and formulaic repeti-
tion. Middle Arabic usage should be regarded as a natural feature of these
narratives, but it is not mandatory, just as the use of standard Arabic is not
a requirement. Formulaic repetition is common, but occasional inspired
literary innovation also occurs. The continuum of possibilities is therefore
broad. Nevertheless, there are general trends and it is analysis of these
which will be the object of focus.
I have previously presented an overview of the major narratives that
fall under the genre of Arabic popular epic. So that a common conception
of this genre is shared, this earlier summary is quoted below:
7
Lord (1960); Parry (1971).
styles in arabic popular epics 417
Sīrat al-Malik Sayf Bin Dhī Yazan is full of sorcery and demons, while Sīrat
ʿAntar and Sīrat Dhāt al-Himma are generally devoid of magic. Sīrat al-Malik
al-Ẓāhir Baybars tends toward unadorned prose, while other sīras rely heav-
ily on rhymed prose and poetry. Nevertheless, these works form a cohesive
genre by reason of their shared emphasis on heroes and heroic deeds of
battle, their pseudo-historical tone and setting, and their indefatigable drive
towards cyclic expansion: one event leads to another, one battle to another,
one war to another, and so on for hundreds and thousands of pages.
Viewed from a wider cultural perspective, these popular epics are Ara-
bic examples of a larger body of vibrant popular literature that existed in
most parts of the Islamic world. Premodern Persian and Turkish literatures
also developed strong traditions of popular epic, and there is convincing
evidence that despite their linguistic diffferences neighboring traditions of
popular storytelling borrowed and translated from and mutually influenced
one another. Sīrat ʿAntar, for example, exists in an Ottoman Turkish trans-
lation, and many of these epics exist in multiple versions across disparate
linguistic borders. Renditions of Sīrat Amīr Ḥamza, for instance, exist in Ara-
bic, Persian, Turkish, Georgian, Urdu, and Malay, while versions of the Alex-
ander story (Sīrat Iskandar) are even more widely disseminated in Eastern
and Western literature.
Arabic and other Islamic popular epics, moreover, constitute only one por-
tion of a vast tradition of multi-lingual Islamic popular literatures that also
encompasses non-epic pseudo-historical narratives (maghāzī and futūḥāt),
religious literature of various types (popular biographies of the Prophet
Muhammad and his companions, saints legends, accounts of miracles, etc.),
numerous genres of popular poetry, song, proverb and humor, and tales
of wonder and fantasy, the best known being the compilation known as
Alf layla wa-layla. The history and nature of this large corpus of literature
is still largely uncharted, as are the ways in which diffferent genres, whether
within single linguistic traditions or across them, influenced or impacted
one another. Nevertheless, no single example of these popular literatures
should be considered without at least an awareness of the existence of this
larger literary and social context.8
These remarks present an overview of the corpus termed Arabic popu-
lar epic, or al-sīra al-shaʿbiyya. To this extended quote should be added
Edward W. Lane’s observations regarding performances of sīra narratives
that he witnessed during his stays in Cairo in the 1820’s and the 1830’s. He
noted three modalities of performance which, we shall see, also reflect
three general narrative styles. One group of narrators specialized in Sīrat
al-Malik al-Ẓāhir Baybars; they recited in simple prose without relying on
books. The second group specialized in Sīrat ʿAntar ; they read from books
8
Heath (2006: 323–24). See also Heath (1996: xv–xvii, 43–64) and the articles in Canova
(2003) and those on popular literature in Allen and Richards (2006).
styles in arabic popular epics 419
but chanted the poetry and recited rhymed prose in “the popular man-
ner.” The third group specialized in reciting Sīrat Banī Hilāl; they did not
rely on a text but recited and sang the epic to the accompaniment of a
one-stringed rabāba.9
Lane’s tripartite designation of sīra recitation generally reflects stylis-
tic distinctions among popular epics. For purposes of analysis, we will
broaden his fijirst two groups into three categories, so that we have four
in all. The fijirst three styles represent a continuum with straightforward
prose on the one side and extensive use of rhymed prose and poetry on
the other. For purposes of analysis, these will be termed “simple prose,”
enhanced prose,” and “embellished prose.” Examples of plain prose are
versions of Sīrat al-Malik al-Ẓāhir Baybars, Aḥmad al-Danaf, and the Egyp-
tian version of Qiṣṣat ʿAlī Zaybaq. “Enhanced prose,” the most common
style, uses greater adjectival description, including regular insertions of
rhymed prose and poetry to describe people and places, proverbial situa-
tions, and emotions (such as love or grief). This enhanced style is preva-
lent in the Būlāq version of Alf Layla and in such popular epics such as
Amīr Ḥamza, Fīrūz Shāh, or the Story of ʿUmar al-Nuʿmān that is found in
the Nights. The other extreme of the stylistic continuum is “embellished
prose.” Narratives employing this style exhibit high usage of rhymed prose
(sajʿ) and longer examples of poetry that serve to describe animate and
inanimate objects and emotions adjectivally but is also utilized adverbi-
ally to portray extended action scenes, such as travel and especially battle.
Sīrat ʿAntar, Sīrat al-Malik Sayf Bin Dhī Yazan, and Sīrat Dhāt al-Himma
typify this embellished style. As mentioned above, these three styles
represent gradations of Lane’s fijirst two categories. The fourth style, that
found in printed versions of Sīrat Banī Hilāl, forms a separate category
parallel to the fijirst three. This style is characterized by a combination of
enhanced rhymed prose combined with a high degree of poetic insertion,
used especially to portray direct speech between characters and narrative
reiteration of events.
Before examining examples of these four types of styles, two caveats
must be raised. First, one should realize that individual narratives can be
recast from one style to another. Albert Lord noted in the case of the
Serbo-Croatian tradition of epic oral formulaic narration that storytellers
who master one or move styles can easily reformulate any given plot out-
line into a specifijic style. Hence the above-adumbrated categories should
9
Lane (1966: 397–431, quote from 420).
420 peter heath
be taken as general. Each specifijic text of a sīra falls into one of these
categories, but diffferent versions of the same sīra may fijit diffferent cat-
egories. A second caveat is that this current discussion focuses mainly
on written versions of sīras. It does not encompass transcriptions of oral
performances. Detailed comparison between written and oral versions of
sīras remains a separate desideratum.10
Simple Prose
10
Lord (1960: 32–45, 99–123); see also Ahlwardt (1896: vol. 8). One excellent in-depth
study encompassing consideration of both the written and oral traditions is Ott (2003:
138–218).
styles in arabic popular epics 421
، ، .
: ،
،
،
، : ؟
! : . ،
،
.
: ؟
،
!
:
.
، ، : ،
،
.
. .
؟
: ! ، :
، .
،
، . ، ،
.
، ،
.
The narrator related,: “Oh, Noble Gentlemen, with blessings on the Best of Man-
kind [i.e. the Prophet Muḥammad]”: 11 In olden times, in a previous age, there
was once a king of Islam called al-Ṣāliḥ Ayyūb, (May God have mercy on
him and on all who have preceded us to God’s mercy). This king was a pious
believer, both externally and internally. His seat of power lay in fair Egypt.
He had a wife who was his equal in deserving the blessings of God. It hap-
pened that one night, on a Friday night, the king had a dream. He had an
amazing dream. When he awoke from sleep and the pleasure of his dream,
he forgot what he had dreamt. He sprang up and began to overturn the mat-
tress and shake out the sheets, saying, “There is no power and no strength
11
Insertions referring to the internal narrator of the story are put in italics for the sake
of clarity.
422 peter heath
save in God, the Great and Almighty! Where did my dream go?” His wife,
Shajarat al-Durr, awoke and found him continuing to search and repeating
this phrase and she thought that he had lost something. She sprang to her
feet and said, “Oh King of the Age? What’s wrong?” He said to her, “I had a
dream that went astray. Have you seen it?” She said, “Yes! I saw it and I sent
it to your vizier, Lord Shāhīn.
He said: When the king heard those words, his mind eased and he relaxed.
He left the Hall of the Arabs and continued until he had completed his
morning prayers and his daily portion of Qurʾān recitation. As for the queen,
she immediately sent word to vizier Shāhīn that, “The king has had a dream
that he forgot. He asked me about it and I said to him that I had sent it to
the vizier and passed it on to him. So know what your answer to him will
be!” As for the king, after he had completed his prayers and Qurʾān recita-
tion, he sent after Lord Shāhīn. He appeared before him, prostrated himself,
and wished him good morning. The king ordered him to sit, so he sat down.
He said to him, “Have you brought me an interpretation of the dream that
Shajarrat al-Durr sent to you?” He said, “Sire, I received the dream, but I
sent it on to the Sheikh of al-Azhar, Sheikh Muḥammad Daqīq al-ʿĪd, so
that he could bring you its explanation.” The king said to him, “Well done!”
Oh Gentlemen: Prior to his own appearance before the king Vizier Shāhīn
had sent word to Sheikh Muḥammad by letter inviting him to court. [Thus
forewarned] the sheikh stretched his hand out from within his underarm
and pulled out a written interpretation. He said to the king, “Sire, Your
Majesty, I saw in your dream fijire around Egypt and a great disturbance com-
ing to you from it. Afterwards, there arrived from the direction of the Nile
birds which drank water from the river and sprayed it onto the fijire. Among
them was a black raven who was the leader of the other birds. He continued
to put out the fijire until its flames were extinguished.” The king said to him;
“Yes! By God’s Glory! This is the dream exactly! But what is its interpreta-
tion?” The sheikh said to him, “Sire, army regiments will be raised in your
kingdom and there will appear from among them a skilled youth who will
be its great star. Fortune will serve him and he will become the most power-
ful leader of his time. He will set out against the enemies of the Faith and
win great victories. He will be recorded in the registry of those warriors who
fijight on the path of God. He will win renown and go down in history. Believ-
ers will remember him in their prayers until the end of time, wherever one
stands or sits. This, Sire, is the interpretation of your dream.”
The narrator of the story said: Vizier Shāhīn had sent word to the sheikh
in the form of an invitation, as we have previously related. When he opened
this letter, he had found the dream written on its margin with its interpreta-
tion below.12
This passage, the fijirst two and a half pages of Sīrat Baybars, exhibits most
of the characteristics of what is termed here “simple prose” style. This style
12
Bohas and Zakharia (2000–07: 1, 17–19).
styles in arabic popular epics 423
is ubiquitous since it is the default mode for written versions of almost all
premodern Arabic storytelling texts. One can fijind equally representative
examples of it in many narratives, including those from other genres such
as the stories of magic and romance in The Thousand and One Nights. As
we shall see, even narratives which display more elaborate styles rely on
“simple prose” for their underlying structure.
The basic structure of this form is subject, verb, and complement, with
the complement being either a direct object or the object of a preposi-
tional phrase. In other words, this style is shorn of description. Adjectives
are used sparingly; descriptions of either nouns or verbal action that com-
prise more than a word or two are rare. In the above passage, for example
no personal attributes other than offfijicial function are offfered concerning
the characters. We learn that there is a king, a queen, a vizier, and a Sheikh
of al-Azhar, but we do not know whether they are young, middle aged, or
elderly, attractive or ugly, generous or miserly, etc. Personal names pro-
vide the only other distinguishing feature, helping us to keep the king,
queen or vizier distinguishable from another king, queen or vizier. The
only personal attribute explicitly provided in this text is religious piety,
a quality which the king and queen share, although not it appears the
vizier or the Sheikh of al-Azhar. Similarly, place names provide geographi-
cal context. We know that the events occur in Egypt, which is termed
“fair” or “salubrious.” Other than this, no description of the condition of
the country or its capital occurs. We do not know if the city or country is
large or small, prosperous or poor, orderly or chaotic. The name Egypt is
mentioned and whatever image this word connotes in the minds of the
story’s audience, that is how it is to be understood. Nor is any other place,
such as the royal palace described. Conversations are reported, but they
are brief and to the point, serving only to move action along in the story.
Most of the nouns and verbs that dominate this style refer to concrete
objects or actions; abstract concepts tend not to appear. Emotions are
noted but only common ones, such as happiness, fear, anxiety, or anger.
There is no representation of interior thought or portrayal of reflection
or planning. Instead, character is displayed by action.13 We know what
characters think after we have seen how they act. From this passage, for
example, one senses that the king may be pious but that he is also naïve
and unintelligent. The queen and the vizier in cooperation take advantage
of the king’s lack of intelligence and agitated state of mind to achieve
13
Cf. Todorov (1977).
