Showing posts with label Old Norse. Show all posts
Showing posts with label Old Norse. Show all posts

Tuesday, December 4, 2012

Sméagol — what’s in a name?

On Facebook today, Marcel Aubron-Bülles sent out an appeal to linguistically minded Tolkien scholars, tapping me on the shoulder along with Michael Drout, Thomas Honegger, Rainer Nagel, and others. His question: “Sméagol is derived from ‘smygel’, in itself an OE noun (see Bosworth/Toller). Is ‘Sméagol’ therefore a modernised adaption, i.e. a noun?”

Michael Drout was the first to weigh in, suggesting Sméagol derives not from smygel “burrow, cave” but from sméagan “to inquire, investigate, be curious about”, on the grounds that Sméagol was “the most inquisitive member of his community, and he got his name before the murder of Déagol (which means ‘secret’).”

Then, Marcel quoted from the guide to the people, places, and things that Tolkien prepared for translators in the mid-1960’s: “Smials. A word peculiar to Hobbits (not Common Speech), meaning ‘burrow’ […]. It is a form that the Old English word smygel ‘burrow’ might have had, if it had survived. The same element appears in Gollum’s real name, Sméagol.”

To this, I would add that Tolkien had already addressed this point in the appendices to The Lord of the Rings, where he wrote:
This assimilation [i.e., the same as in “the forms and spellings of place-names in Rohan”] also provided a convenient way of representing the peculiar local hobbit-words that were of northern origin. They have been given the forms that lost English words might well have had, if they had come down to our day. Thus mathom is meant to recall ancient English máthm, and so to represent the relationship of the actual Hobbit kast to R. kastu. Similarly smial (or smile) ‘burrow’ is a likely form for a descendant of smygel, and represents well the relationship of Hobbit trân to R. trahan. Sméagol and Déagol are equivalents made up in the same way for the names Trahald ‘burrowing, worming in’, and Nahald ‘secret’ in the Northern tongues. [App. F, II]
And there is a relevant passage from Tolkien’s letters also, in a 1967 draft letter to “Mr. Rang”, who had written Tolkien to inquire about his nomenclature. Here, he notes that Old English is the source for:
a few […] survivals in Hobbit-dialect derived from the region (The Vale of Anduin to the immediate north of Lórien) where that dialect of the Northmen developed its particular character. To which may be added Déagol and Sméagol; and the local names Gladden River, and the Gladden Fields, which contains A.S. glædene ‘iris’, in my book supposed to refer to the ‘yellow flag’ growing in streams and marshes. [Letters, #297]
Sméagol is not attested in the Old English corpus, though there are many words built from the same roots. In addition to sméagan (as Mike Drout has already noted), there are sméah “creeping in, penetrating”, sméalic “searching, penetrating”, smúgan “to creep, crawl”, sméa(g)ung “search, inquiry, investigation”, etc. But since *sméagol isn’t attested, how do we know whether it would have derived from a noun or a verb. Indeed, how do we know what part of speech *sméagol itself would have been? These questions are at the heart of what Marcel was trying to figure out.

The key lies in its mate, déagol, which is a genuine Old English word. As Mike and others have pointed out, it means “secret, dark, obscure, hidden”, quite suitable for any friend of Sméagol’s. Appropriately enough for an associate of Gollum, déagol also appears in a riddles in the Exeter Book (“Hyrre ic eom heofone, || hateþ mec heahcyning / his deagol þing || dyre bihealdan”). So, if anything can, déagol ought to shed light on *sméagol.

Déagol (also dégol, díegol, dígol, etc.) is an adjective deriving from Primitive Germanic *dauȜilaz. There are cognates in Old High German tougal(i) “hidden”, Old Norse dul “concealment” and dylja “to hide, conceal” (which exhibits palatalization and would probably have been *dylga at some earlier point), and even Modern Swedish dold. The Old English word also survived into Middle English as diȜel. Adjectives ending in –ol normally derive from verbs, and the suffix is indicative of tendency, inclination, ability, etc. Besides déagol (from díegian “to hide” + –ol), there are plenty of other examples: béogol “agreeable”, fretol “greedy”, hetol “hateful”, meagol “earnest, mighty”, numol “capable, nimble”, sprecol “talkative”, sweotol “plain”, þancol “thoughtful”.

This suggests very strongly that *sméagol could well have been a genuine adjective (derived from Primitive Germanic *smauȜilaz), even though it is nowhere recorded. It would apparently have been formed from sméagan “to consider, meditate, examine” + –ol. It probably would not have come from smúgan. That verb could have given rise to an adjective *smugol “creeping, crawling, gliding”, and indeed the Middle English smuhel “lithe, gliding, stealthy, slippery”, a hapax legomenon occurring only in the Ancrene Wisse, is its likely descendant (and cp. Old Irish smugall). This is a word that probably attracted Tolkien’s eye at some point, considering his work on the Ancrene Wisse. But indirectly, the verb sméagan probably did arise metaphorically from smúgan “to creep, crawl”, with its more appropriate sense of Gollumishness. And cp. Old Norse smjúga and of course, Tolkien’s Smaug. Although *sméagol is not recorded, the element sméa– is attested in the adjective sméa-þancol “contemplative, sharp-witted”. And although an adjective *sméagol hasn’t survived in English, at least the noun smygel has. I’ve wondered whether this may be the source of the Germanic/Slavic/Jewish surname Smigel, Smiegel, Schmiegel, etc. Does anyone know?

So, to bottom line this meandering meditation on our slippery friend. The name Sméagol has not been modernized. It retains the form of an unattested but straightforward Old English adjective, precisely analogous to Déagol. And I agree that Mike Drout is probably right that Sméagol derives directly from sméagan (with the addition of a suffix of tendency), and not from smúgan or smygel directly. Moreover, we must conclude that Tolkien was a little bit, well, wrong, when he suggested that Sméagol had to do with burrowing, creeping, worming, etc. Or rather, that sense is there, but it’s buried deeper (appropriately enough), underneath the more immediate sense of inquiring, investigating, being curious about things.

Friday, November 30, 2012

Reconstructed lexis in Tolkien’s Middle English Vocabulary

Most of my regular readers are aware that Tolkien’s first published book was a glossary of Middle English compiled to accompany Kenneth Sisam’s collection of Fourteenth Century Verse and Prose. I won’t rehearse the history of the book here, but you can learn more at the Tolkien Gateway.

In the glossary, Tolkien offers etymologies for the words he glosses, and many of these etymologies contain reconstructions, or “asterisk-words”. These are word-forms that do not survive in any recorded text. Their form and shape have been reconstructed according to the principles of historical linguistics. Such words are of enormous interest to me in my philological work, just as they were to Tolkien in his. I found myself wishing that I had a list of the words Tolkien had reconstructed, so I made one.

As a public service for the linguistically minded, here is the complete list of the asterisk-words from Tolkien’s Middle English Vocabulary, arranged by language and then alphabetically. I had thought this to be a complete list, but seemingly I missed quite a few words in the initial compilation. See Diego Segui’s comments below! Eventually, I’ll update the list here in the main blog post, but it may take a little time.

The headword in the glossary where the asterisked etymology may be found is given in boldface. I think that all the abbreviations I’ve used will be obvious to anyone who would actually have an interest in this list, but if not, just ask. And if anybody spots any typographical or other errors, please let me know. Typing these out almost gave my word processor a seizure! Enjoy! :)

OLD ENGLISH (“frequently differ[ing] from the normal West-Saxon”)

*ǣniges cynnes, later ME eny kyns; at Eny
*alra cynna; at Alkyn
*be līfe; at Belyue
*be-cwiss, rel. to be-cweþan; at Biqueste
*blencan, poss. identical with blencan; at Blenk
*brēo; at Bre
*cāpe, from ML cāpa; at Cope
*clēat; at Clete
*cyllan; at Kille
*dasian, cf. darian, ON dasa-sk; at Dase
*dawe; at Daw
*dearf-, cf. ON djarf-r; at Derffe
*dingan, cf. dencgan, ON dengja; at Dynge(n)
*dræht; at Draught
*dūfe, cf. ON dúfa; at Dowue
*for-fǣran; at Ferde
*halian, from OFris halia or OFr haler; at Hale
*hecg; at Hegges
*hlysnan, ONth lysna, infl. by hlystan; at Lystens
*hyppan, cf. hoppian; at Hypped
*lēfn–, from *lau(h)mni–, cf. Goth lauhmuni; at Levyn
*lēof-man; at Lemman
*lēomian, cf. ON ljóma; at Leme
*mylnere; at Mullere
*naglas; at Naule
*nēdig; at Nedy
*on-bufan, var. of abufan; at Aboue(n)
*pīn; at Pine
*pīpian; at Pypynge
*rāmian; at Rome
*rīfe, var. of rȳfe; at Rife
*ryccan; at Ryched
*salu; at Sale
*scǣre, rel. to scīr, cf. ON skǽr-r, skír-r; at Scere
*slūmerian, cf. slūma; at Slombrende
*smīlian, rel. to MHG smielen, Swed smila; at Smyle
*snēowan, var. of snīwan; at Suewe
*solgian, cf. solian; at Solowe
*spræg, cf. spraec; at Sprai
*stēorne, var. of stȳrne; at Sturn(e)
*stertan, var. of styrtan; at Start
*strāc, rel. to strīcan; at Strok(e)
*talcian, rel. to talu; at Talk
*þeorc; at Þerk
*toht, rel. to tēon; at ToȜt
*tollian; at Tolled
*untō, cf. OS untō (prep.), Goth, untē (conj.); at Vnto
*widr(i)an; at Widder
*ymb(e)-þencan, cf. ymbe-þanc, but prefix infl. by ON umb; at Vmbethoncht
ān + *hǣdu; at Onehed
+ *ryccan; at To-rochit
+ *rittan; at To-rett
wōd + *hǣdu; at Wodehed

OLD KENTISH (DIALECT OF OLD ENGLISH)

