A Grammar of the Archaeological Record (Version 2)

Part I. The constituents
Section IA. Nature and properties

Chapter 1
Elements and constituents

Giorgio Buccellati – June 2010, July 2024

1.1 Elements

1.1.1 Elements proper

Elements are the “things” that are found in the ground.

They are defined in terms of criteria that are independent of their original cultural setting,. In this sense they correspond to the “phones” in a language, and are thus part of an -etic * system.

For example, a loose layer of soil may be defined geologically, or a ceramic piece may be described chemically.

1.1.2 Para-elements

Besides constituents proper, I recognize another class of constituents which are in some ways parallel and may accordingly be called para-elements.. They refer to elements which do not exist as “things” (stratigraphically), but are presupposed on the basis of either direct or indirect evidence, e. g.,

an impression left on other elements, such as a peg's impression on a sealing or a wall's foudnation trenc after the wall has been removed (direct evidence), or
a wall assumed on the basis of a building's layout (indirect evidence).

In other words, the term refers to elements which exist only inferentially, but are nevertheless assumed to be real (on the basis, precisely, of a reasonable inference) and are not just imagined. By nature, a para-element is identical to an element, and belongs in the same class. It is only in terms of their evidentiary grounding that elements and para-elements must be distinguished.

(The term “para-element” is introduced on the analogy of terms like “para-medical,” “para-normal,” or even “para(-)phrase.”)

1.2 Constituents

1.2.1 Constituents proper

Constituents are the analytical equivalents of the elements.

With a loose analogy to phonology, we may say that elements are to constituents as phones are to phonemes. Constituents are in fact defined in terms of their original cultural setting, as we understand it. In this, they correspond do the phonemes in a language, and are part of an -emic system.

Accordingly, constituents are minimal systemic units, mutually exclusive within a closed system, which may be considered as a grammar. In this regard, I will first identify, in this chapter, the broadest classes of constituents, and will then, in the next chapter, define the types of constituents which belong to each of the classes.

Constituents proper include both elements and para-elements.

1.2.2 Referents

A referent is a minimal constituent of the recording system, that is not an element, but refers to elements.

They pertain to either

the physical network (e.g. control point, relay), or
the analytical network (e.g. journal, photograph).

1.2.3 Incidentals

An incidental is a non-systemic item of description, i.e., an entry in the recording system that refers to situations and events pertaining to chronicle details – e.g., strategy to be pursued on a given day, daily review of entire unit, weather as observed by a given supervisor, surveying as pertaining to given operation, etc.

By definition, this class is properly outside the system, and thus it is not properly a constituent as such. It is considered alongside the constituents because because it occupies an analogous rank in the conceptual structure of the system and thus in the archive.

1.3 Overview

Following is a chart that surveys synoptically the criteria for distinguishing the main classes of constituents and the incidentals.

constituents	element	minimal stratigraphic/typological constituent of data	stationary	feature
			movable	object, specimen, sample
	para-element	an element which does not exist as such (stratigraphically), but is presupposed on the basis of	direct evidence	such as an impression left on another element, e.g. a peg on a sealing
			indirect evidence	generally an argument, e.g., a wall assumed on the basis of a building’s layout
	referent	minimal constituent of recording system, pertaining to	physical network	e.g., control point, relay
			analytical network	e.g., journal, photograph
incidentals		non-systemic unit of description, i.e., situations and events pertaining to chronicle details identified by appropriate specific label, e.g. sg (strategy to be pursued on a given day), dy (daily review of entire unit), we (weather as observed by given unit supervisor), sy (surveying as pertaining to given unit), etc. [for a full list of incidental codes, see here.]

1.3 Grammar

A grammar may be viewed as the closed system within which the constituents interact.

1.4 Minimality and systemics

The constituents are minimal in a relative sense. This means especially two things:

first, each typt excludes any other – in this respect, they are minimal because no constituent so defined can be subsumed under another (an element such as a wall cannot be subsumed under a referent such as a locus);
second, within each type of constituent, nesting of subtypes is possible – in this respect they are minimal without excluding the possibility of combinatorial processes (an element such as a wall may consist of components such a brick).

The notion of system underlies the classification, meaning that any constituent is to be understood in relationship to all other constituents, and not anectodatlly, in and by itself. In the next chapter we will look specifically at the single types of constituents and incidentals, i.e., the concrete embodiments that elements, referents and incidentals can take. First, however, we should describe the structure and organization of the constituents within the system, i.e., their intrinsic and and their combinatorial properties.

1.5 Intrinsic properties as criteria for definition

1.5.1 Definitions

There is a rich set of properties which defines any given constituent. The specifics of these properties are given as paradigms of variables or attributes, which I call rosters, and as lists of variants or attribute states, which I call lexica; they are described in detail below (for the “main roster”.

Property is one of several analytical traits which together define a constituent. It is to be further differentiated into variables (or attributes) and variants (or attribute states ).

A variable or attribute argument is one of a set of possible qualities or identifying marks which may be found to characterize a given constituent (e. g., type of contact or color). Since these variables are listed as part of a roster, they are also called “roster slots.”