424 peter heath
their own political aims. From this we surmise that they both are clever
and politically astute. The character of the Sheikh al-Azhar emerges as a
political tool rather than religious fijigure. Interestingly, although the king
and queen are described as pious, no such description is given for the
Sheikh al-Azhar.
Context is provided telegraphically though the use of verbal tense and
concrete nouns or phrases. We know that this is a story about the past
because of the text’s inclusion of formulas common to this genre: “In
olden times,” the narrator related. These phases and the consistent use
of the past tense bracket our understanding of events to occur in what
Bakhtin termed the “epic past,” a time, the audience understands, when
the constraints of current expectations of realism are loosened.14
The style relies heavily on metonymy to provide social context. We learn
the structure of political rule through the metonymic use of titles, such
as king or queen. We become aware of the dominant religious context
through insertions of religious formulas or practices common to Islam:
blessings on the prophet, daily prayer, daily Qurʾānic recitation. Similarly,
the relation between the profane and spiritual is delineated indirectly
by inclusion of the belief in the efffijicacy of dreams or miracles. Although
the supernatural is an ever-present force in everyday life, note how the
queen and the vizier use the occasion of the king’s dream to attain their
political goals. In sīras supernatural event is subordinate to human ambi-
tion and action.
External context unfolds as the story progresses. Geography is denoted
by place names. As cities, towns, or regions are mentioned the geographi-
cal scope of the narrative grows, but locations are only mentioned as they
become relevant for the story. In like fashion, we learn about new charac-
ters when they appear in the story, and we discover their natures through
narrative portrayal of their actions rather than reliance on extended use
of external adjectival description.
The following passage provides a typical illustration of the relation
between the portrayal of action and the use of description. Based on the
interpretation of his dream, the king orders the vizier to buy mamluks, i.e.
military slaves. The vizier orders merchants to go out and fijind suitable
slaves. One of these merchants is ʿAlī Āghā al-Warrāq, the individual who
will buy Baybars, the slave who will one day become Sultan of Egypt. Here
is how the story introduces ʿAlī Āghā al-Warrāq:
14
Bakhtin (1981: 15–20).
styles in arabic popular epics 425
،
،
، ،
، .
.
. ،
. ، ، ،
.
، .
.
،
.
.
Listen to what happened, and pray for the best of mankind [i.e. the Prophet
Muḥammad ]: This man, ʿAlī Āghā al-Warrāq, was a leading trader, no one
more skilled than he. He was open-handed, had a cheerful mien, was popu-
lar among his associates, and possessed good morals. But at this time he
was sufffering from penury and ill-fortune. He sat at home without work or
business. The reason for his poverty was that one time he had amassed a
large cargo of merchandise and traveled with it to the coast. At that time the
whole coast was occupied by Crusaders but ʿAlī Āghā was beloved among
all, Muslim and Christian alike, because of his generosity and good morals.
He would travel everywhere and he was well-known to all, on land and on
sea. So after he packed up his merchandise and set out, he arrived in Bei-
rut and then set out traveling by sea. A short time later a storm arose and
the ship sank. ʿAlī Āghā al-Warrāq clung onto a piece of the rudder until
the waves threw him on shore, completely naked. He emerged shivering
from cold and moved from place to place. People took pity on him and gave
him some clothing and food until he reached Beirut. He stayed there two or
three days but did not let any merchant see him. He returned to Damascus
completely penniless. He fijinally entered his house in the evening and sat
thinking about what had happened to him. Embarrassment overcame him
about seeing any merchant because they had invested a lot of money for
him to trade with.15
15
Bohas and Zakharia (2000–07: 1, 21–22).
426 peter heath
The story continues for some time as ʿAlī Āghā’s merchant friends dis-
cover his return and out of afffection for him, provide funds for him to
trade again. He sets out anew but again faces misfortune when highway-
men rob his caravan. He returns home penniless and full of shame he
again hides in his house. Since he has no money, he sends his wife to sell
their household goods until nothing is left. He falls into a quarrel with
his local grocer over money owed, but is rescued by the Aḥmad Pasha
al-Aqwāṣī, brother-in-law to the governor of Damascus and leader of the
city’s guild of rogues and scoundrels [zuʿr]. While being supported in style
by Aḥmad Pasha, ʿAlī Āghā al-Warrāq is asked by the representative of the
king to buy slaves for him, among whom will be Baybars.
Notice how we learn about ʿAlī Āghā al-Warrāq’s character. While he is
described by a few adjectival phrases (he is generous, virtuous and popu-
lar), his true personality emerges through the action of the story. We learn
of his industry from his willingness to work hard, by which he has become
wealthy and held in respect by his neighbors. We see how he reacts with
shame when through no fault of his own he loses wealth not once but
twice. And we see how his persistence and consistent good behavior are
rewarded by the friendship of fellow merchants and the support of city
leaders, and fijinally by the king’s representative asking for him by name
to buy military slaves on the ruler’s behalf. Depiction of events reveals ʿAlī
Āghā’s character. Similarly their portrayal sheds light on the moral struc-
ture of the narrative: that in the end God rewards virtue, even if He tests
such virtue at times by means of underserved adversity. And at the same
time, a story is created. As it unfolds ʿAlī Āghā’s story becomes an episode
of the sīra when in the course of fijive pages we learn all that befalls him.
The linguistic register for “simple style” is typically a form that may be
termed Middle Arabic storytelling prose. It is a mixed dialect that Muhsin
Mahdi has termed a “third language,” neither fully colloquial nor writ-
ten, but one that exhibits its own combination of usage and lexica from
Levantine and Egyptian dialects while it also displays the strong lexical
influence of Ottoman Turkish, that is, Turkish and Persian vocabulary bor-
rowed indirectly through Ottoman.16 As previously noted, editors, whether
those working in the manuscript or print traditions, can “clean up” texts
by replacing Middle Arabic orthography, lexicon, and usage with forms of
standard written Arabic. Such revision can either involve only linguistic
replacement or, depending on the expertise of the editor, it can entail
16
Mahdi (1984: 1, 37–51), Pinault (1992: 15); Marzolph et al. (2004: 1, 1–5). Gavillet Matar
(2005, vol. 1) provides another printed example of this Middle Arabic storytelling style.
styles in arabic popular epics 427
17
Bohas and Zakharia (2000–07: 1, 22).
428 peter heath
18
This Hall (īwān) was an enormous open portico. Its ruins still stand outside ancient
Kufa.
19
Qiṣṣat al-Amīr Ḥamza (Beirut) 1, 5; (Cairo) 1, 2.
styles in arabic popular epics 429
how he ruled over other monarchs and how his crown and palace were of
such grandeur that they became proverbial. This description of the king,
his court and his two viziers continues for another page or so. Each detail
is described at length and put into its proper context. As a result, not
only does the audience become impressed with the power and glory of
this ruler, they also become aware of the notable historical features that
were specifijically associated with him and his reign, such as his magnifiji-
cent crown and the Grand Hall. Such attributes are derived from popular
association with specifijic historical fijigures. Embedding such historical fea-
tures in these epics allows details of popular history to be retransmitted
to their audiences. This more refijined attention to detail and greater use
of description are the hallmarks of the “enhanced style.” In each story
we have a king, but the level of detail and the sophistication of articula-
tion employed by the enhanced style are in marked contrast to the simple
style. How does this “enhanced style” compare to the “embellished style”?
Compare the two descriptions of kings offfered above with that found at
the beginning of Sīrat al-Malik Sayf Bin Dhī Yazan.
.
In olden times, in a previous age, there was once a king of among the kings
of old, possessor of power, and ability, and respected by the inhabitants of
villages and cities and of those residing in both open and populated areas.
Commoners feared his authority and kings were terrifijied by his grandeur
because he was strong in resolve and great in power and rule and with-
out peer among the kings of the age. He was of the tribe of Ḥimyar, whose
reputation is known among all and whose deeds among rulers heard by all.20
This is an example of what I term the “embellished style” of premodern
Arabic popular narrative. The diffference between this description of a king
and that of the “enhanced style” in the passage from Amīr Ḥamza given
above is a much greater reliance on attributes strung along in rhymed prose
to portray the king. The “enhanced style” certainly uses rhymed prose,
as for that matter does at times “simple style.” But in the “embellished
20
Sīrat al-Malik Sayf bin Dhī Yazan (Beirut) 1, 6; (Cairo) 1, 2.
430 peter heath
21
Qiṣṣat al-Amīr Ḥamza (Beirut) 1, 108.
22
Sīrat al-Malik Sayf Bin Dhī Yazan (Beirut) 1, 319.
styles in arabic popular epics 431
scenes of vitality and drama. The passage cited below, only one of a mul-
titude of possible examples, is typical of this mixture of description of
people and objects and portrayal of action.
،
، ،
،
،
،
،
: ،
،
،
.
Prince Jundaba then rode with a force of his mounted warriors until they
reached the foe. They shouted out: “Oh Tribe of Kilāb!” Prince Jundaba then
charged the enemy like a blaze of fijire. He entered their midst and shouted,
saying, “I am the blade, the destroyer of men and the annihilator of heroes,
the revealer of shame and the taker of revenge. I am the curtailer of lives,
the annihilator of heroes, the chosen lion.” He thrust at a warrior [with his
lance] and threw him from his horse, he then went after another with his
sword, and then a third. A fourth came at him and he took his life. Then he
shouted out loud, “Oh Kilāb, Kilāb!” His wife answered him, saying, “At your
service! We are here with you. You are on the right, I am on the left.” Then
they destroyed heroes and killed warriors and annihilated brave men. They
pierced the breasts of men and inflicted on the Banī Shaybān humiliation
and turmoil.23
Another way that the “embellished style” difffers from the fijirst two is the
extent to which it incorporates poetry into the narrative. As with the
other two styles poetry is used to supplement description, to portray a
beautiful woman, a handsome youth, or a wonderful garden or orchard.
It is likewise employed to insert proverbial wisdom, to praise kings and
rulers and to express strong emotions, such as love or grief. Nonetheless,
it is more prevalent in the embellished style; it appears more frequently
and the poems cited or recited are much longer. Poetry is also a frequent
element in battle scenes where warriors recite poems before and during
23
Sīrat al-Amīra Dhāt al-Himma 1, 40–41. See also Heath (1996: 101–48).
432 peter heath
battle to praise their own prowess and valor and to disparage that of
their enemies.24
As noted previously, a particular style may be common to specifijic sīras,
but such correlation should not be considered absolute. One must exam-
ine each narrative, or when the manuscripts are composites stemming
from diffferent hands, even separate parts of a work. For example, the two
printed versions of Sīrat ʿAntar both use the embellished style even though
they difffer somewhat in their narration of events. In contrast the Egyptian
version of Sīrat ʿAlī Zaybaq employs the simple style while the Levantine
version uses the enhanced style. A master of the enhanced or embellished
style can easily “translate” a narrative from one style to another. For this
reason, versions of narratives must be examined individually to ascertain
which style is being employed.25
For at least the last two centuries, Sīrat Banī Hilāl has been the most
widely narrated and most popular of the sīra corpus. It has correspond-
ingly generated a signifijicant body of manuscripts and printed texts. Since
it has had the most extensive tradition of public performance in the Mid-
dle East and North Africa, folklorists, literary scholars, and ethnomusi-
cologists have during the last half century assembled a sizable collection
of recorded performances and analyzed both performed and written ver-
sions of this sīra.
In printed form the sīra’s subject matter may be divided into fijive parts.
The fijirst is Sīrat al-Zīr Sālim, which is an independent narrative but which
also serves as prologue to the story of the Banī Hilāl proper. Thereafter
follows the story of the tribe’s history in the east and of the birth of sīra’s
main hero, Abū Zayd. The third part entails the depiction of the tribe’s
sufffering from an extended famine in the Najd and their sending a small
scouting party to identify a new homeland. Fourth is the account of the
tribe’s westward migration and their struggles to win a new home in
Tunisia. And fijinally come stories of the adventures and eventual deaths
of the tribe’s heroes’ after they become established in their new western
home. Although one may take this outline of events as a guide, it should
be understood as indicative. The sīra was so popular and its narration
24
Heath (1996: 142–48) and Heath (forthcoming, “ʿAntar hangs his muʿallaqa”).