*, cf. OE ; at Cou
*certel, cf. OE cyrtel; at Kirtel(l)
*scettan; at Vnschette

MIDDLE ENGLISH

*anowrned; at *Anowrned
*blissefulest; at Blisseful
*kyþeȜ (MS lyþeȜ); at Kyþe

OLD FRENCH

*demeur, in demeurement; at Dimuir

OLD NORSE

be + *veila; at Beweile
*bredd–, cf. Swed. bräddfull; at Bretfull
*dreog–, later drjúg-r; at Dregh
*myk(i)-dyngja; at Mydyng
*stern–, later stjarna; at Starne
*þéht–; at Tyste
*þoh, or unacc. form of OE þah; at ÞaȜ(e)
*wrá; at Wro
*wrang–; at Wrang(e)
*þoh, later þó; at Þogh

Friday, September 28, 2012

WOTD: Tooken

Tooken isn’t a word. This is what you hear from the prescriptive grammarians and their acolytes. If they have children, sooner or later they end up correcting them. Children use tooken naturally as they attempt to understand and internalize the “rules” of our language. But rules are made to be breaken. :)

It starts with take. This goes back to Old English tacan, adopted from Old Norse taka “to take” sometime between the end of the eleventh century and the first half of the twelfth, which is pretty late — almost too late to be called Old English at all. Before this very late borrowing, the usual Old English verb was niman “to take, receive, get”, a common word with a wide range of cognates among the other Germanic languages (cp. Old Norse nema; Old Frisian nima, nema; Old High German neman; Old Saxon niman; Gothic niman). It survived into Middle English as nimen, but it was more and more displaced by Middle English taken, táken (not to be confused with tácnen “to signify, betoken”, to which we’ll come back a little later).

The verb take has its own history. The verb originally carried the meaning “to touch”, where the Old Norse (and later Old English) sense of “take” came from the association of touching with the hands, i.e., getting a hold of, grasping, seizing. In the original sense, we find such cognates as Gothic tékan, Old Saxon *takan, West Tocharian täk, Latin tangere, etc. Modern English tackle and attack are clearly related. But take in its modern sense is specifically Northern Germanic.

The Old English verb, like its Old Norse source, is what we call a strong verb, meaning that it forms the preterite (i.e., past tense) with a change in the stem vowel, rather than by the addition of a suffix (in Modern English, –ed). For example, a strong verb speak, has a preterite like spoke, while a weak verb like talk, has a preterite like talked (instead of, say, *telk). In the case of take, the stem vowel, a, changes to a long-o in the preterite. In Modern English terms, we call this kind of verb irregular. Its past tense is not *taked, but took (OE tóc, ON tók). The participles, however, retain the root stem vowel unchanged. Thus, the past participle is taken < OE tacen. It’s worth noting that in Old Norse, the normal past participle (tekinn) does exhibit a vowel change; however, this is umlaut, not ablaut. In fact, the form takinn also occurs, though much less often. (If you don’t understand what I mean by umlaut and ablaut but would like to, start here.)

The point is that, in normal English (that is to say, prescriptive English), we should expect taken, not tooken. But tooken is a legitimate enough word, particularly in historical or dialectal use, in both the U.K. and the U.S. To begin with, the Oxford English Dictionary itself gives tooken as an obsolete past participle of take. Obsolete essentially means here that we ought not to use it, unless we don’t mind appearing old fashioned, but it is attested in the history of the language. That is, it wasn’t “wrong”, at least once upon a time. That’s very different from an accidental form that has never been in use. If a form was once in use, and we decide we no longer like it, well, that’s prescribing use, rather than describing it.

The form tooken also appears in Joseph Wright’s English Dialect Dictionary, both as the preterite and the past participle. For the former, Wright gives a quotation from the Devon dialect: “he tooken off his coat”. For the latter, he gives several examples, from Lanark, Yorkshire, Lincoln, Cheshire, Shropshire, Devon, Cornwall, etc. Except for the last two, these are all in northern England or southern Scotland. A couple of examples will suffice: “I’ve tooken a deal o’ pains”, “for fear I should be tooken faint like”, and how about this wonderfully rich one: “Hoo was tooken wi’ one on her feenty aitches an’ hoo tiped o’er”. But that’s barely English, you might object!

A short sidebar, while you collect your righteous grammatical indignation. Before I give a few more details and examples of the history and validity of tooken as a preterite and past participle of take, I should disambiguate it from a nonce word of the same spelling. It turns out that you can find tooken in Early Modern English as an antecedent form of the Modern English word token (remember, I mentioned Middle English tácnen above). Sir John Cheke, the first Regius Professor of Greek at Cambridge, translated parts of the Gospels from the original Greek into Tudor English. In his translation of The Gospel of Matthew (c. 1550), Cheke spells the English token with two o’s, as in: “And ye Pharisais and Sadducees cam and tried him, and required him to shew yem a tooken from heaven.”

In an 1843 edition of this translation, James Godwin (also of Cambridge, three centuries later) writes that Cheke “was desirous of […] correcting the orthography and pronunciation of English” and, moreover, of conscientiously avoiding words of foreign origin. “The introduction of these words was begun in the days of Cheke”, he continues. “But Cheke considered the English language to be sufficiently copious without them. In fact, he thought them intruders, and that the English language was degraded by being mixed up with other words and phrases, for which we were indebted to other countries”. Consequently, Cheke didn’t care too much for existing English translations and endeavored to produce some of his own, in which the native wordstock of English was properly showcased. To do so, he invented some words out of native English roots to take the place of recent acquisitions of Latin and Green origin; so, for example, where Wiclif (1380) has centurien, and Tyndale (1534) has centurion, Cheke substitutes hunderder; where Wiclif has apostlis, and Tyndale apostles, Cheke coins frosent (meaning “those sent forth); and where Wiclif and Tyndale have crucified, Cheke has crossed. Tolkien would have been sympathetic to the effort.

Even more unsettling, Cheke adopted some new rules for spelling English, designed (so he thought) to facilitate better pronunciation. One of his rules was to double a vowel pronounced long (dropping the final e, if there was one). For example, taak, Ameen, stoon, and so on. And this was just the tip of the iceberg. To give you a taste, here’s a lengthier passage:

On ye sabbot daí, at night, when ye first daieslight of ye week began to daun, marí magdaleen and an oyer marí cãm to look on ye graue, and loo yeer was a great earthquaak. For y’angel of ye L. cam doun from heaven, and cam yiyer, and rolled awai ye stoon from ye brinke and sat doun apon it, and his face was lijk lightening, and his cloying whijt lijk snow, and ye kepers did schaak for fear, and weer lijk dead men. (Mt. 28:1–4)

But back to the other tooken. Wiclif used this form in his own translation of the Gospel of Matthew. “But the five foolis tooken her lampis, and tooken not oile with hem: but the prudent tooken oile in her vessels with the lampis” (Mt. 25:3–4). This comes toward the end of the fourteenth century, as you saw above. To give another example, Saint Catherine of Siena used the same form in her Dialogues (1370): “And not oonly þat þei plauntid not ony good plaunt in her vyneᵹeerd, but raþir þei tooken up þerefro þe seed of grace.”

In his Middle English Vocabulary, Tolkien cites this form of the preterite (spelled with one o). Under tok(e), token, Tolkien directs readers back to take(n). The source to which Tolkien points readers is from The Gest Hystoriale of the Destruction of Troy, an alliterative romance by an unknown “journeyman poet”, based on the Latin Historia Troiana of Guido de Columna (1287). The word occurs in a passage in Book XXXI of the poem:

Thus tho lordes in hor longyng laghton þe watur,
Shotton into ship mong shene knightes,
With the tresowre of þe toune þai token before,
Relikes full rife, and miche ranke godes. (emphasis added)

[Thus those lords in their longing put out to sea,
Sprang aboard ship among their fair knights,
With the treasure of the town they had tooken before,
Rife with relics, and many fine goods. (translation mine)]

For those who fancy another fancifully Tookish Tolkien connection to the word, I’ve tooken up the subject before.

Probably the best known author to use tooken is Geoffrey Chaucer. A few examples: “And tooken awey this martir from his beere” (The Prioress’s Tale), “yet tooken they noon heede of the peril” and “And right anon they tooken hire wey to the court of Melibee, / and tooken with hem somme of hire trewe freendes” (both from The Tale of Melibee). Chaucer’s contemporary, John Gower, also used this form of the word.

So, you may say, it’s all very well and good to show that tooken was once a valid form, hundreds of years ago, but what has the word done for us lately? Well, as it happens, it’s still being used in dialectal forms. It’s true these are usually looked down on by prescriptive grammarians and those of us who have taken their suggestions as holy writ, but there is absolutely no reason to take a condescending attitude toward dialect. If you’re inclined to, I daresay you’re not a big fan of Mark Twain!

Speaking of Twain, he and his contemporaries were tooken with tooken too. Toward the end of the nineteenth century, tooken is conspicuous in Joel Chandler Harris’s Uncle Remus stories, a collection that sought to reproduce post-Reconstruction African-American dialect. Setting aside the controversy about their content, the dialect in these stories comes quickly to the fore. “Brer Rabbit,” says Brer Tarrypin at one point, “I’m dat tickle’ twel I can’t shuffle ’long, skacely, en I’m feared ef I up’n tell you de ’casion un it, I’ll be tooken wid one er my spells whar folks hatter set up wid me kaze I laff so loud en laff so long.” And another point: “Brer Fox talk so close ter de fatal trufe, dat Brer Wolf got tooken wit de dry grins” (emphasis added in both quotations).

In addition to the American South, tooken persisted in the Scottish North. To give one example, there is John Joy Bell’s Wee Macgreegor (1902), an early story of a familiar challenge: getting a small child to pose for a photograph. “What for dae folk get likenesses tooken?”, Wee Macgregor asks his father. In this case, it’s because his mother wants one to give to his grandfather. But “I’m no’ wantin’ to be tooken, Paw,” he complains. Typical. When he’s finally convinced, he asks, “Maw, wull I get ma likeness tooken wi’ ma greengarry bunnet on?” He wants to keep in on. Okay, so then, “Can I get makin’ a face when I’m getting’ ma likeness tooken?” No. In front of the camera at last, the photographer begins to count to three. Wee Macgregor can hardly sit still, then blurts out, “Am I tooken, Paw?”, to which his father replies, “No’ yet, Macgreegor, no’ yet. Ye near spoilt anither photygraph. Keep quate, noo.” The photos are finally taken, but when they arrive, Wee Macgregor is disappointed that the tassle on his cap, which is black, didn’t turn out red in the picture. He had specifically requested his father to tell the photographer to make it red! It’s a cute story about being flummoxed by new technology, a bit like Tolkien’s Mr. Bliss.