A variant or attribute state is the content of a variable, i.e., the particular quality which happens to fill the particular slot (e. g., white). Since these slots are those listed within a roster, the variants, which fill these slots, are also called “roster entries” (or contents).

A paradigm is inventory of choices sorted in structural sequence. There are two basic paradigms: the roster for variables and the lexicon for variants

Variables and variants are organized according to the logical structure of any given whole (e. g., emplacement), resulting in specific paradigms. These are essentially inventories of choices sorted in a structural sequence. There are two types of pertinent paradigms; a roster is a structural sequence of attribute slots (variables), and a lexicon a list of attribute states (variants for variables).

1.5.2 Corollaries

A special category that is related to the lexicon is that of standards (see chapter 10). These are criteria that define variants according to precise parameters, e. g., the Munsell standard 10R 5/3 “weak red” as a more specific and verifiable definition than a more generic “reddish.”

Any given constituent is defined on the basis of a batch of properties that are drawn from the paradigms indicated, and it is identified through a unique label. A label is an alpha-numeric code that is derived from a sequential log. There are different labels that correspond to different degrees of specificity.

Every constituent must have a generic label, which is based on stratigraphy and on a minimum of typological specificity – essentially features and items.

To the extent that typological analysis proceeds, higher levels of specificity are possible, and they are reflected in a variety of specific labels.

1.5.3 Overview

This overall classification may be presented synoptically as follows.

attribute	one of several analytical traits which together define a constituent	variable	or Roster Slot or Attribute Argument: category of element structure (e. g., color)
		variant	or Roster Entry or Attribute State: content of variable (= typological or specific label, e. g., white)
paradigm	inventory of choices sorted in structural sequence	roster	structural sequence of attribute arguments (variables)
		lexicon	list of attribute states (variants for variables)
		standard	description of parameters defining variants	implicit (e. g., “brown” as common sense value)
				explicit (e. g., Munsell color value)
label	alpha-numeric code derived from sequential log, which identifies uniquely any given constituent	generic label	minimum stratigraphic/typological definition (e. g., feature, item) – primary or first level of specificity
		specific label	intermediate typological definition (from lexicon of variants, e. g., wall, tablet)

1.6 Combinatorial properties of elements

1.6.1 Overview

The structure of an element can be defined on the basis of its combinatorial properties, which result in either splitting or joining. On the one hand, an element may be split or subdivided into components, and on the other, several elements may be joined or grouped into clusters, as summarized in the following chart.

splitting	component	typological subdivision of element (e. g., brick within a wall, a sherd within a reconstructed vessel)
	sub-component	quantitative subdivision of element (e. g., sherd-1, sherd-2 within a lot)
joining	cluster or complex constituent	grouping of elements or referents according to given criteria (e. g., aggregate of walls constituting a room)

1.6.2 Components and sub-comoponents

A component is a typological sub-unit of an element, and sub-component a quantitative sub-unit of either an element or a component (referents do not have components). There may be one or more components of either type for any given element. For example, if the element is a jar, a typological component of the jar may be a seal impression on its shoulder, and a second typological component may be a cloth impression. If there is more than one seal or cloth impressions, there will be more than one quantitative sub-unit of that particular typological component. Analogously, for a pottery lot, there will be one or more sherds (quantitative component) for any given type of ware and/or shape (typological component). This may be represented synoptically in the following chart.

element	typological component	quantitative component
jar	seal impression	1
jar	cloth impression	3
pottery lot	simple ware	35
	early Trans-Caucasian	1
	metallic ware	3

1.6.3 Clusters

A cluster is a grouping of elements or referents according to a given criterion. For example, a group of vessels functionally related and sitting on the same floor constitutes a cluster, called an aggregate, and so is a group of photographs related through a set of views, which is called a web.

A cluster may beconsidered as a complex element. The most important of these clusters fall under the category of aggregates.

The difference between elements and clusters is in the degree of nesting established<, or choice of parameters made, by the excavator. For instance, bricks are generally considered as components of a wall, and a wall as an component of an aggregate. Paradoxically, it may be said that a site (or the world itself!) is an aggregate, but neither susceptible of proper analysis. On the other hand, a wall is an appropriate unit of analysis if considered an element. There is no element which is so in an absolute sense; it is only a relative function of nesting choices.

1.7 Summary

The analysis given above for constituents and incidentals is summarized in the diagram given below. The constituent is represented by the shaded box in the center, next to which one may place the incidental, which is outside the main system, and does not therefore have any of the systemic articulation of the constituent, but fills an analogous location within the archive.

Within the main box, the constituent proper is the central node. The two main classes (elements and referents) are shown as branching out below this central node.

The structure is represented in two ways – the components splitting the element as lower branches (for typology and quantity, in sequence; the quantitative component ia also called a sub-component), and the clusters serving as higher nodes which group one or more individual constituents.

The properties or attributes are represented by the variables or attributes (as listed in the rosters), for each of which there is in turn a variant or attribute state (as listed in the lexicon).

NOTES

*For a full discussion of the -etc ad -emic notions see the Critique of Archaeological Reason