25
Heath (forthcoming, “ʿAntar Hangs his Muʿallaqa”).
styles in arabic popular epics 433
26
On the division of subject matter see Connelly (1986: 26–32) and Reynolds (1995:
15–19). On the performance tradition of the sīra, see these studies and also Slyomovics
(1987).
434 peter heath
Warriors gathered from every side and place until the court was full. Then
they asked about the princes, Marʿā, Yaḥyā, and Yūnus. At that point the
Prince [Abū Zayd] wept copiously and began to inform them of his great
weariness with this poem (Long may its listeners live!), saying:
Abū Zayd reports his sorrowful departure from the three princes, who are
being held hostage by al-Zanātī Khalīfa and of his return journey to Najd.
Almost all poetry in this tradition consists of direct speech that
expresses either a message or a report. Such poetry is very common in the
27
Taghrībat Banī Hilāl (Cairo), 30; (Beirut), 35–36.
styles in arabic popular epics 435
narrative. Although most written versions combine prose and poetry as
indicated above, there are in fact written and manuscript versions of Sīrat
Banī Hilāl and Sīrat al-Zīr Sālim whose texts consist entirely of narrative
poetry.28 This reliance on poetry for narration may be a reflection of the
oral narrative tradition of this particular sīra where the performer chants
narrative and sings speech using a diffferent rhythm and tune. Fully estab-
lishing the dynamics of this style would require extensive comparative
investigation into the diffferent forms of its written and oral traditions. At
any rate, the prevalent use of poetry to represent direct speech is a signifiji-
cant enough feature to warrant putting this style into a separate category.29
Conclusion
28
Gavillet Matar (2005: 1:29–32).
29
For studies of the oral performance of this sīra, see Reynolds (1995), and Slyomov-
ics (1987). For examination of the interaction among written versions of al-Zīr Sālim, see
Gavillet Mater (2005: 1:21–99), and on the poetry idem. (2005: 1:100–27). For an Arabic tran-
scription of one major performance of the sīra, see Al-Abnūdī (2002).
436 peter heath
APPENDIX
30
Lyons (1996: 2:9–17).
styles in arabic popular epics 437
Nawfal took as its base text a copy of the Levantine version of Qiṣṣat
ʿAlī Zaybaq (which had long been out of print) published Aleppo in 1876.31
Realizing that much of the vocabulary stems from the Ottoman age, the
publisher entrusted the text to an elderly school teacher who had attended
an Ottoman school in order to provide lexical glosses and contextual
notes. Many of these notations are useful for helping to understand the
story. On the other hand, this editor also omitted portions of the phrases
in the rhymed prose and introduced typos into the text. So the value of
the notes is counterbalanced by the corruption of the text. It is therefore
preferable that for scholarly purposes one obtains a copy of the old text
and reads it referring to the generally but not consistently useful notes of
the Nawfal publication.
In regard to other versions of sīras, Sīrat ʿAlī Zaybaq is an example of
the same story having both diffferent context and employing diffferent
styles. The two printed versions of Sīrat ʿAntar, in contrast, provide an
example of two texts being diffferent in wording and in some details but
the same in regard to style: both rely on “embellished style.” My article
“ʿAntar hangs his muʿallaqa” provides a discussion of how the two versions
vary in regard to one episode of the epic. Except for these two above-men-
tioned cases, most printed versions of sīras are uniform and difffer only in
occasional minor variations of wording. However, as scholars published
more manuscript editions of these narratives, such as those produced by
Bohas and Zakharia (2000–2007) and Gavillet Matar (2005), it is possible
that these texts themselves will become the basis for new popular print-
ings of these narratives. Ironically, if this should happen it is more than
likely that publishers will “clean up” the Middle Arabic language of the
texts by “correcting” it and changing it using standard grammar and lexi-
con. We will have to wait to see if this occurs.
31
The version of Beirut 1896 cited in the bibliography below is a later printing which is
the same as the Aleppo version.
438 peter heath
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ARABIC CONTEXTUALIZED
GHAZAL AND GRAMMAR:
AL-BĀʿŪNĪ’S TAḌMĪN ALFIYYAT IBN MĀLIK FĪ L-GHAZAL
Bilal Orfali
1
See Carter (1972, 69–97), (1983, 65–84), (1997, 33–34).
2
See Versteegh (1993), especially 191–206.
3
See Baalbaki (1985).
446 bilal orfali
4
See idem (1991, 89).
5
See idem (1983).
6
After Sībawayhi, the increased interest of grammarians in the formal aspects of struc-
ture and the complexity, arbitrariness, and farfetchedness of their justifijications of gram-
matical rules led to harsh attacks and ridicule. Ibn Maḍāʾ (d. 592/1196) is a famous example
who, in his al-Radd ʿalā l-nuḥāt, criticized the methods of grammarians in their theory of
taqdīr and taʿlīl, see Radd 78–82. The lexicographer Ibn Fāris (d. 395/1009), satirizes the
grammarian’s insupportable arguments; his statement “weaker than a grammarian’s argu-
ment” became a popular proverb. See al-Thaʿālibī, Yatīmat al-dahr 3, 403, Ibn Khallikān,
Wafayāt 1, 119, al-Suyūṭī, Bughya 1, 352. Students of grammar confessed that they often
understood little or nothing of the lessons of famous grammarians such as al-Māzinī
(d. 249/863), al-Rummānī (d. 384/994), and al-Fārisī (d. 377/987). See Baalbaki (2008: 267–
278). Ramzi Baalbaki discusses other instances of criticism aimed at grammarians from the
second century forward. Geert van Gelder analyzes a few poems that grumble against the
rules imposed by the grammarians, or mock those who need these rules. See his contribu-
tion to this volume. See also Baalbaki (2007: xxxix).
7
For a detailed analysis of al-Qushayrī’s life, education, and legacy see the recent dis-
sertation by Martin Tran Nguyen (2009).
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 447
famous for his Risāla fiji l-taṣawwuf, wrote two short treatises on “spiritual
grammars,” the Naḥw al-qulūb al-kabīr and the Naḥw al-qulūb al-ṣaghīr,
or the “Major” and “Minor” versions of the “Grammar of the Hearts.”
Al-Qushayrī, who is perhaps the fijirst to draw a link between grammar
and Sufijism, adopts in these two works the format of grammar texts. How-
ever, he uses the grammatical terms fijiguratively to discuss the principles
of Sufijism. The major version of the work consists of sixty sections, while
the minor version entails only fijive sections.8 The well-known treatise on
grammar by the Moroccan Ibn Ājurrūm (d. 723/1323)9 enjoyed a number
of esoteric commentaries in Sufiji circles. The oldest surviving work of these
is al-Risāla al-Maymūniyya fī tawḥīd al-Ājurrūmiyya10 by the Moroccan
Abū l-Ḥasan ʿAlī b. Maymūn b. Abī Bakr b. Yūsuf al-Hāshimī al-Ḥasanī
al-Idrīsī (d. 917/1511) who lived in Damascus.11 Ibn ʿAjība (d. 1224/1809)12 is
another personality who used al-Ājurrūmiyya and the terms and rules of
Arabic grammar as a gateway to express Sufiji principles through his com-
mentary Sharḥ al-Ājurrūmiyya.13 At least three other Sufiji commentaries
on al-Ājurrūmiyya are mentioned in the primary sources. The fijirst is by
the Moroccan Aḥmad Zarrūq (d. 899/1493),14 the second by Muḥammad b.
Yūsuf (or Yūnus) b. Aḥmad b. al-Sayyid ʿAlāʾ al-Dīn al-Dajānī al-Qushāshī
(d. 1044/1634–5),15 and the third is Sharḥ al-Ājurrūmiyya ʿalā lisān al-sāda
8
See al-Qushayrī, Naḥw al-qulūb, 266, 705–706. See also Tamás Iványi (1996). For a
presentation and a translation of Naḥw al-qulūb al-ṣaghīr into French, see Francesco
Chiabotti (2008–2009)—with thanks to the author for drawing my attention to this article.
9
For a study and a translation of a commentary on this text, see Carter (1981). Interest-
ingly, Ājurrūm is a Berber expression meaning faqīr or ṣūfī, see ibid., 4.
10
MS. Jāmiʿat al-Malik Suʿūd 3635 of this work carries the title of Kitāb Naḥw al-qalb
sharḥ al-Ājurrūmiyya. Among the other surviving manuscripts of this work in Morocco
are MSS. al-Maktaba al-Waṭaniyya li-l-Mamlaka al-Maghribiyya 95 F, 505-D, and 1680-D and
in Egypt, MS. Dār al-Kutub 23130-D. For a critical edition of the text, see A. Al-Ghazlani
(1997–1998) cited after Chiabotti (2008–2009: 390).
11
See al-Ghazzī, al-Kawākib 1: 271; al-Bābānī, Hadiyya 1, 741; Kaḥḥāla (1993: 2, 537);
al-Ziriklī (2002: 5, 27); Brockelmann, Geschichte II, 123, SII, 153.
12
See J. L. Michon (1986: III, 696a–697a).
13
Ibn ʿAjība’s commentary entails two levels, grammatical and esoteric, the second
has been extracted by ʿAbd al-Qāhir al-Kūhanī (also spelled al-Kūhīnī) and has been
published in several editions under diffferent titles, see bibliography. The full text of Ibn
ʿAjība has been published under “Sharḥ al-futūḥāt al-quddūsiyya fī sharḥ al-muqaddima
al-Ājurrūmiyya,” in a collection of Ibn ʿAjība’s works entitled Kitāb Sharḥ ṣalāt al-quṭb Bin
Mashīsh. Excerpts of this sharḥ are translated by J. L. Michon (1990).
14
See on him, Ali Fahmi Khushaim (1976) and Scott Kugle (2006). For his commentary
on al-Ājurrūmiyya, see Khushaim (1976: 69).
15
See al-Muḥibbī 3, 281–282 and al-Bābānī 2, 278. His name is given as Muḥammad b.
Yūsuf in al-Muḥibbī and al-Bābānī, but Muḥammad b. Yūnus is used by al-Muḥibbī 1, 343
and al-Ziriklī (2002: 1, 239) in the entry on his son Aḥmad b. Muḥammad (d. 1071/1661).
448 bilal orfali
16
See al-Bābānī 2, 387–388 and al-Ziriklī (2002: 6, 118).
17
My summary of the implications of taḍmīn is based on Amidu Sanni (1989 and 1998).
See also Adrian Gully (1997) and the primary and secondary literature provided by these
two authors.
18
Other related terms, each indicating a diffferent concept, are taʿlīq lafẓī, taʿlīq naẓmī,
taʿlīq maʿnawī, ighrām, and al-silsila. See Sanni (1998: 3–4).
19
See al-Rummānī, al-Nukat 70, reference and translation quoted from Sanni (1998: 17).
20
Sanni (1998: 7–17).
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 449
that scholars and poets drew heavily from these two texts in their taḍmīn
games. These two poems belong to the genre of “educational poetry” (shiʿr
taʿlīmī), so they lack the artistic aspect of poetry, if even considered poetry.
However, their rigidness and popularity made them ideal for such poeti-
cal games. By employing the grammatical rules and the peculiar exam-
ples of these rules in an unexpected context, the poets demonstrated an
extraordinary talent and entertained their educated audiences, who were
familiar with the original stifff context and took pleasure in its abuse.
These taḍmīn poems, though difffijicult, were not rare, as is apparent in
the primary sources and extant manuscripts. Al-Ṣafadī mentions that his
polymath contemporary al-qāḍī ʿUmar b. Muẓafffar b. ʿUmar Zayn al-Dīn
b. al-Wardī al-Maʿārrī (d. 749/1349) incorporated hemistiches from Mulḥat
al-iʿrāb of al-Ḥarīrī in sixty-six lines of poetry.21 Similarly, the poet Ibn
Nubāta al-Mīṣrī praised Taqī al-Dīn al-Subkī (d. 756/1355) with seventy-fijive
lines, the second hemistich of each is from Mulḥat al-iʿrāb which Taqī al-Dīn’s
son, Tāj al-Dīn al-Subkī (d. 771/1370) included in his Ṭabaqāt al-shāfijiʿiyya
al-kubrā.22 Aḥmad b. al-Maqqarī al-Tilmisānī (d. 1041/1631) included in his
voluminous Nafḥ al-ṭīb min ghuṣn al-Andalus al-raṭīb a brotherly corre-
spondence that reached him after he had moved east sent by one of his
western friends, al-shaykh Muḥammad b. Yūsuf al-Marrākushī al-Tāmilī.