Six hundred years after Wiclef the Bible translator, there’s another man of a similar name, still using the word today: Wyclef Jean, the Haitian rapper and former member of The Fugees. In “Year of the Dragon” from his debut solo album, The Carnival (1997), Jean recalls “comin’ from Haiti, growin’ up in Brooklyn / On Flatbush got my first sneakers tooken”. And in the African-American dialect of today, we keep seeing tooken — Jay-Z, Lil’ Kim, Eminem, Black Eyed Peas, Lil’ Wayne. Some will complain that the use of tooken by rappers is of the “tooken isn’t a word!” variety — that is to say, it’s wrong. Some say that you can’t take advice about usage from rappers, because they’re on the fringe of language; they don’t get it; they never learned how to speak properly; etc. Actually, a great rapper is a genius with language, stretching it to the most imaginative limits. Complaining that rappers are wrong is just prescriptive grammar again.

Descriptive grammarians, on the other hand, would argue that since tooken is being actively used, then of course, it clearly is a word. We should merely document when, how, and by whom it’s being used. And if you’re still with me at this point, you’ve realized that it’s not new either; tooken has been a word for centuries. It may not be taught in school, but perhaps that’s just a kind of prejudice. The gatekeepers of language always have their reasons for keeping certain words — or certain people — out. Me? I say the more words, the better. Our children are right to try and force tooken back on us. Will it ever make it into the grammar books? Maybe one day — if enough of us are tooken with it.

Friday, August 10, 2012

Esgaroth — what’s in a name?

This is a name I’ve been thinking about for a long time. The bulk of the notes on which I will be drawing for this post are already over a year old, and some of these thoughts are a lot older than that. The name has come up again and again in recent years — in Mark Hooker’s Tolkienian Mathomium, in John Rateliff’s History of The Hobbit, in Parma Eldalamberon 17, in Mark Hooker’s new book, Tolkien and Welsh, and so on — and each time I’ve been prompted to ponder the name a little bit more. With the impending Peter Jackson film adaptation of The Hobbit, the name will be at the tip of everyone’s tongues again soon enough. I think I finally have a gloss I like, but first, let’s review the state of the name.

Esgaroth does not appear in the “Nomenclature” Tolkien prepared for translators of The Lord of the Rings. This is not terribly surprising since the name is associated with The Hobbit, and occurs only a few times in The Lord of the Rings, mainly in connection with the earlier tale. Robert Foster did not attempt to gloss the name in his Complete Guide (1971, rev. 1978). Ditto J.E.A. Tyler in his Tolkien Companion (1976, rev. 2004). Neither Foster nor Tyler even guesses at the language, though it has usually been assumed to be Sindarin. Jim Allan doesn’t have very much more in his Introduction to Elvish (1978) — “[c]alled ‘Lake-town’ in Common Speech, which may be a translation” — though he does commit to identifying the name as Sindarin. In The Languages of Tolkien’s Middle-earth (1974, rev. 1980), Ruth Noel says the name means “Hiding Foam” (Sindarin esgal “hiding” + roth < ros “foam”). David Salo, surprisingly, omits Esgaroth from his Gateway to Sindarin (2004) entirely.

We learned something of Tolkien’s thinking about the name when the Eldarin Etymologies were published as part of The Lost Road (1987). Under a root √ESEK, Tolkien glosses Esgaroth as “Reedlake, because of reed-banks in the west”. Uh, what reed-banks in the west? Actually, this wasn’t merely an afterthought. In one of their songs, the Dwarves recall that “the reeds were rattling”, and the Elves likewise sing that the barrels of Lake-town will go “Past the rushes, past the reeds, / Past the marsh’s waving weeds”. So, although it is never really pointed out, there must be reeds in and around the Long Lake. Okay, moving on.

John Rateliff comments on Esgaroth and its etymology in The History of The Hobbit (2007, rev. 2011). John has the benefit of Tolkien’s explanation in the published Etymologies, which so many earlier thinkers did not, but he wants to reject it. He doesn’t like the fact that the name should apply to the body of water, the Long Lake, but actually applies to the town. He proposes an alternative etymology, again Sindarin: “city standing in or rising up out of the water, perhaps with a suggestion of pilings like reeds”. John’s instinct that the gloss in the published Etymologies isn’t altogether reliable may have some support from an unexpected quarter: Tolkien himself. In the “Addenda and Corrigenda to the Etymologies” (Part Two), published in Vinyar Tengwar No. 46 (July 2004), Tolkien himself has offered up a completely different gloss. Here we have pieces of Tolkien’s etymological thinking about names of Eldarin origin which were omitted from the version published as part of The History of Middle-earth. Under the root √SKAR², Tolkien explicitly glosses esgar as “shore” and esgaroth as “?strand-burg”. The question mark identifies cases where the editors had particular difficulty reading Tolkien’s handwriting. And editors Carl Hostetter and Patrick Wynne note that this is also a “[h]astily written entry not included in the published text”. John does not mention this additional gloss in his book (including the revised edition published last year). Neither does Mark Hooker.

A year before John’s book was published, but two years after the addenda in Vinyar Tengwar, Mark floated — no pun intended — an entirely new theory in his Tolkienian Mathomium (2006). Mark seeks glosses for Tolkien’s words and names from outside Middle-earth, as indeed I often like to do, and as indeed I will do again very shortly. Mark’s view of the name is that it is really of Celtic origin and means something like “an enclosed or guarded encampment on the water” (cf. Celtic elements es, ys, is, etc. “water” + gardd < garthan “enclosed encampment”).

In the summer of 2007, a year after Mark’s book and in the same year as John’s, we got Parma Eldalamberon No. 17, “Words, Phrases and Passages in The Lord of the Rings”. Although it is easy to miss, there is a peculiar reference to Esgaroth in this work. “Galion and Esgaroth are not Sindarin (though perhaps ‘Sindarized’ in shape) or are not recorded in Sindarin” (p. 54). Well indeed! Now, untangling exactly when Tolkien thought what about which root element is a very tedious exercise, and one, moreover, that is likely to remain inconclusive anyway. Nor is it of major importance here. The point I’d like to make is that Tolkien was clearly not sure about Esgaroth. It seems it was one of those words which had sprung up in his imagination without an etymology, for purely phonaesthetic reasons, and which he had some difficulty fitting into the development of his Elvish languages. Instead, he offers two totally different etymologies, plus a statement that it might not even be Sindarin at all! There are plenty of other examples of this elsewhere in the legendarium (e.g., see “The Problem of Ros”, published in The Peoples of Middle-earth).

When Mark Hooker returned to this word in his new book, Tolkien and Welsh (2012), he expanded on his view that the name was a hydronym of Celtic origin. I read that book in draft and commented to Mark on Esgaroth at the time (almost a year ago now). I told him that while I felt he had a reasonable, perhaps defensible Celtic gloss for the word, I still had a nagging feeling about it. Why Celtic, when everything else in the region is Norse? I felt that Celtic names might make sense in Bree and the Shire (in the west), but not in Dale and its environs (in the northeast). Tolkien was very clear, at many points in his notes and essays, that the words and names of the northeast had a Norse character — seen from outside Middle-earth, of course. Just as Dale, Bard, Smaug, and the names of all the Dwarves, plus Gandalf, are obviously Norse in form, why not Esgaroth?

Pursuing this line of reasoning, I have always thought there ought to be a clear Norse gloss for Esgaroth, but developing a theory I could defend has taken a while. Mark replied that most of the Norse words with the sound envelope that he could think of had meanings to do with oak trees. Mark thought this was a long-shot to explain a word he took to be a hydronym. I’d seen the same words myself, and some others, and it has taken some ruminating, but now I think I can share some new ideas. I meant to post this in August 2011, not August 2012, but, well, the days and nights got away from me!

I agree that Norse readings relating to eik “oak” might seem a bit improbable — at first. However, there is the fact that Lake-town is built up on wooden piers, so why not start there? There is also the conspicuous name Oakenshield, taken directly from the Norse eikenskjaldi. And don’t forget that the northeastern part of Mirkwood consisted in large part of oak trees. It was a giant oak that Bilbo climbed when the Dwarves hoisted him up to attempt to determine whether they were any nearer the end of their journey through the dark wood. Though they didn’t know it, they were. The Elvenking carried “a carven staff of oak” too. And the trapdoors out of which the Dwarves and Bilbo escaped the Elvenking’s realm were made of oak. Oak is obviously big in this part of Middle-earth! We aren’t told of what type of wood the piers of Lake-town were fashioned, but why not oak? It’s a good choice, and abundant in the right part of Mirkwood. It could have been pine — there were pine trees in that part of the country as well — but mighty Norse eikr suit the name of the town well.

For the second element, there are some “water words” that pop up in the Norse lexicon — e.g., sker “a rock in the sea, a skerry” or skári “a young sea-mew” — but compounds of any of these really strain credulity. But there is skorða “to prop, support by shores”. Aha! So eik + skorða would mean “to prop up with oak”. The k and s could easily swap spots (metathesis is one of the most common linguistic processes; cf. Old English áscian, ácsian “to ask”). This could give us *Eiskorða, which is very close indeed to Esgaroth. Close enough to satisfy me, at any rate, though if anyone can think of an objection, do let me hear from you.

Another word that might inform the toponym is the Old Norse verb, eiskra “to roar, rage”. This could be a reference to water, perhaps the waterfalls on the edge of the Long Lake, or just as likely a reference to the dragon. Moreover, there is auðr, with two compelling meanings: as a noun, it’s “riches, wealth”; as an adjective, “empty, void, desolate”. The compound *Eiskrauðr might therefore imply “roaring desolation” or “raging riches” or something similar. Naturally, from a point of view inside the history of Middle-earth, Esgaroth wouldn’t have gotten its name because of the dragon, but Tolkien could have bestowed such a name on it from the outside, perhaps unconsciously. There is even an echo in the Noldorin asgar, ascar “violent, rushing, impetuous”.

But this strikes me as not particularly likely. It might just be a secondary echo in this case, albeit a fortuitous one. Given the options, I think the real solution is *Eiskorða, meaning something like “a city propped up on oaken piers”. What do you think?

Friday, January 27, 2012

Another Gandalf who signed himself with a G.

Probably because of their success in Austin, food trucks have now arrived in Dallas. One of these is Gandolfo’s Deli, and this got me thinking about the name, Gandolfo, as a variation on Gandalf. I’ve seen it before — Castel Gandolfo, for one, is a town in Lazio, about a half-hour drive south of Rome, and the likely site of the fabled Alba Longa. I actually came within 100 km of this small town when I visited Italy in 2005. Most of our time was spent in Tuscany, but we made a couple of ventures into Umbria and Lazio as well — the latter, to the environs of Vacone, an even smaller località than Castel Gandolfo.

We know that Tolkien’s Gandalf has a Germanic name, specifically Old Norse. Tolkien borrowed the name from the Dvergatal section of the Völuspá (it also appears in the Ynglinga Saga, part of the Heimskringla of Snorri Sturluson [1]). I need not unduly repeat myself and others here (for one example, a long time ago, you might want to read this), but we can gloss the name as gandr “wand, magic staff” + álfr “elf, fairy”. So much is well known, but what of the name, Gandolfo? Is it related, or merely coincidentally similar? Should we expect Gandolfo to have a Romance etymology, rather than a Germanic one? If so, I can’t come up with anything plausible — anyone have any ideas? — so I am inclined to think it may have been borrowed into the Italic branch from the Goths, Franks, Lombards, Bretons, or another Germanic tribe of Late Antiquity. More on these etymological ruminations in a bit. First, back to Gandolfo.

What is its provenance? As with most things Italian, we start by looking directly to Latin. In this case, we would expect to find something like Gandolphus or Gandulphus. There are a number of historical figures with this name, and one in particular jumped out at me: Magister Gandulphus, a medieval canonist of twelfth-century Bologna (d. ca. 1185), and author of Sententiae. Gandulphus was a contemporary of the better known Peter Lombard (d. 1160), bishop, canonist, and author of Libri Quattuor Sententiarum. This was a much more influential work in medieval theology, one on which no less than Thomas Aquinas wrote commentaries a half-century later, but the Sententiae of Gandulphus were every bit as important in their day. In fact, “[t]he two works [appear] so similar in purpose, method, and content […] that some have been tempted to find the work of Peter Lombard in debt to the writings of the Bologna canonist” [2]. Some have even gone so far as to use the “p word” (plagiarism) — though to be fair, I’ve seen the same charges being made in the other direction as well.

Now I have no idea whether — and no particular reason to think that — Tolkien was familiar with this Gandulphus, not in the way we know he was of the semi-legendary Norse figure, but it is an interesting coincidence that the writings of Gandulphus were identified with a siglum. The signing of glosses and other writings with sigla is not unusual, but in this case, it does catch the eye. Gandulphus used various sigla in the extant writings — g., G., Ga., Gan., and Gand. are all recorded [4]. Of these, the siglum, G., is especially tantalizing, since it is also Gandalf’s sign. Readers of Tolkien will remember that Gandalf used the same siglum to mark his fireworks (in two different runic alphabets), to sign the letter he left for Frodo in Bree, and (apparently) to mark a stone on Weathertop.

So it appears that we have two personages with the name Gandalf (allowing for spelling), both signing their writings or otherwise identifying themselves with a G. I don’t mean to imply a direct borrowing here — with all that we know of the history of Tolkien’s Gandalf, it would seem unlikely that Tolkien had yet another source. Nor would he need a source to tell him that Gandalf should sign with his initial; that could proceed perfectly naturally from the character alone. But it is a surprising coincidence to find a real and a fictive Gandalf both doing this. The Norse Gandalf does not — not that we know very much about him.

So, to return to the etymology. The meaning of the first Norse element is, in fact, a bit unclear. It seems to have something to do with wizards, their magic, and/or the equipment by which they work it. It’s often calqued as “wand”, but this implies (incorrectly) that the Modern English reflex for ON gandr is actually “wand”. It isn’t. English wand is indeed borrowed from the Scandinavian branch (no pun intended!), but from ON vöndr “wand, switch, twig” — cognate to Gothic wandus < *bi-windan “to wind”. The second element definitively means “elf, fairy” and is a mainstay of Germanic anthroponymy (Alfred, Alvin, et al.). It is unattested in Gothic, but would have been something like *albs [3]. In theory, a third- or fourth-century Gothic or Lombardic name along the lines of *Wandalbus or some such could have been introduced into Latin as Gandolphus. What about the change in the vowel from front (a, æ, e) to back (o, u) — does this rule out a gloss of “elf”? No indeed. The Modern English oaf is one of several dialectal variations on elf. Drayton used the form aulf, Shakespeare ouphe. The idea was that an elf-child or “changeling” was sometimes left in place of a newborn baby, and that this child showed itself to be foolish, simple, or contrary-minded — that is, elf in the ancient sense became oaf in the modern sense.

It should be mentioned that there is an alternative theory. While most lexicographers agree that oaf derives from elf, it has been argued that oaf derives rather from auf “owl” (among its cognates, Old English úf, Old High German úvo, and Old Norse úfr “a bird of unknown kind”). Compare this to Italian gufo “owl”, and likewise compare French goffe “dull” and Modern English goof. This is one of a series of bird-names used metaphorically for silly, foolish, or mentally defective people — e.g., cuckoo, booby, dodo, gull (cp. gullible) — making it a pretty strong contender to explain the word oaf. But of course, this seems less likely to be the explanation for the second element in Gandolfo — unless Gandolfo was originally the name of a country clown or court jester.

So unless a reader can unearth an alternative explanation for the independent development of this name in the Italic family, I’m going to presume that it was most likely borrowed into Latin from one of the Continental Germanic tribes during the early centuries A.D., as were many other names, and that it has the same meaning as the Scandinavian Gandalf. That Tolkien’s Gandalf — a kind of angel, really — would bear some similarities to Gandulphus — not an angel, but a medieval Italian canonist [5] — is probably just an entertaining coincidence. But one, I think, worth spending a few words on. :)


[1] There are some eye-catching tidbits in the Ynglinga Saga as well (in addition to elements I discussed in my essay on Tolkien and the Heimskringla, which has been reviewed favorably). One passage, for example: “Olaf came to the kingdom after his father. […] He had Westfold; for King Alfgeir took all Vingulmark to himself, and placed his son Gandalf over it.” Olaf, though unrelated to elf, looks rather like it. Alfgeir is related to elf, and may be glossed “elf-spear”. Westfold, a part of the Vingulmark, of course, would cause any reader of Tolkien to sit up! There is also an Eastfold. But again, most likely no more than coincidence.

[2] John F. Sweeney, S.J. “Book Review of Le Mouvement Théologique du XIIe Siècle: Etudes, Recfarches et Documents, by J. de Ghellinck.” Theological Studies 11 (1950): 627–30, p. 628.

[3] William H. Bryson. Dictionary of Sigla and Abbreviations to and in Law Books Before 1607. Charlottesville: University Press of Virginia, 1975, pp. 72–3. See also Wilfried Hartmann and Kenneth Pennington. The History of Medieval Canon Law in the Classical Period, 11401234: From Gratian to the Decretals of Pope Gregory IX. Washington, D.C: Catholic University of America Press, 2008., pp. 73–4.

[4] This is one of the difficulties with Gothic. Its limited surviving lexis is skewed toward Christian words and away from the older pagan Germanic traditions. A sad loss in the native word-stock, one which would be repeated some five or six centuries later in England.

[5] There is a Saint Gandulphus as well, or more than one, distinct from Magister Gandulphus of Bologna. Of one St. Gandulphus, it has been written that “Many Persons derided his Miracles, and even his Wife scornfully told him, that he performed them just as she farted: Whereupon she violently broke Wind, and continued to do so, whenever she spoke a Word, on the same Day of every Week to her Death” (George Lavington. The Enthusiasm of Methodists and Papists Compared. Volume I. London: J. and P. Knapton, 1754, p. 202; italics original). Let that be a lesson never to insult the magic of a wand-elf!

Monday, November 28, 2011

Tolkien’s translation conceit — new evidence?

As you probably know by now (and if not, read this), HarperCollins is publishing several new books, both this year and next, to celebrate the 75th anniversary of The Hobbit — “a literary party of special magnificence”, as it were. One of these, “the flagship book of the anniversary year” according to David Brawn, is The Art of The Hobbit, edited by Wayne G. Hammond and Christina Scull. I have had my copy for a few days now, dipping in here and there, and it is simply gorgeous!

It’s a beautifully produced coffee-table book, an oversized hardcover, slip-cased like the original Pictures by J.R.R. Tolkien (1979). The new book attempts to collect together in one place every known sketch, drawing, and painting Tolkien made with any connection to The Hobbit — more than 100 of them! Many have never been published before, and of those that have been, some are reproduced in color for the first time. Many are larger than the reproductions in earlier books.

The editors have written a short but valuable introduction, as well as running commentary on the works, which they present in the order of the events from the novel that they represent. This commentary is kept to a minimum, allowing the artworks to speak for themselves. Four gatefolds show the evolution of particular scenes — Hobbiton, Rivendell, The Elven-king’s Gates, and the Forest River. Another page brings together every known illustration of Bilbo for easy comparison. In a nutshell: it’s a must-have!

In perusing the artworks, I’ve noticed a few interesting things already. For instance, on the reverse of Death of Smaug, Tolkien wrote some calligraphic lines pertaining to the story, in one of which he refers to “Elrond the half-elfin” — quite a late date for the spelling Tolkien rejected (consistently preferring “elven” from this point on).