Al-Marrākushī23 attached to his letter a separate pamphlet containing a
forty-two line panegyric urjūza in which the second hemistich of each line
after an introduction of seven lines is a quotation from Alfijiyyat Ibn Mālik.24
The Mauritanian jurist al-Nābigha al-Ghallāwī (d. 1245/1829) eulogizes his
teacher Aḥmad b. al-ʿĀqil al-Dīmānī (d. 1244/1827) with a long urjūza in
which the second hemistich of its lines, after the three introductory lines,
is taken from Alfijiyyat Ibn Mālik.25 Al-Nābigha probably borrowed the idea
from his maternal uncle, ʿAbdallāh b. al-Faqīh al-Ṭālib Aḥmad b. al-Ḥājj
al-Muṣṭafā al-Ghallāwī (d. 1208/1793) whose poem Manẓūma fiji-l-Madīḥ
21
See al-Ṣafadī, Aʿyān al-ʿaṣr, 3, 681, 686 and Ibn al-Wardī’s biography in idem, al-Wāfī
23, 141fff where the all sixty-six lines are inlcluded in 149–152. See also Dīwān Ibn al-Wardī.
22
See al-Subkī, Ṭabaqāt 9, 300–307 and the Ibn Nubāta, Dīwān, 582–585.
23
See his biography in al-Muḥibbī, Khulāṣa 4, 271–272; Ibn Maʿṣūm, Sulāfa, 604–606;
Kaḥḥāla (1993: 12, 138).
24
The correspondence and the urjūza can be found in al-Maqqarī, Nafḥ 2, 470–478
and a selection of eighteen lines from the urjūza is cited by Ibn Maʿṣūm, Sulāfa, 605–606,
al-Muḥibbī, Khulāṣā 4, 271.
25
See al-Shinqīṭī, al-Wasīṭ, 90–91.
450 bilal orfali
26
See al-Bartallī al-Walātī, Fatḥ, 172. An attempt to incorporate Alfijiyyat Ibn Mālik in a
moral and waʿẓ context was tried in the modern period by Shaykh Jaʿfar b. Muḥammad
Bāqir al-Tustarī (d. 1335/1916), a selection of this attempt is given in Muḥsin al-Amīn (1983:
4, 117–118).
27
Al-Najm Abū l-Futūḥ ʿUmar b. Ḥijjī b. Mūsā b. Aḥmad b. Saʿd al-Saʿdī al-Dimashqī
al-Shāfijiʿī, see his biography in al-Sakhāwī, al-Ḍawʾ 6, 78–79.
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 451
28
See his full biography in ibid. 1, 26–29; al-Shawkānī, al-Badr 1, 12; al-Suyūṭī, Naẓm,
13–14; al-Tūnkī (1344: 3, 63–64); al-Ziriklī (2002: 1, 30); Kaḥḥāla (1993: 1, 13).
452 bilal orfali
MS. Kongelige Bibliotek Cod. Arab. 188 under the title Taḍmīn Alfijiyyat Ibn
Mālik fī l-ghazal was bought in 1763 in Cairo by the Danish philologist
Frederik Christian von Haven (d. 1763), a member of the Carsten Niebuhr
expedition 1761–1767. The manuscript consists of fijifty-one folios, the fijirst
folio lists the name of the author as Ibrāhīm b. Aḥmad al-Ḥalabī who must
be Ibrāhīm b. Aḥmad al-Bāʿūni based on the biography of the latter in
al-Sakhāwī’s al-Ḍawʾ al-lāmiʿ. Al-Sakhāwī relates on the authority of Ibn
Qāḍī Shuhba that the latter was received by al-Bāʿūnī in his house in the
presence of al-Najm Ibn Ḥijjī, where al-Bāʿūnī read his taḍmīn of Alfijiyyat
Ibn Mālik in which he praised Ibn Ḥijjī.29
To make the text manageable for the reader, I have numbered the verses
of the Arabic text. To facilitate easy reference to Alfijiyyat Ibn Mālik, I have
used bold letters to highlight the quoted hemistich or line from Alfijiyyat
Ibn Mālik and referred at the end of each line to the corresponding line in
Ramzi Baalbaki’s edition of Sharḥ Ibn ʿAqīl ʿalā Alfijiyyat Ibn Mālik.
29
Al-Sakhāwī, al-Ḍawʾ 1, 26.
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 453
454 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 455
456 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 457
458 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 459
460 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 461
462 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 463
464 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 465
466 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 467
468 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 469
470 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 471
472 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 473
474 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 475
476 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 477
478 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 479
480 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 481
482 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 483
484 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 485
486 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 487
488 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 489
490 bilal orfali
al-bāʿūnī’s taḍmīn alfiyyat ibn mālik fī l-ghazal 491
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al-Suyūṭī, Jalāl al-Dīn. Bughyat al-wuʿāt fī ṭabaqāt al-lughawiyīn wa-l-nuḥāt. ed. Muḥammad
Abū l-Faḍl Ibrāhīm. Cairo: al-Bābī al-Ḥalabī, 1964–1965.
——. Naẓm al-ʿiqyān fī aʿyān al-aʿyān. Ed. Fīlīb Ḥittī. Beirut: al-Maktaba al-ʿIlmiyya, 1927.
al-Thaʿālibī, Abū Manṣūr. Yatīmat al-dahr fī maḥāsin ahl al-ʿaṣr. Ed. Muḥammad Muḥyī
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Maṭbūʿāt.
Baalbaki, Ramzi. 1983. “The Relation between Naḥw and Balāgha: A Comparative Study
of the Methods of Sībawayhi and Ğurğānī.” Zeitschrift für arabische Linguistik XI, 7–23.
——. 1985. “The Treatment of Qirāʾāt by the Second and Third Century Grammarians.”
Zeitschrift für arabische Linguistik XV, 11–32.
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Iványi. Budapest: Eötvös Loránd University, 89–100.
——. 2007. “Introduction: The early Islamic grammatical tradition.” In The Early Islamic
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Baalbaki, xiii-1. Aldershot: Ashgate.
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Brockelmann, Carl. 1943–9. Geschichte der arabischen Litteratur. Leiden: Brill.
——. 1937–42. Geschichte der arabischen Litteratur. Supplement. Leiden: Brill.
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de ʿAbd al-Karīm al-Qušayrī: Présentation et traduction annotée.” Bulletin d’études ori-
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THE QURʾĀN AS A LATE ANTIQUE TEXT
Angelika Neuwirth
We are used to regarding the Qurʾān as the “Islamic text” par excellence.
Historically viewed this is, however, not evident at all. For more than
twenty years before rising to the rank of the founding document of Islam,
the Qurʾān was an oral communication. Its message was not yet addressed
towards Muslims—who would become the faithful only by adopting the
Qurʾānic communication as their scripture, but to pre-Islamic listeners
whom we might best describe as persons educated in late antiquity learn-
ing. Western research usually approaches the Qurʾān as the Scripture that
it was to become later and interprets it in a teleological manner—as if its
ultimate signifijicance had already been inscribed in it in statu nascendi.
Striving to understand the Qurʾān as it was communicated, as a message
targeting not-yet-Muslims, one has to relinquish the usual procedure of
reading it through the lens of Islamic texts but contextualize it within pre-
Islamic, late antique traditions instead. This article is intended to intro-
duce this approach which is presently pursued within the framework of
the project Corpus Coranicum at the Berlin Academy of Sciences.1
The Qurʾān as a text in statu nascendi, as a text of Late Antiquity, is not
a modern discovery. By the 3rd/9th century, the Basran polymath al-Jāḥiẓ
had insisted on the particular historical context of the Qurʾān as a fac-
tor in its evolution, and moreover on its interaction with listeners whose
education should have constituted the erwartungshorizont, the frame of
expectation into which the form of the Qurʾān had to be accommodated.
Al-Jāḥiẓ regards this particular surrounding of the Qurʾān’s emergence
as an essential advantage of the Qurʾān vis-à-vis the emergence of other
scriptures. He evaluates the sequence of the three great messengers in the
following way:
Every Prophet is given a sign to manifest his rank as a messenger: Moses was
sent to Pharaoh whose people excelled in magic. To convince them he had
to perform a miracle of magic: he changed a rod into a snake. Jesus appeared
in an age when the most prestigious art was medicine, he worked a scien-
tifijic miracle—he resurrected the dead. Muḥammad—still later—was sent
to a people who would no longer be impressed by material exceptionalities,
but—being professionals in rhetoric, balāgha—demanded a more sublime
1
Marx (2008: 41–54).
496 angelika neuwirth
2
Paraphrase of a section from al-Jāḥiẓ, K. Khalq al-Qurʾān, quoted after Pellat (1967: 80).
3
Montgomery (2006).
4
Kugel (1989: 17).
5
McAulifffe (1999: 163–188).
the qurʾān as a late antique text 497
with the epoch, when the great exegetical corpora of monotheist tradition
were edited and published, such as the two Talmudim in Judaism and
the patristic writings in Christianity. Daniel Boyarin has stressed that the
Talmud is no less than the writings of the Church fathers imbued with
Hellenic rhetoric. The Qurʾān is communicated to an audience whose
education, we assume, already comprises Arabian and post-biblical lore,
whose nascent scripture therefore should provide rhetorically persuasive
answers to the questions raised in biblical exegesis, answers, clad in a
language matching the standards of ancient Arabic poetry.
Al-Jāḥiẓ makes another important point. Balāgha in his perspective is
not theory, but a linguistic practice enacted publicly in oral speech. He is
aware that the Qurʾān as an oral communication involved listeners, whose
expectations, linguistic and ideological, operated as the parameter of the
persuasiveness of the Prophet’s speech. The awareness of this dramatic
character of the Qurʾān’s fijirst communication is almost totally absent
from both Islamic and Western Qurʾānic scholarship; consequently, the
literary genre of the Qurʾān is often wrongly identifijied. The majority of
scholars view the Qurʾān not as the transcript of an orally performed,
open-ended drama, but rather as written, pre-meditated corpus of pro-
phetical sayings—in my view, a teleological misconception. This thesis
demands a brief review of certain scholarly approaches that have been
pursued until today.
6
Kellermann (1995: 1–33).
498 angelika neuwirth
receiving the word of God, does not aim at the recollection of the par-
ticular scenario in history, that the recited text is about, for instance the
prophet’s debate with individual opponents, as a step in the progress of
the message. Recitation is rather taken as the mimesis of a moment in the
prophetical illud tempus. This metahistorical perception of the Qurʾān is
of course related to the decisive progress in canonization, which occurred,
when with the death of the prophet the living voice of communication was
silenced and the text came to fijill the void. Canonization, Aziz Al-Azmeh
tells us, involves a revolutionary reader’s approach to the text, turning it
from a historical document into a timeless symbol. To quote his classical
description: “The historical nature of the canonical text as a genealogical
charter of rectitude demands a status beyond history, fijiguring as a vantage
point from which chronometric time becomes neutralized.”7 The text’s
fijinal shape thus appears as if teleologically necessitated—a perception
incompatible with the notion of a dialectical unfolding of the message.
An awareness of Scripture as a meta-historical charter of truth, mutatis
mutandis had been prevalent in pre-modern Christian and Jewish Biblical
studies as well. Western scholarly preoccupation with the Bible had how-
ever crystallized into a highly sophisticated theology whose theoretical
potential increased thanks to the dramatic revisions it underwent during
the Reformation and the Enlightenment. The Bible thus was familiar in
virtually all its facets of meaning, when the epistemic revolution occurred
that modern scholars refer to as the “major break in Biblical studies,” the
introduction of historical critical scholarship in the 18th and 19th centu-
ries, when, to quote Robert Wilken, “Biblical scholarship acquired a life
of its own as a historical enterprise independent of the church and of the
synagogue.”8
What may be viewed as a critical turn in Biblical studies in Western
Qurʾānic scholarship was not an innovation nor a renewal, but the very
beginning. The Qurʾān had been virtually unknown to Western scholars
when it was submitted to the newly developed approach of historical-
critical research. It is true that in Muslim scholarship at approximately
the same time, critical attempts to explore new theological and anthro-
pological dimensions of the Qurʾān were underway: in the second half
of the 19th century Muslim reform thinkers put forward new approaches
that shared important ideas with Western Biblical scholarship. Those
approaches were, however, sidelined and have remained detached from
7
Azmeh (2007: 107).