Another interesting thing is some Old English and Old Norse associated with Thror’s Map. Actually, there is some Elvish as well — a bit of ammunition for those who argue (as John D. Rateliff does) that The Hobbit was far more connected to Tolkien’s legendarium than many people believe — but I will leave that to the Elvish scholars!

As you will recall, Thror’s Map contains some ordinary runes, which say in English, “five feet high the door and the three may walk abreast”. In a pen-and-ink drawing of “Thror’s Map, Copied by B. Baggins”, Tolkien has added a mostly legible passage in Old English translating the same passage: “fif fóta heah is se duru and þrie mæg samod [?] þurhgangend” [1]. The question mark is a tiny scrawl which seems to have been meant for insertion, but I can’t even pretend to read it. Another word, above duru, has been erased. Leaving these out, the Old English literally means, “five feet high is the door and three may together going-through.” If this look ungrammatical, it’s because it is. The word þurhgangend (which actually ought to be þurhgangende) is a participle; I think Tolkien should have used the infinitive, þurhgangan.

More interesting, but more difficult, is an Old Norse translation of the Moon-letters. To refresh your memory, the moon-letters on Thror’s Map run, again in English: “stand by the grey stone when the thrush knocks and the setting sun with the last light of Durin’s Day will shine upon the key-hole.”

The Old Norse is very hard to read, in places totally illegible — to me, at least. Have a look at the text (above) and see if you can add anything to my transcription. The best I can do is something like this:
Staltri[?] hjal{la}[?] steininum þeima[?] hvenar[?] grá[—?]
Þar sein[?] þrostr[—?] þa nein[?] sól
Søkkvandi[?] með nogh[?] lys[?] Durnis dags
L[?]j[?] [?] lykill[?] [?] [2]
As you can see, I’ve numbered the words in the image at the top of the post, leaving out a couple which are (partly) repeated in the main passage. Let’s see what we can make of it! Update: Make sure you read the comments below, where bits and pieces are teased apart and worked out. I’m not going to revise the numbered list below (at least, not for now), so that you can follow my first thoughts.

1) This should be a verb meaning “stand”, but I’m puzzled right from the outset. The Old Norse verb I would expect to see is standa “to stand”, but I’m not sure what we’ve got here. I can’t find anything in my sources to explain it. I could certainly be transcribing it incorrectly, but there’s no way it’s a form of standa.

2) This appears to read hja, but notice the extra squiggle below? It looks like this might be hjalla, a form of hjalli “a shelf or ledge in a mountain’s side”. This would be the ideal word-choice for the sheltered bay where the Secret Door is located, but if I’m reading this correctly, then the Norse word, an addition by Tolkien, doesn’t correspond to anything in the English moon-letters.

3) Surely steininum — and finally a word I am pretty sure I am reading correctly. This is the definite dative plural of steinn “stone”, but it’s often translated in the singular. Here, following the English closely, it means “near, by the stone”.

4) This could be þeima “to this, to them”, but it’s hard to be sure.

5) Not much more than a squiggle. Tolkien himself seemed to realize he was jotting too hastily and went back over the beginning of the word to clarify it. Based on where we are in the moon-letters, it looks like it might be hvenar “when”.

6) All we can read we any confidence is grá—, but since grár is “grey”, it must be something along those lines.

7) Legible again! Þar is “there, at that place”.

8) This probably should be the verb “knocks”, but it is pretty much impossible to read. This word looks like it might be sein, senn, seim, or something like that. To translate “knock”, Tolkien probably ought to have opted or of knía “to knock, strike (poet.)”, but he could have used drepa, banga, klappa, or another word of the same sort. If the word is something like senn, it would mean “chatter”, which I suppose could work as a substitute for the knocking of the thrush. But I doubt this is the right answer, because it would be hard to explain such a departure from the English. I’m at a loss.

9) Although the word fades away into a mere scribble, this is without a doubt a form of þröstr “thrush”.

10) The word appears legible, which is a problem, because it appears to read þa, and I know of no such Old Norse word. I am going to make a daring suggestion: that Tolkien inadvertently code-switched into Old English, where þá is a conjunction meaning “when, then”. This fits the moon-letters very well at this point in the passage, so I think it’s plausible. On the other hand …

11) This squiggle could be hvenar, if we allow Tolkien a totally misshapen h. This would do the job of the conjunction “when, then”, discussed in the previous point. But I really can’t read this word. It looks more like it begins with an n, not an h. Anyone have any idea?

12) Another clear word: sól “sun”.

13) In Old Norse, the “setting of the sun” is usually rendered sól at setri komin. But søkkrendi means “sinking”, which is perfectly a propos here as well.

14) Although difficult to make out, this is certainly með “with”.

15) Anyone? Anyone? I can’t make this out.

16) This looks like is must be a form of lýsa “gleam, shimmering light” or lýsi “lighting, brightness”, though the appropriate grammatical ending is lost or omitted.

17) This is clearly Durnis, the genitive of the proper name, Durin, meaning “Durin’s”, and …

18) This is clearly dags, genitive of dagr, meaning “of day”; hence, “of Durin’s Day”.

19) This is hard to make out. It seems to begin with an l, and to contain a j, but I’m not sure what the loopy ascender is. In any case, we are looking for something like ljóma “to shine”, which seems to be quite close to what Tolkien scribbled.

20) This word is scratched out, so I think we should conclude Tolkien rejected it and move on.

21) This word is scrawled well enough to make out lykill “key”.

22) I can’t read the last word at all: nothing but a descender, a scribble, and an ascender. It could be almost anything. But “hole” should be hola, or perhaps auga “eye”. Neither seems to fit this blob, but it must be the second element of the compound “key-hole”.

So, allowing for Tolkien’s untidy scrawl and a few mystery words, this is plainly pretty close to the original English passage represented by the moon-runes on Thror’s Map. Why would Tolkien bother to translate these Dwarvish instructions into Old Norse? Why is this significant? Was it merely a personal amusement, or was it perhaps more?

As we all know, the names of the Dwarves are Norse names, drawn from the Völuspá, but until now, there haven’t been any other significant signs of the elaborate “translation conceit” in The Hobbit. One could just as easily hypothesize (and I suspect it usually has been hypothesized) that the translation conceit Tolkien describes in the Appendix F to The Lord of the Rings emerged later, as a way to explain away the choice of Old Norse names from the earlier book, long ago committed to and unavoidable now in the sequel. But this jotting suggests the conceit might have begun to take shape earlier than previously thought.

I have had reason to suspect this before, actually. The real formalization of the conceit certainly must have emerged later, in fact, in February, 1942 [3]. But this translation into Old Norse suggests that Tolkien was playing with the idea of representing much more than just the names of the Dwarves in The Hobbit as Old Norse. As early as December, 1937, Tolkien admitted that “[Old] Icelandic was in a foolish moment substituted for the proper language of my tales” [4]. Not just the names, but also the language, it seems Tolkien is saying. And here, in The Art of The Hobbit, is a bit of hard evidence to back this up! The map, in fact, predates the letter to Selby by at least a few years, implying that a nascent translation conceit may have been swimming around in Tolkien’s mind for a good deal longer than previously thought. Amazing, isn’t it, the things you notice when you hold a map up to the light!


[1] Art of The Hobbit, bottom of fig. 25, p. 51.

[2] Art of The Hobbit, middle of fig. 30, p. 56.

[3] See The Peoples of Middle-earth, p. 70, where Tolkien first jots down the rubric of Old English for Rohan, Old Norse for Dale (and the Dwarves of the region), etc.

[4] Tolkien makes this rather significant admission in a letter to G.E. Selby, dated December 14, 1937. Christopher Tolkien quotes a selection from this letter in his foreword to The Return of the Shadow (p. 7) — but not the passage I have quoted. The complete letter to Selby was printed in the exhibition guide, J.R.R. TolkienThe Hobbit: Drawings, Watercolors, and Manuscripts, Patrick and Beatrice Haggerty Museum of Art, Marquette University, June 11–September 30, 1987, p. [4].

Wednesday, November 16, 2011

Beware the Neekerbreekers

“There were also abominable creatures haunting the reeds and tussocks that from the sound of them were evil relatives of the cricket. There were thousands of them, and they squeaked all round, neek-breek, breek-neek, unceasingly all the night, until the hobbits were nearly frantic.” [1]
Neekerbreekers (as Sam calls them) are an incessantly noisy insect species inhabiting the Midgewater Marshes, about three days’ east of Bree. In the “Nomenclature of The Lord of the Rings”, Tolkien explains that this is “[a]n invented insect-name” and that translators should render it by an “invention of similar sound (supposed to be like that of a cricket)” [2].

This is straightforward enough. Tolkien suggests the name is onomatopoeic. As Steve Walker succinctly puts it: “Neekerbreekers sound their name” [3]. My friend Mark Hooker has aptly noted a parallel in H. Rider Haggard. In his novel She, there are “sullen peaty pools” filled with “musqueteers”, “tens of thousands of the most blood-thirsty, pertinacious, and huge mosquitoes” [4]. What else can I add to these clear-cut comments? Maybe a bit more.

First, consider that the word mosquito itself, a Spanish diminutive of Latin musca “fly, gnat”, is thought to be imitative in origin too (cp. Greek μύζειν “to mutter”). Cognates in the Germanic languages include Old High German mucca, Middle High German mücke, Middle Dutch mugge, Old Saxon muggia, Old Norse , and Old English mycg, from which we derive the Modern English midge — as in Midgewater Marshes. That’s rather a nice coincidence, and possibly a bit of ammunition for Mark’s case that Tolkien may have had Haggard in mind.

Second, something else struck me recently. This is a bit more of a stretch, but I offer it as food for thought. Consider this passage from Laȝamon’s Brut
Þat is a seolcuð mere | iset a middel-ærde
mid fenne & mid ræode | mid watere swiðe bræde
mid fiscen & mid feoȝelen | mid uniuele þingen
Þat water is unimete | brade nikeres þer ba[ð]ieð inne
þer is æluene ploȝe | in atteliche pole.
For those whose Early Middle English is a bit rusty: “It is a strange lake, set in Middle-earth, with marsh and with reed, with waters exceedingly broad, with fish and with fowl, with evil things. The water is immensely wide, nickers bathe in it, there elves play in the dreadful pool.”