8
Wilken (1998: 197–212).
the qurʾān as a late antique text 499
9
Geiger’s work is discussed in Hartwig et al., (ed) (2008).
10
Geiger (1833).
500 angelika neuwirth
11
Fück (1936: 509–525).
12
Wansbrough (1977).
13
Nöldeke (1860).
the qurʾān as a late antique text 501
various turns and breaks to have occurred in the process of the emergence
of the text. The community whom we consider as the passive co-authors
of the text, should have been urged to re-think positions, to expound or
even revise earlier views. The text seems to reflect this movement in a
sequence of discourses that develop out of each other but that are at the
same time exposed to constant reconstruction and revision.
Let me label the fijirst of these Qurʾānic discourses the “liturgical.” The
earliest communications on closer look reveal themselves as in dialogue
with the Psalms.14 Not only in terms of poetical form, but equally in
their imagery and the devotional attitude of their speaker, they clearly
reflect the language of the Psalms familiar from Jewish and Christian
liturgy. Yet the early Qurʾānic communications difffer from traditional
liturgical speech: They are informed by a meta-discourse, the discourse
of knowledge.
Let us consider the introduction of one of the earliest sūras:
iqraʾ bi-smi rabbika l-ladhī khalaq, Recite in the name of thy lord who
created
khalaqa l-insāna min ʿalaq created man from clotted blood
iqraʾ wa-rabbuka l-akram recite, for thy lord is the most
generous
al-ladhī ʿallama bi-l-qalam who taught by the pen
ʿallama l-insāna mā lam yaʿlam taught man what he did not know
These verses are hymnic in a psalmic vein, where creation fijigures as God’s
most celebrated deed. Yet what comprises God’s generosity is not as in
the Psalms, primarily the maintenance of his creation but his furnishing
creatures with the gift of understanding. It is divine knowledge, conferred
by the transcendent act of writing, qalam, which God generously, akram,
shares with them. The bestowal of Scriptural knowledge is not part of the
psalmic inventory of divine grace, it fijits however with the image of the
divine drawn in a Biblical apocryph15 and the Syriac treatises of Ephrem
of Nisibis.16 Jewish-Christian models of liturgy have thus become tools of
rhetoric to promote an argument, in this instance the discourse of divinely
communicated knowledge, which, in turn, is the premise for mankind’s
ultimate rendering account of the end of time.
14
Neuwirth (2008. 157–190).
15
Najman (1999: 379–410).
16
See Becker (2008).
502 angelika neuwirth
Eschatology
17
Rubin (1987: 40–67).
18
See Neuwirth, A. / Neuwirth, K. (1991: 331–337).
19
Neuwirth (2000: 143–172).
20
Idem (2001: 113–152).
the qurʾān as a late antique text 503
21
Idem (1993: 227–270) and idem (1996: 93–116, 483–95).
22
Idem (2008: 157–190).
504 angelika neuwirth
no lesser standing than his verbal revelation, and endowed man with the
understanding of both his verbal and his creational self-expression. The
text of Q 55 with its insistence on symmetry and dual structures sets out
to rhetorically orchestrate this double theological claim to a sign system
in creation and in Scripture.
Both texts remain closely parallel in their initial parts extolling the acts
of divine creation. It is only at the point where the Psalm turns to expound
God’s past interventions for His people’s sake; that the sūra diverges. In
the Qurʾānic world view it is not history, but creation and its entelechy in
the beyond that is proof of God’s presence. Sūrat al-Raḥman which had
begun with the contention that creation and language are part of the same
primordial divine project, ends with a dual and extremely ornate linguis-
tic representation of the consummate character of creation in paradise. In
the Qurʾān, an eschatological future celebrated in language has taken the
place of a historical past.
We now will move beyond a number of Meccan discourses and turn to
Medina, singling out one important discourse.
text, which provides a key to its decoding. This other text in our case is
the Jewish credo.23
This striking translingual quotation is part of the Qurʾānic negotiation
strategy that appropriates the Jewish credo. Although the Qur’anic tran-
script is altered, being universalized having not exclusively Israel, but any
believer in general addressed, it continues, through the sustained sound
presence of the Jewish credo, to partake in the older text’s authority—an
important political stratagem: The new version sounds like a challenge
addressed to Jewish listeners in particular, who during the fijirst Medinan
years needed to be won over to the new movement. In this short sura,
however, still another credo is involved: the Nicene creed:
23
Rifffaterre (1978: 92).
506 angelika neuwirth
V. 3 “He did not beget nor is he begotten”, lam yalid wa-lam yūlad, is a
reverse echo of the Nicene Creed; it rejects the emphatic afffijirmation of
Christ’s sonship “begotten, not made”—genethenta, ou poiethenta by using
a no less emphatic double negation. This negative theology is summed up
in v. 4 “And there is none like Him”, wa-lam yakun lahu kufuwan aḥad.
That verse not only inverts the Nicene formula of Christ’s being of one
substance with God—homoousios to patri—but forbids one to think of
any being, equal in substance to God, let alone a son. Although these
verses negate the essential statement of the Nicene Creed, they ‘translate’
the Greek/or Syriac intertext, adopting its rhetorical strategy of intensifijica-
tion. Theology is modifijied—rhetoric is maintained.
What has been presented is not recorded in Islamic tradition. The sīra
takes little interest in the debates with the older communities, and is even
less willing to acknowledge them as foundations of text generation. Few
traditional readers, if any, would read Sūrat al-Ikhlāṣ or Sūrat al-Raḥmān
in light of their pre-Islamic intertexts. Why not?
The period of the Qurʾān’s emergence which al-Jāḥiẓ had labeled ʿaṣr
al-balāgha and which we have translated as Late Antiquity, in the Islamic
context is usually referred to as al-jāhiliyya, “the age of ignorance.” Much
ink had already been spilled on the meaning of jāhiliyya when Franz
Rosenthal24 in 1970 profffered the hypothesis that the term jāhiliyya might
be explained as a Qurʾānic pun. The word jāhiliyya occurs four times in
the Medinan sūras, always denoting a negatively judged collective or a
negative moral stance. It is usually translated as the “age of paganism,”
though in the Qurʾānic context this is an impossible meaning, since the
new age of Islam at that time had not yet been conceived of, let alone
begun. Yet the word, to quote Rosenthal, “appears to have been used by
Muḥammad with peculiar forcefulness. This would suggest that some
more specifijic and meaningful connotation was concealed behind the
term.” Rosenthal looks for a solution outside the Qurʾān. “Such special
signifijicance might have accrued to the term through its connection with
the famous Jewish concept of galut, exile, diaspora. . . . Exile stands for the
very qualities of savagery, immorality and ignorance of the true God that
Muḥammad fijinds objectionable in the jāhiliyya.” The relationship indeed
24
Rosenthal (1970: 32–34).
the qurʾān as a late antique text 507
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Introduction and Notes by Adam H. Becker. Liverpool: University Press.
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A FORMAL DESCRIPTION OF SENTENCES IN
MODERN STANDARD ARABIC1
Everhard Ditters
1. Introduction
1
The progress I recently made in the development of my formal grammar for MSA has
not been possible without the support of Kees Koster and Olaf Seibert of the Faculty of
Physics, Mathematics and Computer Science of the Radboud University in Nijmegen. Jan
Hoogland placed the Arabic entries with word categorization of his Arabic-Dutch diction-
ary (Hoogland, 2003) at my disposal.
2
Baalbaki (2007).
3
Ditters (1991).
4
Idem (1992).
5
Idem (2007).
6
I opted for the AGFL (Afffijix Grammar over Finite Lattices) processing environment
(conceived by Kees Koster (1970), and developed by him and his colleagues), instead of
512 everhard ditters
1.1. Linguistic Preliminaries
For the linguistic analysis of a natural language, a descriptive model
accounting for the sequence of elements as well as for mutual relation-
ships has to be adequate and comprehensive. Such a description pro-
gresses from the most abstract or general structure level to the most
specifijic fijinal entries as listed in the lexicon. For the description of Arabic
I use an Immediate Constituency Grammar (ICG) approach to account for
word order, enhanced with a layer to account for relationships between
constituents as well as between the elements within a constituent.9
1.2. Formal Preliminaries
The AGFL formalism,13 as well as its processing environment, is based on
a context-free two-level grammar formalism. The fijirst level describes the
10
By rewriting an Arabic utterance into: a sentence, or: a sentence, followed by a sen-
tence, a corpus of Arabic text data can be analyzed. However, a sentence grammar is lack-
ing the disambiguation power of a text grammar, which accumulates the information of
earlier parsed sentences.
11
I here quote, in a relaxed way, from WIKIPEDIA: “In linguistics, aboutness is simply
‘meaning,’ the ‘end of language.’ In psychology, it is ‘intentionality.’ In psycholinguistics or
cognitive linguistics, it is ‘language of thought in vogue,’ or something like that.”
12
For an overview of the state of the art in the fijield of Arabic computational linguistics
see: Ditters (2006) and, more recently, but less comprehensively as fijields of application
are concerned, Farghaly (2010).
13
For more information about this formalism Google AGFL (agfl.cs.ru.nl). There you can
also fijind a bibliography, including the article about AP4IR (Arabic Phrases for Information
Retrieval) (Ditters-Koster (2004)), as well as a more general document about: Phrase-based
Document Categorization (Koster et al. ( 2010)).
514 everhard ditters
2.1. Sentence Level
The root symbol in our formal Arabic grammar is utterance:15
utterance:
bound coord(CAT) +
base;
[free coord(CAT)],
base.
14
Here I use, in the context of linguistics, the term ‘element’ without any reserve. In the
formal environment, I prefer to use the term ‘non-terminal’, which can, could, and should
be rewritten into one or more other non-terminals or terminal values.
15
Square brackets refer to an optional realization of a non-terminal at the fijirst level.
16
A meta rule, at the second level of description, defijines the values for the afffijix vari-
able (CAT) into the terminals: consecutive; cumulative; alternative; explicative; inclusive;
restrictive; and successive.
a formal description of sentences in msa 515
base:
s type(SPECIES);
s type(SPECIES),
bound coord(cumul) +
s type(SPECIES).
SPECIES::declarative|elliptic_declarative|interrogative|elliptic_interrogative.
17
Values for this second level afffijix name are, in this contribution, restricted to: inter-
rogative, declarative, as well as elliptic realizations of those.
18
In the AGFL formalism, a vertical bar (|) separates alternative values at the second
level of description.
516 everhard ditters
2.2. Interrogatives
Interrogatives usually are divided into two classes: Yes-No questions
(including tag-questions), and WH-questions.19 Specifijic for Yes-No ques-
tions, in Arabic, is the occurrence of a complete statement (ques tail), in
most cases preceded by an (bound or free) interrogative particle such as
ʾa or hal, respectively, and a question mark (if punctuation conventions
are being respected). For a negative Yes-No question, these conventions
sufffijice to combine the interrogative introductory with a negative parti-
cle such as ʾalā, ʾalan, or hallā, and the like, with the meaning of: ‘isn’t?’,
‘doesn’t?’, ‘hadn’t?’
As far as tag-questions are concerned, in literary Arabic a complete
statement (ques tail) is usually followed by a sequence such as ʾalaysa
dhālika? ‘isn’t?’, testing the truth-value of the preceding, afffijirmative or
negative, utterance.20 In WH-questions, an interrogative (pro)noun or
particle, such as ʾayy ‘which?’, man ‘who?’, mādhā ‘what?’, kayfa ‘how?’,
matā ‘when?’ (or a fijinite set of other alternatives), a prepositional phrase,
combining a preposition and an interrogative (pro)noun, like bima ‘by
means of what?’ or lima ‘wherefor(e)?’ realizes a function (subject, object,
modifijier, adverbial, or other), to conform to the basic requirements for a
‘grammatically or semantically correct’ utterance in MSA.
With that, as well as with some text data as reference,21 I like to describe
the structure of an interrogative sentence in MSA, by means of formal
rewrite rules within the AGFL environment as: a single non-terminal at
the left-hand side is rewritten into one or more non-terminals or termi-
nals at the right-hand side. A colon is the rewrite symbol. A comma sepa-
rates sequences at the right-hand side rewriting. A semi-colon separates
alternative rewritings of the left-hand side at the right-hand side. A plus
sign at the right-hand side of a rewrite rule glues two consecutive non-
terminals together (without a space at sentence level). A period ends the
rule. So we get:
19
Cantarino (1974, 135) made a distinction between the questioning about: intrinsic
validity, an essential element, or circumstantial aspects in an Arabic interrogative. This
corresponds with my diffferentiation into: part|sub|obj|avba at the afffijix level in my formal
description of interrogatives.
20
In colloquial Arabic, at least in the Levantine region, a registered form of for instance
mush hēk ‘isn’t?’ should be interpreted as a speaker-awareness-confijirming-interjection,
rather than asking for an objective answer.
21
Cantarino (1974–75).
a formal description of sentences in msa 517
s type(interrogative):
bound inter part +
ques tail +
inter mark;
free inter part,
ques tail +
inter mark;
interrogative pronoun,
ques tail +
inter mark;
internoun group(GENDER,NUMBER,CASE),
ques tail +
inter mark;
inter adv,
ques tail +
inter mark;
prep(TYPES),
inter adv,
ques tail +
inter mark;
prep(TYPES) +
inter adv,
ques tail +
inter mark;
prep(TYPES),
interrogative pronoun,
ques tail +
inter mark;
prep(TYPES) +
interrogative pronoun,
ques tail +
inter mark.
As we did for the afffijix name (CAT), by means of meta rules, we need to
declare the values for variables such as: GENDER, NUMBER, CASE, and
TYPES. They, too, are defijined by meta rules:22
CASE ::acc|gen|nom|invar.
CAT ::alter|consec|cumul|exclus|explic|inclus|restrict|success.
GENDER ::fem|masc.
NUMBER ::coll|dual|PLUR|sing.
PLUR ::explu|inplu.
TYPES
::accomp|causal|compb|contc|direc|fijinalintr|fijinalprep|partprep|
place|timeprep.
22
In the AGFL formalism, a double colon (::) is used as the rewrite symbol of an afffijix
name (left-hand side) into its values (right-hand side) at the second level of description.
A vertical (|) separates alternatives.
a formal description of sentences in msa 519
ques tail:
predicate(MODE,DEFNESS,PERSON,GENDER,NUMBER);
topic comp(GENDER,NUMBER),
topic(GENDER1,NUMBER1);
topic(GENDER,NUMBER),
topic comp(GENDER1,NUMBER1).
internoun group(GENDER,NUMBER,CASE):
inter noun +
gendermorph(GENDER,NUMBER) +
casemorph(DECLEN,DEFNESS,GENDER,NUMBER,CASE),
np(HEADREAL,indef,GENDER,NUMBER,PERSON,gen);
inter noun +
casemorph(DECLEN,DEFNESS,GENDER,NUMBER,CASE),
np(HEADREAL,indef,GENDER,NUMBER,PERSON,gen).
We skip here the rewriting of the left-hand sides of ques tail and inter-
noun group,23 but list the meta rules we used:
DECLEN ::defec|dipt|invar|norm.
DEFNESS ::def|indef.
HEADREAL ::com|count|elativeb|intn|min|nad|neg|nnum|nomcom|nu
m|pers|prop|quesb|vera|vern|vocb.
MODE ::nominal|verbal.
PERSON ::fijirst|second|third.
23
One can deduce diffferent structural descriptions from the parse results in both
Appendices 2 and 3.
520 everhard ditters
s type(elliptic_interrogative):
prep(TYPES) +
inter adv +
inter mark;
inter adv;
ques tail +
inter mark;
ques tail +
inter mark;
interrogative pronoun +
inter mark;
internoun group(GENDER,NUMBER,CASE) +
inter mark;
inter adv +
inter mark;
prep(TYPES),
inter adv +
inter mark;
prep(TYPES) +
inter adv +
inter mark;
prep(TYPES) +
interrogative pronoun +
inter mark.
1 wahiya fī ʾaddāri?
24
Those rather incomprehensible line endings such as: penalty 7; <alt 1:2>; and [1], are
automatically generated during parsing when I apply the option ‘-v parser’ for diagnostic
purposes. Ambiguities, missing links, faults, and/or other inconsistencies in the formal
description can be traced more easily. In offfijicial publications, this option is normally
set offf.
a formal description of sentences in msa 521
utterance
s type(elliptic_interrogative)
ques tail
head
postmodifijier
inter mark.
25
In an analysis environment, it is not difffijicult to account for assimilation phenomena
in Arabic. Alternatives are simply listed in the lexicon as distinct entries.
522 everhard ditters
These rules condition for instance: determination, gender and case agree-
ment. For other perspectives, computer-assisted language learning or gen-
erative or retrieval oriented applications, these empty-rules proved to be
relevant. However, they can, by means of transduction, be left out in the
representation of the parsing results.
The second parse of the fijirst example sentence concerns an elliptic
interrogative, consisting of a ‘part of a statement’ (ques tail), and ending
in a question mark (inter mark). This ‘part of a statement’ is here realized
by a topic-comment structure with a personal pronoun in the topic, and
a prepositional phrase in the comment position.
26
This parsing is also characterized as an elliptic interrogative because of the absence
of an interrogative particle at the beginning. However, the complete statement has been
analyzed as a topic-comment construction.
a formal description of sentences in msa 523
Relevant remarks on the parse results of the other sentences are provided
for in the notes to Appendices 2 and 3.
2.3. Declaratives
Deleting the question markers such as ʾa or hal, and ‘?’ from the inter-
rogatives, we obtain declarative alternatives of the test sentences. A more
positive defijinition of a declarative is: a positive or negative statement with
the main focus on an entry of the verb lexicon (verbal sentence) or on an
entry of the noun lexicon (nominal sentence). For illustrative purposes
only, below follows a selection of the rewrite rules used for the description
of declarative sentence structure occurring in the parse results:27
s type(declarative):
s(VARIETY) +
end marker.
s(basic):
sentence(ORDER).
The domain of the values for the afffijixes VARIETY and ORDER are defijined
by the meta rules:
ORDER ::focus|pred|topic|elliptic_topic.28
VARIETY ::basic|double|elliptic.
27
As one can see in Appendix 4 (parser statistics), in its current form the formal gram-
mar comprises 1400 rules with more than 1800 alternatives.
28
In the next round of corrections, the domain of values for the afffijix variable will be
extended with: elliptic_pred to account for an elliptic verbal sentence.
524 everhard ditters
In the following rules we see the use of square brackets indicating the
optional occurrence of, in this case, a complement, a sentence adverbial
or a negator:
sentence(pred):
verbal head(imper,second,GENDER,NUMBER,COMPL),
[compl(COMPL1)];
[sent avb],
predicate(verbal,DEFNESS,PERSON,GENDER,NUMBER),
[sent avb].
sentence(topic):
topic(GENDER,NUMBER),
topic comp(GENDER1,NUMBER1),
[sent avb];
topic comp(GENDER,NUMBER),
topic(GENDER1,NUMBER1),
[sent avb];
[negator],
predicate(nominal,def,PERSON,GENDER1,NUMBER1),
indef t(GENDER,NUMBER),
where agreement
is (GENDER,GENDER1,NUMBER,NUMBER1);
introducer(INITIAL),
topica(INITIAL,GENDER,NUMBER),
bound coord(CAT),
topic comp(GENDER1,NUMBER1),
anaphoric
relation(GENDER,GENDER1,NUMBER,NUMBER1);
neg topic(GENDER,NUMBER),
neg topic comp.
sentence(elliptic_topic):
topic(GENDER,NUMBER);
topic comp(GENDER,NUMBER).
topic(GENDER,NUMBER):
np(HEADREAL,DEFNESS,GENDER,NUMBER,PERSON,nom|invar);
prep(fijinalintr),
a formal description of sentences in msa 525
np(HEADREAL,def,GENDER,NUMBER,PERSON,gen);
prep(fijinalintr) +
np(HEADREAL,def,GENDER,NUMBER,PERSON,gen).
topic(masc,sing):
ccl(so).
In the following rule is stated that a comment (topic comp) may consist
of a verb phrase, a noun phrase, an adjective phrase, an adverb phrase,
or a prepositional phrase, each of them in its turn to be described into
left-hand sides.
topic comp(GENDER,NUMBER):
predicate(verbal,DEFNESS,third,GENDER,NUMBER);
np(HEADREAL,DEFNESS,GENDER,NUMBER,PERSON,nom);
adjp(DEFNESS,GENDER,NUMBER,CASE);
ap;
pp.
2 taʿrifīnahu.
29
For example: ʾan taṣūmū khayrun lakum (Sura 2, 184) ‘If ye fast it is better for you’
(Palmer, 1953, 23).
526 everhard ditters
verb elements(RA,RB,RC,normal,COMBI,MOOD,VOWIMPERF,active):
rad(RA) +
rad(RB) +
vow(VOWIMPERF) +
rad(RC).
In another module (verb stem i lexicon) the verb entry concerned is listed
by integers for its radicals.30 Here, the combination of: 19,11,21, stands for:
ʿ r f (ʿarafa/yaʿrifu ‘to know’). The lexical rule states, also by means of inte-
gers, that this entry has an a (1) as vowel of the second radical in the past
tense, and an i (2) as vowel of the second radical in the present tense.
Moreover, the verb may govern a direct object in the accusative:
3. Discussion
The description, so far, may have given an idea about the form of a formal
grammar for Modern Standard Arabic in the AGFL formalism, as well as
of the parsing of sample data of the language described within the AGFL
processing environment. The formal grammar is operational.31 This means
in no way that the description, as a product, is ready, fijinished, achieved
or complete, and 100% reliable.
The formal description is a hypothesis about the syntactic structure
of contemporary literary Arabic and its fijinal entries for communication
interchange. This hypothesis should be tested, over and over again, on
a corpus of language data in a cyclic process of testing, correction, and
adaptation. Corrections are being made by optimization, the fijine-tuning
30
By means of so-called fact tables the matching between these integers and the graph-
emes, transcribed or in Arabic characters, is guaranteed.
31
‘Operational,’ here, means that the AGFL processing environment, during compila-
tion of the description, did not fijind any serious violations of or infringements on the inter-
nal logic of the formalism. This is the initial stage for, in our case, the linguistic testing
of the description of the natural language described. As long as we stick to the syntactic
and semantic logic of the formalism, we have an operational grammar that can then be
linguistically tested.
528 everhard ditters
Perspectives
We only discussed, here, within the upper layers of Arabic sentence struc-
ture my description of (some) interrogatives. By a ‘deus ex machina’ trick,
I tested and described the results of the parsing of (some) declaratives. In
earlier versions of my formal description of MSA, I lodged the so-called
protasis in conditional sentences in the slot for ‘sentence adverbial’. How-
ever, it remained difffijicult to describe, within the overall description, the
occurrence of certain particles or specifijic values for the verb realization
in the so-called apodosis. Therefore, I agreed upon, and developed the
description of a third alternative of sentence structure: conditional sen-
tences, still to be tested.
The following steps in the planning are: the insertion of an ‘empty’ value
for short vowels (a, i, and u) in the MSA grammar for transcribed and Ara-
bic input; the ‘transfer’ of the Arabic entries from an Arabic-Dutch/Dutch-
Arabic dictionary32 to vocalized and non-vocalized versions of our formal
lexicon; and the parsing of Arabic data from the Nijmegen corpus.
References
Baalbaki, Ramzi. 2007. “Inside the Speaker’s Mind: Speaker’s Awareness as Arbiter of Usage
in Arab Grammatical Theory.” in Approaches to Arabic Linguistics. Presented to Kees
Versteegh on the Occasion of his Sixtieth Birthday. Ed. Everhard Ditters and Harald
Motzki (eds.). Studies in Semitic Languages and Linguistics. Volume 49. London/Boston:
Brill, 3–23.
Badawi, Elsaid, Michael Carter, and Adrian Gully. 2004. Modern Written Arabic: A Compre-
hensive Grammar. London/New York: Routledge.
Cantarino, Vicente. 1974. Syntax of Modern Arabic Prose. Volume One: The Simple Sentence.
Asian Studies Research Institute. Oriental Series No. 4. Bloomington/London.
—— . 1975. Syntax of Modern Arabic Prose. Volume Two: The Expanded Sentence. Asian
Studies Research Institute. Oriental Series No. 4. Bloomington/London.