The passage has the Dead Marshes dead to rights, don’t you think? But perhaps there is a hint of the Midgewater Marshes with its neekerbreekers as well. After all, what are these Middle English nikeres, which I translated above as nickers?

The word usually means something like a water-monster, sprite, sea-goblin, siren, mermaid, etc., depending on the tale in which it appears. It is the source of the folkloric nixie (a kind of water sprite), and it has cognates in all the Germanic tongues — e.g., MD nicker, ON nykr, OHG nichus, and OE nicor. The latter has been glossed as hippopotamus and crocodile, but OE nicor, as well as the compound nicor-hús “nicker-house”, occur throughout Beowulf to describe sea monsters and their lairs. Indeed, the haunted mere in Laȝamon’s Brut is sometimes compared in the scholarly literature to the abode of Grendel’s dam in Beowulf. As C.S. Lewis put it: “[Laȝamon’s] nikeres and their pool might have come straight out of Beowulf.” [5]

The word survived into Modern English, spelled nicker, though it has been obsolete for a long time now. The Oxford English Dictionary defines it as “a supernatural being supposed to live in the sea or other waters; a water-demon, a kelpie. Formerly also (in Middle English): a siren, a mermaid (obs.).” E.R. Eddison used it as late as 1922 in The Worm Ouroboros: “on the walls strange portraitures: lions, dragons, nickers of the sea, spread-eagles, elephants, swans, unicorns” [6], but otherwise, the word is all but dead.

Is there any reason to think Tolkien had this word in the back of his mind when he invented the neekerbreekers? Not a strong reason, certainly, though it’s fun to imagine he might have. Why not? The neekerbreeker is an abominable creature inhabiting a marshy region in Middle-earth — and precisely the same could be said of the nicker, nikere, nicor, however you wish to spell it. Admittedly, “evil relatives of the cricket” are not quite the same as water-demons, but the phonological envelopes of both the real-world word and the first part of Tolkien’s are identical. The second half is probably an imitative reduplication, not at all uncommon in English.

In any case, I think it’s fair to say neekerbreekers are best avoided. They might be no more than noisy crickets, but maybe not. Better safe than sorry. ;)


[1] J.R.R. Tolkien. The Lord of the Rings. 50th anniversary ed. Boston: Houghton Mifflin, 2004, p. 183.

[2] J.R.R. Tolkien. “Nomenclature of The Lord of the Rings.” The Lord of the Rings: A Reader’s Companion. Ed. Wayne G. Hammond and Christina Scull. Boston: Houghton Mifflin, 2005, p. 760.

[3] Steve Walker. The Power of Tolkien’s Prose: Middle-earth’s Magical Style. New York: Palgrave Macmillan, 2009, p. 23.

[4] Mark T. Hooker. A Tolkienian Mathomium: A Collection of Articles on J.R.R. Tolkien and His Legendarium. Llyfrawr, 2006, p. 148.

[5] C.S. Lewis. Studies in Medieval and Renaissance Literature. Cambridge: Cambridge University Press, 1966, p. 28. And for much more on the mythological background of the nicor, including older theoretical underpinnings in Roman and Greek mythology, see Jacob Grimm’s Deutsche Mythologie, especially Vol. II, Ch. XVII.

[6] E.R. Eddison. The Worm Ouroboros. New York: Albert & Charles Boni, 1926, p. 192.

Thursday, April 14, 2011

Umlaut and Tolkien

I suppose the first question, for many of you, is what is umlaut? This is a term people like me throw around a lot, often without stopping to consider the confusion among non-philologists. “Non-philologists”, I suppose, is another way of saying, 99.999% of the human race. ;)

Put simply [1], umlaut is a phonological process whereby the pronunciation of a vowel is influenced by the vowel (or semivowel) in the subsequent syllable. This sound change comes in many different flavors, some more common than others. In the Germanic languages, umlaut frequently refers to a more specific sound change where vowels are raised or fronted [2] under the influence of i or j in the following syllable. For these reasons, when speaking of Germanic umlaut, the synonymous terms “i-mutation” and “fronting” may be encountered (you will sometimes also see “palatal umlaut”). This sound change occurred in all the Germanic languages except for Gothic. [3]

As for why one vowel changes under the influence of another, there are two basic views. Randolph Quirk and C.L. Wrenn may have summarized it best: “The generally accepted phonetic explanation […] is that the high front i or j palatalised the preceding consonant and that this in turn pulled the vowel of the stem towards its own position, raising or fronting it. […] This theory may be called ‘mechanistic’, because it is based entirely on the assumed workings of the speech-organs. An alternative explanation is that in pronouncing the back vowel in the root-syllable the speaker unconsciously allows his mind and his tongue to ‘anticipate’ the i or j that is to come in the immediately succeeding syllable, […]. This is a ‘mentalistic’ or psychological theory of i-mutation. The orthodox view of articulatory influence through the consonant is a theory of attraction and assimilation, while the mentalistic view is one of anticipation.” [4]

Since some eyes may be glazing over at that, let me make this a little more plain: i is basically the highest, frontmost vowel there is. It’s so high and so fronted, that it can’t help but pull other vowels toward its point of articulation; not to do so would put a much greater strain on the speech process, and if there’s one sure thing we can say about the speech process, it’s that it’s lazy. It will always take the path of less resistance and least strain on the speech-organs.

Perhaps a few examples would help to make i-mutation clearer. Let’s consider Old English gold “gold”, and observe how the process worked. OE gold was originally *guld (cp. Old Norse gull, and Gothic *gulþ, attested only in the dative singular, gulþa). The suffix used to form the adjective “golden” is still clear in Modern English. We should have expected very early OE *gulden, which mutated by umlaut into gylden “golden”, the u “fronting” into the corresponding short front vowel, y. Subsequently, under the operation of a different sound change, the vowel is the noun, *guld, was lowered, giving us gold. In Modern English, the signs of umlaut in “golden” are long gone, but they were quite clear in OE gylden.

How about another? Think about Modern English “old”, “older”, “oldest”. Do you see where I’m going with this one? In more archaic English, of the type Tolkien often used to represent the speech of Gondor and Rohan, we see the forms, “old”, “elder”, “eldest”. Here umlaut survived into Modern English — for a while. Let’s have a look at the antecedent forms.

In Old English, these were eald, ieldra, ieldest. So, hmm, where’s the i or j we need to account for the fronting of the diphthong ea to ie …? You have to go further back. The original comparative and superlative suffixes in Proto-Germanic were *–izo, *–isto — there’s our vowel! By the time of Primitive West Germanic, the comparative had rhotacized to *–iro [5], while the superlative remained unchanged. By the time of Primitive Old English, this would have given us first eald, *ealdira, *ealdist, which would in turn have mutated by umlaut into the recorded forms, eald, ieldra, ieldest. These are the early West Saxon forms. In the later “classical” West Saxon of around the year 1000, these had eroded into eald, yldra, yldest. In the Mercian dialect (Tolkien’s favorite and mine), the situation looks at once more familiar: Old Mercian ald, eldra, eldest.

If you speak any German, this should look equally familiar, as the Modern German forms are alt, älter, ältesten. As you can see, in German, the vowel experiencing umlaut is still written as the same original letter, but a diacritical mark is placed over it to indicate the umlaut, and the pronunciation is indeed raised or fronted (from a to e).

As the last example shows, umlaut is still very much with us today. It’s typically associated with German, from which the process takes its name (umlaut is um “after” + laut “sound”). A couple more examples from German: Frau, but Fräulein. And schön from Old High German scóni. But though usually thought of in connection with German, it’s still present in English too.

Here’s something I’ve been building up to. Ever wonder why it’s Anglo-Saxon but English? Or why it’s Anglia, but England? Had I begun with this question, you might have been scratching your heads, but now you know the answer: the change from a to e is umlaut! In Old English, the angle were the Angles (as in Angles, Saxons, and Jutes), but the adjectival form of their ethnonym was englisc (originally *anglisc, acted upon by umlaut). And this is where we come to Tolkien. You may have wondered whether I’d live up to that promise, so dense has been the discussion up to now! Hopefully, you’re all still with me.

Tolkien was far more expert than I in matters of Germanic sound laws. He owned books with impressive titles like Laut und Formenlehre Altgermanischen Dialekte [“Sound and Morphology in the Old German Dialects”], and he read them in their original languages and made annotations and corrections in their margins. He was better versed in umlaut than I will ever be and would surely have found plenty to niggle at in my explanations of it. It should come as no surprise, therefore, that he worked examples of umlaut into his fiction (as he did so many other philological elements). I can think of three instances in The Lord of the Rings. If I’ve successfully communicated the basic idea behind umlaut, can you think of any? Pause here to put on your thinking cäp.

Here’s a hint: just like Angle/English, the examples of The Lord of the Rings are topo/ethnonymic.

So. Just as we have Angle, but English, Tolkien gives us Dunland, but Dunlending and Dunlendish, where the i in the final syllable causes the a in the second to be raised to e. This is as straightforward a case of umlaut as you could wish for. Interestingly, the words dún-land “down, hilly land” and dún-lendisc “hilly, mountainous” are attested in Old English, as are uppe-land and up-lendisc, both pairs clearly demonstrating umlaut in the real world. Returning to Middle-earth, another example from Tolkien follows the same pattern: Sunlands, but Sunlending, each used only once in the novel, in reference to the far southern regions of Harad.

And finally, again in connection to Harad and the Sunlands, what about the curious Shire word, Swertings? “Swertings we call ’em in our tales; and they ride on oliphaunts, ’tis said, when they fight,” Sam tells Gollum [6]. This is a little less obvious, but it must be the umlauted form of *Swartings, derived from swarthy, a word Tolkien often uses of the Harad-folk. The word swart or swarthy comes from Old English sweart “black” (Mercian *swart), cp. Old Norse svartr “black” and Modern German schwarz. In Old Norse, there is a proper name Svertingr, which probably carries a swarthy meaning and shows umlaut from svartr; likewise, probably, for the Swerting in Beowulf, though we can’t really say much about him. Also in Old English, swertling was used to gloss the Latin ficedula, a small passerine bird, dun or drab (or swarthy) in color. Today, ficedulae are Old World flycatchers of the order Passeriformes, but Bosworth/Toller supposed that swertling might be the titlark, a bird of the same taxonomic order, but different in family, genus, and species.