—— . 1975. Syntax of Modern Arabic Prose. Volume Three: The Compound Sentence. Asian
Studies Research Institute. Oriental Series No. 4. Bloomington/London.
Debusmann, Ralph. 2006/2007. Extensible Dependency Grammar: A Modular Grammar
Formalism Based on Multigraph Description. Ph.D. Saarland University.
—— . 2008. http://www.ps.uni-saarland.de/~rade/xdg.html.
32
Hoogland (2003).
a formal description of sentences in msa 529
APPENDIX 1
EXAMPLES
1 wahiya fī l-dāri?
andshe in thehouse?
Is she in the house? (C.I,136,1)33
2 ʾataʿrifīnahu?
(q)youknowhim?
Do you know him? (C.I,137,2)
3 hal ʿindakum marīḍun?
(q) nearyou ill?
Is somebody ill in the family? (C.I,139,6)
4 man hādhā?
who this?
Who is this? (C.I,142,2)
5 ʿalāma taʾsafu?
onwhat youregret?
What do you feel sad about? (C.I,149,6)
6 ʾayyu ʾinsānin ʾanta?
which man you?
What kind of a man are you? (C.I,152,12)
7 kam ḥafijiẓta?
howmuch preservedyou?
How much did you learn? (C.I,158,3)
8 ʾilā ʾayna?
to where?
Where? (C.I,162,3)
9 matā?
when?
When? (C.I,162,6)
10 kayfa?
how?
How? (C.I,162,5)
11 limādhā?
forwhat?
Why? (borrowed from: C.I,145,5)
33
This formula should be read as: Cantarino, Vol. 1, p. 136, ex. 1.
a formal description of sentences in msa 531
APPENDIX 2
INTERROGATIVES
Input
1 wahiya fī al-dāri?
2 ʾataʿrifīnahu?
3 hal ʿindakum marīḍun?
4 man hādhā?
5 ʿalāma tẚsafu?
6 ʾayyu ʾinsānin ʾanta?
7 kam ḥafijiẓta?
8 ʾilā ʾayna?
9 matā?
10 kayfa?
11 limādhā?
Results
1 wahiya fī al-dāri?34
34
The fijirst parsing concerns an elliptic interrogative in which fī al-dāri has been ana-
lyzed as a post modifijier of the head hiya. I did not block such an analysis result for a
personal pronoun, because it is useful to analyze noun phrases such as ‘my uncle in San
Francisco’ as a noun phrase.
532 everhard ditters
GENUM1 agreement is(fem, fem, fem, sing, sing, sing) <alt 4:1>
CASE1 agreement is(nom, nom, nom) <alt 1:1>
DEF is(pers, def ) <alt 2:1>
HEAD1 type is postmodifijiable(pers) <alt 2:1>
headreal is(pers) <alt 4:1>
inter mark “?” [1]
2 ʾataʿrifīnahu?
35
This parsing is also characterized as an elliptic interrogative because of the absence
of an interrogative particle at the beginning. However, the complete statement has been
analyzed as a topic-comment construction.
a formal description of sentences in msa 533
4 man hādhā?36
36
Penalty 3 tells us, that only 3 elements of fijinal entries of the lexicon are involved in
the parse result of this sentence. That we have two parses for this input originates from the
question: which element or constituent in this sentence should be considered as topic?
a formal description of sentences in msa 535
5 ʿalāma tẚsafu?37
37
For non-Arabist readers, the present time realization of the second masculine singu-
lar and the third feminine singular present fijinite verb form are identical.
536 everhard ditters
7 kam ḥafijiẓta?
8 ʾilā ʾayna?
9 matā?
10 kayfa?
11 limādhā?38
38
With three fijinal terms involved (penalty 3), we got three parses. All parses are quali-
fijied as elliptic interrogatives. However, in the realization of the prepositional comple-
ment (pp compl), there is a genitive case value (gen) realized in the fijirst parse, while in
the second there is a genitive or invariable value (gen|invar) for the CASE concerned. In
the next rounds of corrections this ambiguity will be solved. Moreover, I can only imagine
an exclamatory context for such a rather rhetorical question-like utterance. I prefer the
third result.
a formal description of sentences in msa 539
APPENDIX 3
DECLARATIVES
Input
1 wahiya fī al-dāri.
2 taʿrifīnahu.
3 ʿindakum marīḍun.
4 man hādhā.
5 ʿalāma tẚsafu.
6 ʾayyu ʾinsānin ʾanta.
7 kam ḥafijiẓta.
8 ʾilā ʾayna.
9 matā.
10 kayfa.
11 limādhā.
Results
1 wahiya fī ʾaddāri.39
39
In the fijirst parse result, we are dealing with a topic-comment (topic comp) structure.
The second concerns a declarative realized in the form of an elliptic nominal sentence
with a head-postmodifijier (pom) construction. In the next round of corrections we will
eliminate this intermediate layer by creating an elliptic_declarative value for the afffijix vari-
able (SPECIES) of sentence type (s type).
a formal description of sentences in msa 541
40
Here we have an analysis result representing the structure of an elliptic declara-
tive, uniquely consisting of a comment with a head-post modifijier realization, and an end
marker, of course.
542 everhard ditters
2 taʿrifīnahu.41
41
This example we commented upon in the body of the text.
a formal description of sentences in msa 543
where gen num pers is(second, fem, fem, sing, sing, fem, sing) <alt 6:1>
where vowel fijits derivation(three, au, i) <alt 4:1>
compl(acc) <alt 1:1>
compl phr(acc) <alt 1:1>
direct obj(masc, sing) <alt 1:1>
np(pers, def, masc, sing, third, acc) <alt 1:1>
head(pers, def, masc, sing, third, acc) <alt 19:1>
pers pronoun(masc, sing, third, acc) “hu” [1]
DEF is(pers, def ) <alt 2:1>
end marker “.” [1]
3 ʿindakum marīḍun.42
42
A straightforward result, it seems. However, the formal description of adjectives, a
subcategory of the nouns in the traditional Arabic language description I work with, some-
times resembles looking for the solution of a Sudoku puzzle.
544 everhard ditters
4 man hādhā.43
43
A fijirst disambiguation of the occurrence of the lexical entry man, as well as for other
members of this subcategory, I obtained by declaring, that, in Arabic, some (possibly: the)
interrogative pronouns, as well as their homonyms (the indefijinite pronouns) are always
indefijinite. All depends on the context in which these pronouns occur. With that, part of
the ambiguity problem had been solved. Notwithstanding that, here we are confronted
with fijive parse results for this test sample.
44
While in the fijirst parse, we were dealing with a topic-comment realization, in the
second the order of these constituents is inverted.
a formal description of sentences in msa 545
45
The third, fourth and fijifth parse results have in common that they are analyzed as
declaratives of the type elliptic_topic. In parses 3 and 4 the comment is missing, while in
parse 5 the topic is missing. In all cases we are dealing with a head-post modifijier realiza-
tion, the post modifijier being an asyndetical relative clause. In the next round of correc-
tions, I shall reconsider this description of alternatives.
546 everhard ditters
No parse for:
5 ʿalāma tẚsafu.46
46
A rather acceptable result since ʿalāma has been listed in the lexicon as an inter-
rogative adverbial, not occurring in the description of declaratives. The same holds for
examples 7–10. However, the kam in example 7 could also be interpreted as an exclama-
tory particle!
a formal description of sentences in msa 547
47
In the fijirst parse, the personal pronoun ʾanta is analyzed as a comment and as a topic
in the second. However, since ʾanta is a defijinite noun phrase marked for nominative case
value, I prefer to choose the second parse result, and to block the fijirst.
548 everhard ditters
No parses for:
7 kam ḥafijiẓta.
8 ʾilā ʾayna.
9 matā.
10 kayfa.
11 limādhā.48
48
By a secret path (np(min, indef, masc, sing, third, gen) <alt 1:1>), two results have
been obtained for this sample entry, only difffering in a distinct realization (gen versus
gen|invar) of its case value. The ambiguity in case realization should be eliminated. The
resulting unique parse result should be blocked, unless one chooses to accept an exclama-
tory rhetorical question-like input.
a formal description of sentences in msa 549
APPENDIX 4
STATISTICS
1 parser statistics #
syntax rules 1401
syntax alternatives 1824
groups49 0
options 28
commits 0
lexicon rules 54
terminals 38
regexp matches 0
regexp skips 0
49
2 interrogatives results
# data parses time/s penalty
1 wahiya fī al-dāri? 2 0.007 7
2 ʾa taʿrifīnahu? 1 0.036 10
3 hal ʿindakum 1 0.018 6
marīḍun?
4 man hādhā? 2 0.011 3
5 ʿalāma tẚsafu? 2 0.025 9
6 ʾayyu ʾinsānin ʾanta? 1 0.042 6
7 kam ḥafijiẓta? 1 0.020 9
8 ʾilā ʾayna? 1 0.001 3
9 matā? 1 0.015 2
10 kayfa? 1 0.021 2
11 limādhā? 2 0.016 3
Totals 15 0.212
Average 1 0.014
49
I did not use ‘groups’, nor ‘commits’, regular ‘skip’ or ‘match’ expressions in the cur-
rent formal grammar. The use of groups might be useful for optimization purposes. The
‘commit’ operator may have had its longest time in the AGFL formalism. As far as regular
expressions are concerned, I should be convinced of their usefulness for the description
of Arabic. On the other hand, the ‘+’ operator is all-important.
a formal description of sentences in msa 551
3 declaratives results
# data Parses time/s penalty
1 wahiya fī al-dāri. 3 0.007 7
2 taʿrifīnahu. 1 0.025 9
3 ʿindakum marīḍun. 1 0.018 5
4 man hādhā. 5 0.013 3
5 ʿalāma tẚsafu. 0 0 0
6 ʾayyu ʾinsānin ʾanta. 2 0.053 6
7 kam ḥafijiẓta. 0 0 0
8 ʾilā ʾayna. 0 0 0
9 matā. 0 0 0
10 kayfa. 0 0 0
11 limādhā. 2 0.016 3
Totals 14 0.132
Average50 1 0.009
50
One should not, however, jump to a conclusion about any bias of this formal descrip-
tion towards ‘declaratives’.
INDEX OF ARABIC TERMS
ʿabqariyya 20–21 ḍaʿīf 130
adab 210–212, 215, 217, 257n ḍalāl 8
adawāt al-sharṭ 191 ḍamīm 41
adīb 214 ḍamīr 182
al-af ʿāl al-khamsa 187 ḍamma 191–192
af ʿāl al-qulūb 86 dānaq 221
af ʿāl qalbiyya 286 dār al-ʿiyār 244
af ʿāl al-taḥwīl 287 dawām 358–359, 368
aḥadiyya 368 daymūmiyya 358, 367
ahl al-bayt 367 dhamm al-nafs 359
ahl al-naẓar 38 dhāt 71, 74, 79–80, 83–84, 86, 88–92,
ahl al-uṣūl 326 96–97
aḥwāl 340, 360 dhawāt 74
ʿajam 19, 20n, 22 dhikr khafī 359
akhbār al-ʿarab 25 dhū 71, 74
alfāẓ mubhama 191 diʿāma 448
ʿalīm 355, 361 dirāya 32n
ʿamal 53, 65–66, 139, 144–145, 148, 161, dirham 34–35, 161, 221–224, 299
167–168, 191 dīwān al-makāyīl wa-l-awzān 244
ʿāmil 55, 183, 191
ʿāmil kharāj 226, 229–231, 242 fahrasa 33
amr 50, 53, 57, 61 fāʿil 18, 41n, 168, 187, 190–191, 259, 233, 401
ʿamūd al-tawḥīd 367 fanāʾ 359
ansāb 26 faṣāḥa 6, 11
– al-ʿarab 25 faṣīḥ 6n, 15, 260
ʿaqlī 58n fatḥa 191–192
ʿārifīn 360, 362–363 fijiʿl 41, 52–53, 55, 57, 65, 67, 120, 132, 143,
ʿarūḍ 24n, 202, 206–207, 213, 258 150, 161, 168, 182, 185–188, 190
ʿaṣabiyya 230 – fijiʿl ʿamal 168
ashrāf 231 – amr 53
al-asmāʾ al-ḥusnā 277 – mabniyy li-l-majhūl 191
ʿaṣr al-balāgha 506–507 – madḥ 58
ʿaṭf 50, 101–116, 168, 187 – muʿtall al-ākhir 186
awāʾil 197–217, 238, 347n – taʿajjub 57, 58n
ʿayn 71–72, 74, 79–80, 83–85, 90–91, 94, fijiqh 51, 181, 202, 208, 210–212, 216–217,
96–97 445, 451
ayyām al-ʿArab 214–215, 417 fijirāsa 360
ʿayyārīn 417 fuṣḥā 5
futūḥāt 418
bāb al-nubuwwa 367
baʿḍ min al-kull 82 ghaḍḍ al-ṭarf 362
badal 55, 57, 65, 81, 155, 187 gharīb 38, 89, 95, 201–202, 205–206, 208,
badīʿ 21 210, 215–216
balāgha 24n, 216, 445–446, 495–497, ghayb 361
506–507 ghayr inshāʾī 54–57
basāṭa 16 ghayr mustaqīm 10, 63, 122
bāṭin 59, 68, 250, 252, 345, 349, 354 ghayr ṣaḥīḥ 233n
bayān 34n, 78, 142, 503 ghayr ṭalabī 68
bidāʾī 20 ghazal 445, 450
554 index of arabic terms
– inshāʾiyya 62 māḍī 50–52, 67
– khabariyya 62, 67 madīḥ 449–450
jund 230, 232n, 241 maʿdūd 43
maf ʿūl
kadhib 54, 59, 63, 119, 124–125, 127, – bihi 65, 187
133–134, 170–171 – fīhi 187
kalām 35, 36n, 50–51, 54, 59–62, 65–66, – li-ajlihi 187
85–86, 119–132, 135, 137, 140–141, 149–152, – maʿahu 187
154, 158, 161, 164, 166, 170, 181, 185–186, – muṭlaq 39, 54n, 187
191, 202, 207, 257–258, 353, 373 maghāriba 32, 33n, 39, 44–46
kalima 50, 87, 184–185, 341, 353, 373 maghāzī 417–418
kam al-istifhāmiyya 58 majāz 81–82, 84
kam al-khabariyya 58 majrūr 43, 57, 139
kamāl al-ḥaqq 362 malāmat al-nafs 364
kasra 191–192, 60 mamlakat al-dīn 367
khabar 49–68, 111n, 129, 153, 161–162, 187, maʿnā pl. maʿānī 41n, 50–51, 56–57,
190, 259 59–62, 64, 66–67, 90, 122, 130, 133–134,
– ghayr inshāʾī 54–57 136–137, 140–141, 143, 149, 151–152, 154,
– inna 187 158, 163, 166, 171–172, 185, 188, 253, 260,
– inshāʾī 54–59, 62–63 325–328, 349, 359, 363, 370, 448
khabīth 120, 130 manāzil 340
khafḍ 255, 256n, 258 manqūl 272
kharṭ 223 manṣūb 43, 64, 187
khaṭaʾ 121n, 123, 125, 170 maqāmāt 251n, 340
khaṭāba 24n maʿrifa 79, 144, 157, 160, 163–164, 353
khaṭṭ al-raml 342 masʾala zunbūriyya 8
khifffa 17 maṣdar 40–41, 50, 53–57, 144–148
khuṭab 181 mashāriqa 32, 39
kināya, pl. kināyāt 58n mawaddat al-ḥaqq 364
mawālī 204n, 217
lafẓ 50–51, 54–55, 57, 62n, 64–67, 79, mawḍiʿ 61, 90, 131, 134, 137–138, 140, 144,
133–138, 140, 149, 166, 171, 185, 325, 149, 163–165, 171, 250, 252
326–328, 448n mithqāl 221n
laḥn 9, 125–126 muʿādala 17
– al-ʿāmma 9 muʿāmala pl. muʿāmalāt 340, 361
– al-khāṣṣa 9 muʿammar 215
lām al-ibtidāʾ 40 muʾannath 186
lām al-tabriʾa 42 mubāḥatha 33
laṭīf 353, 362, 373 mubham, ibhām 42–43, 141–142, 191
lawḥ al-fahm 367 mubīn 11
lawḥ al-nubuwwa 367 mubtadaʾ 121, 145, 153–154, 161–162, 182,
lawmat al-lāʾim 364 187, 190–191, 259
lāzim 42, 58, 64, 67 muḍāf ilayhi 65, 187
lugha 32, 50, 88, 90, 180–181, 184, 201, 203, muḍāf li-yāʾ al-mutakallim 187
205, 207, 209, 255 muḍāriʿ 50, 399
lughat al-ḍād 20 mudāwama 359
lughawī 20, 34, 199n mudhakkar 186
luṭf 362, 367 muḍmar, see muḍmar
mufrad 185–186, 327, 331
mā dāma 40–41 muḥāl, mustaḥīl 10, 119–136, 141, 149–152,
mā zāla 87 158–173, 255
maʿārif 340 muḥāṭ 41n
mabnī 153–154, 186, 191 muḥtasib 244
madhhab, pl. madhāhib 33–35, 39, 203 mujabbana 35
556 index of arabic terms
– shaʿbiyya 413–437 tawakkul 358
ṣirāʿ lughawī 20 ṭawāliʿ al-ḥaqq 361
sirr al-nubuwwa 367 ṭawīl 112–113, 399
sūʾ al-ẓann bi-l-nafs 361 tawkīd 41n, 59, 85, 186–187
sukūn 191–192 tawqīf 16
sunna 202, 341, 358 tawqīr al-muṣṭafā 364
tayaqquẓ 357
taʿaddud maʿnawī 328 tayhūhiyya 357, 364
taʿadhdhur taḥrīk 191 thanāʾ 358
taʿajjub 57, 58n, 63n thawāb 358
tābiʿ, pl. tawābiʿ 186–187, 191 thiqa 235, 358
tābiʿī; tābiʿūn 212, 233n, 235, 238n thiqal 17
taḍmīn 445, 448–452 thubūt 358
tafahhum 33 ṭilasm 342
tafaqquh 33
tafkhīm 270–271, 370n ukhuwwa 22
tafsīr 33, 181, 211, 228 ʿulamāʾ 208n, 348
tafwīḍ 358 ulūhiyya 368
ṭahāra 361 ʿulūm al-khalq 361
taḥdīd 67 umma 11, 20, 22
tajnīs 327, 328n ʿurfī 58n
tajwīd 180 urjūza 449
takhrīj 41 uṣūl al-fijiqh 44, 445
takthīr 58–59, 62 uṣūl al-naḥw 31n
ṭalab 50–51, 61–63, 68
ṭalabī 51–52, 68 waḍʿ 268, 327
taʿlīl 11, 26, 446n wajh 74, 80, 121, 128, 141, 172, 205
taʿlīq 33 waḥdāniyya 364, 367
– lafẓī 448 wāḥidiyya 364
– maʿnawī 448 waḥy 16, 364
– naẓmī 448 – al-ilhām 364
talqīn 32, 36 – al-mushāfaha 364
tamannī 67 – al-qadhf wa-l-ilqāʾ 364
tamaththul 448 – al-wasāʾiṭ 364
tamīma 342 wājib 37–38, 64
tamthīl 126, 139, 448 waqt 84, 90, 141, 360
tamyīz 187 watid mafrūq 400
tanzīh al-ḥaqq 363 watid majmūʿ 400
taqdīr 62, 64, 67, 252, 283, 446n waʿẓ 450n
taqlīd 182 wilāyat al-awliyāʾ 364
ṭarīqa 203 wujūd 50–51, 59, 112, 340
tark al-hawā 364 wurūd 364
tark al-tazyīn 359
taṣawwur 33 ẓāhir 191, 252, 345, 349, 354, 361
taṣfijiyat al-qulūb 361 zāʾirja 342
tashjīr 43n zīnat al-dunyā 359
taslīm 358 zindīq 213
taṣrīf 201, 204–205, 207, 209, 214–215, 217 zuhd 359
tawahhum 357 zujāj 221, 223
INDEX OF PROPER NOUNS
Jayyusi, Salma Khadra 31n Kharrāz, Abū Saʿīd 348, 356, 364, 374, 391
Jazarī, Shams al-Dīn 211–214 al-Khaṭīb al-Baghdādī 221n, 232n, 234n,
Jazzār 255, 259 236n, 237n, 344n
Jeddah 184 Khawāshī, see Abū Bakr al-Khawāshī 381,
Jefffery, A. 270n, 342n 383, 391
Jeppie, Shamil 192n Khazrajī, Ṣafī al-Dīn 229n, 232n
Jerusalem 239, 341, 502–503 Khidabb 36
Jesus, see ʿĪsā b. Maryam Khoisan 177
Jibāl 213 Khoury, R.G. 35n, 231n
Jisrīn 243n Khurāsān 202, 362, 387
Johnson, Samuel 26 Khushaim, Ali Fahmi 447n
Jones, A. 342n Khuzāʿa 274
Joseph, John Earl 5n Kilāb 431
Jove 275 Kisāʾī 202, 206–210, 215–216, 255, 258,
Jubayr b. Nufayr al-Sakūnī 237n 260–261
Jubrān Khalīl Jubrān 89, 95, 198n Knysh, A. D. 342n, 348n
Judhāma 7 König, Ekkehard 71n, 95
Jūdī b. ʿUthmān al-Mawrūrī 210–211, 216 Korea 36
Junayd 352, 356, 383 Koster, Kees 511n, 513n
Jundaba 431 Kouloughli, Djamel-Eddine 15, 16n
Jundī 21n Krone, Susanne 268n
Jurash 230n, 233n, 234, 242–243 Krotkofff, G. 346n
Jurashī, al-Walīd 229n, 232–233 Kūfa 8, 31, 209–215, 257, 428n
Jurayrī, Abū Muḥammad 348n, 356, 360, Kufan 7n, 39–40, 44n, 202, 206–207, 213,
383 215, 217, 445
Jurjānī, ʿAbd al-Qāhir 42, 60–61, 66n, 183, Kugel, James 496
326–327, 446 Kugle, Scott 447n
Jurjānī, al-Sharīf 58 Kūhanī, ʿAbd al-Qādir 447n
Juynboll, Gautier 198n Kunitzsch, P. 342n
Juzūlī 40n, 41n
Lafffan, Michael 183n
Kafawī, Ayyūb b. Mūsā al-Ḥusaynī 52 Lagane, R. 329n, 337n
Kaḥḥāla, ʿUmar 447n, 449n, 451n Lāh 269–271
Kahle, Paul 6–8 Lakhm 7
Kähler, Hans 180, 188n, 189n Lakofff, George 73, 75
Kaptein, Nico 183n, 184n Lane, Edward W. 75n, 203n, 223n, 346n,
Karimi-Hakkak, Ahmad 26n 418n, 419
Kassir, Samir 507 Larcher, Pierre 49–51, 54n, 58–60, 62n,
Kawwāz, Muḥammad Karīm 6n 63n, 67n, 68n, 267n, 511
Kellermann, Andreas 497n Leemhuis, Frederik 206n
Khafājī, Ibn Sinān 11–12 Lehmann, A. 330n
Khalaf al-Aḥmar 209, 211, 214 Lettinga 259n
Khālid b. Dihqān 237n, 238n Levantine 304, 307, 426–427, 432,
Khālid al-Qasrī 226n, 229, 241 436–437, 516n
Khalidi, Tarif 19n Levin, Beth 285, 286n, 288–289, 291
Khalīl b. Aḥmad 13–15, 19, 26, 108, 120n, Lewis, Geofffrey 22n, 26n
122, 124–125, 128, 134–135, 142–143, 161, Littmann, Enno 270n
164, 170, 173, 198, 201, 206, 209–211, 213, Lord, Albert B. 400n, 416, 419, 420n
216, 249, 267, 272, 318, 349, 399, 374 Lory, P. 343
Khallālī, Ismāʿīl b. Aḥmad 372 Lyons, J. 330–331, 333n
Khamis, Elias 225n Lyons, M. C. 436, 413n, 414n
Khan, Mohammad-Nauman 269n
Khānlarī, P. N. 366n Macdonald, Michael 269n
Kharrat, Edouard 310n Madāʾinī 198
566 index of proper nouns
Ibrahim Ben Mrad is Professor of Humanities, Faculté des Lettres, des Arts
et des Humanités, University of Manouba.