There you have it. Both real-world and Middle-earth examples, side by side. Put there, in fact, by one of the most gifted Germanic philologists the world has ever seen. Should we be surprised? Of course not! Is it interesting? Well, I certainly think it is, and I hope you agree. :)


More, and lengthier, notes than usual

[1] As complicated as this must sound to a lay reader, believe me, I have simplified it. The whole process is made more difficult by the fact that the i or j (especially the latter) frequently disappeared by the time the words in question were being set to parchment. Other processes of sound change might subsequently alter the vowels of the stem, inflexions, or both. Inflexions may have been lost entirely. Exceptions may have preserved root vowels where we would have seen umlaut. And so on. But at its simplest: i-mutation is the raising or fronting of a root vowel under the influence of i or j in the following syllable.

[2] Fronting and raising aren’t the same thing, though they’re closely related. Each vowel, like all speech sounds, is articulated at a certain location somewhere in the speech cavity, somewhere from the lips to the glottis (front to back), from the soft palate to the lower jaw (top to bottom). Fronting means that the articulation of a vowel moves from the back of the speech cavity toward the front (e.g., fool to foot to fur); while raising means a vowel moves from the bottom toward the top of the speech cavity (e.g., frond to friend to frill). Try pronouncing these groups of words and pay attention to how your tongue moves inside your mouth: forward with the first group of words, then upward with the second group.

[3] Actually, it might have occurred in Gothic, but two problems: the vast bulk of the Gothic we have is from the 4th century, which predates the umlaut process; and if umlaut did occur in Gothic, we don’t have any later texts that would show evidence of it. One would think it should have occurred in Gothic, and this has occasionally been alleged by scholars, but we have no clear evidence of it in the surviving corpus. By the way, i-mutation isn’t an exclusively Germanic process — there are examples in the Romance languages as well — but it was much, much more prevalent in the Germanic language family than in others.

[4] Quirk, Randolph and C.L. Wrenn. An Old English Grammar. 2nd ed. London: Methuen, 1957, pp. 153–4.

[5] Rhotacism is another sound change in the Germanic family, whereby Proto-Germanic z became a rhotic, or r-like sound. Like i-mutation, this occurred in all the Germanic languages except Gothic (er, maybe; see note 3). Example: PG *deuzom gave Gothic *dius (attested in dative plural diuzam), preserving the z; but this was rhotacized throughout the rest of the family: Old Norse dýr, Old Frisian diar, Old Saxon dior, Old High German tior, Old English déor “wild animal (> deer)”. Why should the z and r sounds be related? Ask Antonín Dvořák!

[6] In draft, it was Gollum, not Sam, who called the Haradrim Swertings.

Wednesday, November 10, 2010

Mythlore 111/112

My copy of the new Mythlore arrived a couple of days ago, and while I haven’t had time to read it all yet, I do have a few initial comments — beginning with the fact that the Mythopoeic Society is using a new printer (Sheridan; previously, the University of Oklahoma Press). I’m not sure how many readers will notice the differences, but I certainly did. For one thing, the type looks better. For another, Sheridan doesn’t trim the pages as much, so the margins are what they were always meant to be.

This issue contains my first essay for Mythlore, “Dwarves, Spiders, and Murky Woods: J.R.R. Tolkien’s Wonderful Web of Words.” I’m delighted to have an essay in Mythlore at long last; it’s been on my to-do list for ages. Here’s how editor Janet Brennan Croft introduced my paper: “We begin this issue of Mythlore with frequent reviewer Jason Fisher’s first article for us, a surprisingly engaging linguistic study of the Mirkwood episode in Tolkien’s The Hobbit, which he uses as a typical example of the depth and interwoven complexity of the author’s linguistic invention.” (p. 3)

While on the subject, I must apologize for a spelling error in my essay. I was really dismayed to see that I had written Petri Tikki instead of the correct spelling, Petri Tikka (on p. 10). My sincere apologies, Petri. It was just a slip, and I wish I’d been more careful. I certainly don’t like it when people misspell my name.

Next, this issue contains my review of Dimitra Fimi’s book, Tolkien, Race and Cultural History: From Fairies to Hobbits (running on pp. 167–72). Petri, I cited your paper, “The Finnicization of Quenya”, and I spelled your name correctly here! Phew, thank heavens! :)

Speaking of dwarves, fairies, and hobbits, there’s an interesting letter in this issue: “The Origins of Dwarves”, sent in by Pierre H. Berube (pp. 163–4). He raises some very intriguing research questions which I, for one, will probably try to take a look at. Also right up my alley, from a quick skim, is Richard J. Whitt’s “Germanic Fate and Doom in J.R.R. Tolkien’s The Silmarillion.” Anyone who quotes from Old English, Old Norse, and Old Saxon works, in the original languages, all in the same essay, is my idea of a drinking buddy! Richard, if ever we meet, I hope it’s to share a medu-benc. :)

And finally, a book to which I contributed is reviewed in this issue of Mythlore: Bradford Lee Eden’s Middle-earth Minstrel: Essays on Music in Tolkien (running on pp. 183–6). Here’s what reviewer Emily A. Moniz, a Ph.D. student at CUA, has to say about my essay:
The book is strong right out of the gate. Jason Fisher’s analysis of Rohirric verse, “Horns of Dawn: The Tradition of Alliterative Verse in Rohan” is quite fine and sets a clear tone for the kind of work contained therein. Fisher carefully examines Tolkien’s influences for Rohan, various traditions of Old English and Germanic alliterative poetry, and the connections between languages both real and fictional. What is even more delightful than his scholarship itself is that he somehow manages to do it all without losing a reader who admittedly knew nothing about Germanic alliterative verse or the Saxon kingdom of Mercia until she had finished the essay. While there are many outstanding pieces in Middle-earth Minstrel, Fisher’s piece stood out and one could not ask for a stronger opening than “Horns of Dawn.” (p. 184)
Needless to say, I was humbled and delighted to read this. I am especially pleased that my essay comes across well to readers — or at least, to one reader — without a strong background in the subject matter. It is always my goal to take abstruse topics like medieval philology and make them accessible and interesting to anyone — ideally, to everyone. A bit later, Moniz adds that “[t]he two essays by Fisher and Wilkins [sic] alone are worth the price of admission” (p. 185) — a compliment I hope I deserve; and Peter Wilkin definitely does. Other readers are invited to add their tuppence.

Monday, August 9, 2010

Tookish musings

Took is one of the few names Tolkien claims not to have “Englished” — that is, adapted into the translation conceit by which he explained so many other names. These “one or two older names of forgotten meaning [which Tolkien was] content to anglicize in spelling” in-cluded “Took for Tûk and Boffin for Bophîn”. [1] In the “Nomenclature”, Tolkien echoes this: “Took. Hobbit-name of unknown origin representing actual Hobbit Tūk […]. It should thus be kept and spelt phonetically according to the LT [i.e., the Language of Translation].” [2]

From a story-internal point of view, this is perfectly plausible, but from the story-external vantage, why wouldn’t Tolkien just “come up with something”? A possible answer is that he was stuck with Took from The Hobbit, long before Middle-earth had come into focus and the translation conceit entered Tolkien’s mind, and he simply couldn’t think of anything. Or perhaps there was a source, but it simply wasn’t appropriate for or adaptable to The Lord of the Rings.

I’m not aware of any real source criticism on this name, not even by my friend, Mark Hooker, who has worked his way pretty systematically through the “Nomenclature”. Perhaps the claim of invention on Tolkien’s part has discouraged scholars and dictionary divers. But let’s not be discouraged!

It turns out that Took, like Boffin, Grubb, Bolger, so many others of the Shire and Bree, is a real British surname. Ernest Weekley points out that the genuine name, Tooke, derives from the Anglo-Saxon Toca. [3] The Anglo-Saxon name, in turn, apparently derived from an Old Norse name Tóki, but had become naturalized in the southern part of England by the 11th century. [4] Tom Shippey has noted the survival of the name: “As for ‘Took’, that too appears a faintly comic name in modern English (people prefer to respell it ‘Tooke’), but it is only the ordinary Northern pronunciation of the very common ‘Tuck’” [5].

Another possibility: it occurs to me that Tolkien might even have chosen Took as the name for his most adventurous hobbit-family in facetious reference to his own name, Tolkien, which glosses (more or less) as “foolhardy”. If so, then this would seem a perfectly appropriate choice.

So, it’s pretty clear to me that Tolkien might have resurrected the genuine English Took(e), just as he did Gamgee, Brandybuck, Bracegirdle, Hornblower, and all the rest. And/or he may have been thinking of the etymology of his own name. Is there any more to be said? Yes, just a little, and here’s where things get more interesting — but more wildly speculative. It just so happens, there was a rather well-known philologist by the name of Tooke!

John Horne Tooke (1736–1812) was a Cambridge-educated etymologist and politician. His best-known work, Επεα Πτεροεντα, or the Diversions of Purley (1786), is a collection of philological dialogues on subjects such as: “Of the Division or Distribution of Language”, “Etymology of the English Conjunctions”, “Of the Article and Interjection”, “Of Participles”, and so on. The kind of thing that was right up Tolkien’s street.

In 1805, a reviewer assessed Horne Tooke’s impact on lexicography, thus: “to him the English language owes the pristine introduction of just principles, and a most extensive, learned, and detailed application of them to the etymology of its terms. He has laid the groundwork for a good Dictionary” [6]. But this was an early opinion. Samuel Taylor Coleridge was more critical, writing in 1830 that, although “Horne Tooke was pre-eminently a ready-witted man[, h]e had that clearness which is founded on shallow-ness. He doubted nothing; and, therefore, gave you all that he himself knew, or meant, with great completeness. […] All that is worth any thing (and that is but little) in the Diversions of Purley is contained in a short pamphlet-letter […]” [7].

Indeed, philology has come a long way since Horne Tooke’s days. Most of his ideas have been superseded or proven patently wrong (e.g., his etymology for “Shire” [8] is clearly incorrect [9]). He is viewed nowadays as somewhat of a crackpot. [10] But there can be no doubt that Diversions of Purley made quite a splash, one whose ripples were felt throughout the 19th century, inspiring both argument and imitation. It was clearly a part of the zeitgeist of the century, the lexicographical culmination of which was the launching of A New English Dictionary on Historical Principles (now known as the Oxford English Dictionary). Tolkien himself was employed by the OED in 1919–20. I do not know of any evidence that Tolkien was aware of Horne Tooke or his philological work more than a century before, but James Murray, one of the original editors of the OED, certainly was [11]. Murray died shortly before Tolkien’s appointment to the Dictionary, but it is tantalizing to think that Tolkien might have learned of Horne Tooke during his tenure in the Old Ashmolean. I know of no reason to assume he didn’t know of him.

Assuming Tolkien learned of Horne Tooke, perhaps even read his work, is it possible the name stuck in his mind, only to reappear a decade or so later as an “Englishy” surname in his children’s book, The Hobbit? A notorious philologist named Horne Tooke is tempting quarry. Even Horne, suggesting a musical instrument, faintly recalls the hobbit names Hornblower and Bullroarer. It’s probably just coincidence, but it’s certainly not impossible that the name influenced Tolkien. After all, Tolkien made reference to lexicography elsewhere in his fiction, as in the “four wise clerks of Oxenford” in Farmer Giles of Ham.


[1] Tolkien, The Lord of the Rings, Appendix F, III.

[2] Tolkien, “Nomenclature of The Lord of the Rings”, in Hammond, Wayne G., and Christina Scull. The Lord of the Rings: A Reader’s Companion. Boston: Houghton Mifflin Harcourt, 2005. 750–782, p. 764.

[3] Weekley, Ernest. The Romance of Names. 3rd rev. ed. London: John Murray, 1922, p. 75.

[4] Smart, Veronica J. , 280. “Moneyers of the Late Anglo-Saxon Coinage: the Danish Dynasty, 1017–42.” Anglo-Saxon England 16. Cambridge: Cambridge University Press, 1987. 233–308, p. 280

[5] Shippey, Tom. The Road to Middle-earth: How J.R.R. Tolkien Created a New Mythology. Rev. and exp. ed. Boston: Houghton Mifflin, 2003, p. 103. I’m not sure Tom is correct that Tooke and Tuck are the same name; I’ve read contrary views. Tuck and Tucker seem to be vocational names, but I’ve seen no such theory advanced for Tooke. But I’ll keep looking.

[6] Quoted in Tooke, John Horne. Επεα Πτεροεντα, or, The Diversions of Purley. New ed., rev. and corrected, with notes, by Richard Taylor. London: Thomas Tegg, 1840, p. xiv.

[7] Coleridge, Samuel Taylor. Specimens of the Table Talk of Samuel Taylor Coleridge. Ed. Henry Nelson Coleridge. 2nd ed. London: John Murray, 1836, p. 62 (see also passim).

[8] Tooke, p. 424.

[9] See for example, Skeat, Walter W. An Etymological Dictionary of the English Language. 3rd. ed. Oxford: The Clarendon Press, 1898, p. 548.

[10] See Lynch, Jack. The Lexicographer’s Dilemma: The Evolution of ‘Proper’ English, from Shakespeare to South Park. New York : Walker & Co., 2009.

[11] See Mugglestone, Lynda. Lost for Words: The Hidden History of the Oxford English Dictionary. New Haven: Yale University Press, 2005.

Monday, March 29, 2010

Before Tolkien’s unexpected party, an unexpected reference

In 1935, C.S. Lewis let slip into print a curious reference to J.R.R Tolkien: “Professor Tolkien will soon, I hope, be ready to publish an alliterative poem” [1]. He offers no explanation of who “Professor Tolkien” might be, so we must assume in these days before the publication of The Hobbit that Tolkien was already well enough known among the likely readers of Lewis’s essay as to require no further identification, not even a first name or set of initials.

What indeed had Tolkien published by this time? As I said, not The Hobbit, nor had he yet published (nor even delivered) his famous lecture, “Beowulf: The Monsters and the Critics”. By 1935, Tolkien would have been chiefly known for his and E.V. Gordon’s edition of Sir Gawain and the Green Knight (1925); his Middle English Vocabulary (1922); two substantial essays “Sigelwara Land” and “Chaucer as a Philologist” (both 1934), and several smaller ones; his reviews of new publications in philology for The Year’s Work in English Studies (1924–7); and a handful of published poems.

But here, Lewis refers to an alliterative poem, and it seems to me he has a specific work-in-progress clearly in mind. If so, which one was it? There are several possibilities, among them the following.

Still during Tolkien’s lifetime, J.B. Bessinger and S.J. Kahrl decided that Lewis must have been thinking of The Homecoming of Beorhtnoth Beorhthelm’s Son, which Tolkien published in Essays and Studies in 1953 [2]. Maybe, but Beorhtnoth is really a drama, though one written in verse form. In any case, Lewis was clearly very wrong to think it would “soon” appear, “soon” being an adverb seldom, if ever, applicable to Tolkien. By 1950 — if not long before — Lewis had learned better, calling Tolkien “that great but dilatory and unmethodical man” [3].

But I’m inclined to think Lewis might have been referring to something else. The emphasis in Lewis’s remark is squarely on a forthcoming alliterative poem by Tolkien. Lewis might have had in mind Tolkien’s Lay of the Children of Húrin. Tolkien worked on this long alliterative poem in the 1920’s, but he never managed to finish it. Tolkien shared with Lewis parts of The Lay of Leithian, another work on which he was engaged during roughly the same years. This was a rhyming, not an alliterative work, but they may have also discussed the great alliterative poem that had occupied his imagination during the same decade. It is unfortunate he never completed either of the great lays, but Lewis said it best when he wrote of Tolkien: “His published works (both imaginative & scholarly) ought to fill a shelf by now: but he’s one of those people who is never satisfied with a MS. There mere suggestion of publication provokes the reply ‘Yes. I’ll just look through it and give it a few finishing touches’ — wh[ich] means that he really begins the whole thing over again” [4].

There’s another possibility, this time something that Tolkien actually did finish. During the late 1920’s and early 1930’s, Tolkien worked diligently on the two companion poems, Völsungakviða en Nýja [“The New Lay of the Völsungs”] and Guðrunarkviða en Nýja [“The New Lay of Gudrún”], each executed in hundreds of meticulously crafted Eddic fornyrðislag stanzas. The Old Norse alliterative meter was, for all intents, nearly identical with the Old English. Indeed, immediately following his reference to Tolkien’s poem, Lewis writes that “the moment seems propitious for expounding the principles of this meter to a larger public than those Anglo-Saxon and Old Norse specialists who know it already”. Tolkien was a “specialist” in both, and fortunately for posterity, he finished the two Volsung poems — though if this was the work Lewis had in mind, then “soon” turned out to be almost seventy-five years! It was only last year that The Legend of Sigurd and Gudrún was finally published.

This is not, by the way, the only time Lewis promised a forthcoming work by Tolkien. I suppose he may, in part, have been attempting to motivate Tolkien further by putting the promise of the work into print, thereby exerting a friendly pressure on Tolkien to “get on with it”. The most famous example is in the preface to That Hideous Strength, where Lewis wrote in 1943: “Those who would like to learn further about Numinor [sic] and the True West must (alas!) await the publication of much that still exists only in the MSS. of my friend, Professor J.R.R. Tolkien”. If such was Lewis’s aim, it seems Tolkien got the point; he wrote to a correspondent in 1955, “[Lewis] used the word [“Numinor”], taken from my legends of the First and Second Ages, in the belief that they would soon appear. They have not, but I suppose now they may” [5]. Of course, they didn’t — not for another twenty years.

But getting back to alliterative verse, I’d like to close with an amusing bit of Lewis’s own (of which his essay is full of examples). This one, which refers to Tolkien by name, was probably concocted out of an old bar anecdote [6]:

We were talking of dragons, Tolkien and I
In a Berkshire bar. The big workman
Who had sat silent and sucked his pipe
All the evening, from his empty mug
With gleaming eye glanced towards us;
‘I seen ’em myself’, he said fiercely. [7]

[1] Lewis, C.S. “A Metrical Suggestion.” Lysistra, Volume 2 (May, 1935): 13–24. Reprinted as “The Alliterative Metre” in Rehabilitations and Other Essays. Oxford: Oxford University Press, 1939: 117–32. Reprinted again in Selected Literary Essays. Ed. Walter Hooper. Cambridge: Cambridge University Press, 1969: 15–26. The curious reference appears in the opening paragraph of the essay.

[2] Bessinger, Jess B., and Stanley J. Kahrl, eds. Essential Articles for the Study of Old English Poetry. Hamden, CT: Archon, 1968, p. 316 note 1. Bessinger and Kahrl reprint Lewis’s essay on pp. 305–16 of their book. Much more recently, Carl Phelpstead pointed to a note — “Alliterative Metre” (1969), p. 15 note 2 — in which Walter Hooper throws doubt on the assumption that this could be Beorhtnoth and gives Tolkien’s own guess that Lewis probably had in mind “The Fall of Arthur” (incomplete and still unpublished). See Phelpstead, Carl. “Auden and the Inklings: An Alliterative Revival” in JEGP, Vol. 103, No. 4 (October, 2004): 433–57, p. 441.

[3] Lewis, W.H., ed. Letters of C.S. Lewis. Rev. and enlarged ed. London: Geoffrey Bles, 1966. Reprinted San Diego: Harcourt Brace, 1993, p. 399.

[4] Ibid., p. 376.

[5] Carpenter, Humphrey, ed. The Letters of J.R.R. Tolkien. Boston: Houghton Mifflin, 1981, #169.

[6] The Letters of J.R.R. Tolkien, p. 389.

[7] Lewis, “Alliterative Metre” (1939), p. 122.