The emergence of color categories: Variance and invariance Irene Ronga (irene.ronga@unito.it) Department of Psychology, University of Turin Via Po, 14, 10123 Torino Italy Carla Bazzanella (carla.bazzanella@unito.it) Department of Philosophy and Educational Sciences, University of Turin Via Sant’Ottavio, 20, 10124 Torino Italy Abstract stable in time (Brainard, 2004; Kandel, Schwartz, & Jessel, 2000). This phenomenon, known as chromatic Color is a crucial feature for object detection and constancy (for a literature review and presentation of recognition. This is why the human visual system constantly recent findings, please refer to Kingdom, Angelucci, & attempts to keep variations in perceived object colors to a Clifford, 2014; Werner, 2014), is obtained by a number of minimum. It seems, however, that color categorization is more dynamic and flexible. In the present paper, by neural processes, mainly based on the examination of reviewing recent research, we discuss the emergence and ‘scenes’ related to specific contexts (a common notion in establishment of color categories in language as a result of cognitive linguistics, cf. Bazzanella, 2014; Ungerer & various intertwined factors playing together at different Schmid, 1996). Chromatic constancy is an essential levels. We claim for an integrative approach that supersedes mechanism of vision, since it allows us to rely on color the rigid dichotomy between universalistic and relativistic appearances for object recognition, independently of perspectives, according to which color categorization is varying light conditions. influenced by universal cognitive trends, specific socio- cultural factors, and diverse language uses, such as idioms, Even though the human visual system makes systematic which trigger different values in context. attempts to keep variations in perceived object colors to a minimum, color categorization and especially Keywords: color spectrum; categorization; basic color lexicalization appear to be dynamic rather than stable in terms; culture; language use time and space. In other words, color categories are not fixed entities, merely mirroring physical discrimination, Introduction: Color perception and color present in the outside world. On the contrary, they emerge categorization from the active interaction between humans and the The world we live in is colorful. Color is an extremely external environment, that is, from their embodiment important feature that has been demonstrated to facilitate (Bazzanella, 2014; Gibbs 2005, Puglisi, Baronchelli, & object detection and recognition (among others, Loreto, 2008), and appear to be modified by geographical Gegenfurtner & Rieger, 2000; Martinovic, Gruber, & and cultural specificities (among others, Wierzbicka, Müller, 2014), and improve the memorization of natural 2008). scenes (Spence, Wong, Rusan, & Rastegar, 2006). Color categorization and chromatic lexicon are However, a fundamental question, often posed and traditionally part of the persistent debate on universalism discussed by philosophers, psychologists, linguists, vs. relativism (Bazzanella, 2014; Taylor, 2003). anthropologists, and artists, is still being asked: To what From the universalistic perspective, Berlin & Kay (1969) extent can color be considered as a feature of the external first presented the hypothesis of a common trend of color world? Or instead, is it to be regarded as a simple categorization, proposing their implicational hierarchy construction of the mind? composed of eleven basic color terms: white, black < red < In Newton’s seminal work (1704) on color perception, green, yellow < blue < brown < pink, grey, orange, and Optics, it was observed that, strictly speaking, light purple. In the following years, their initial assumption was radiation has no color: it has only the capability and supported by further experimental observation and partly predisposition to induce specific chromatic sensations. In revised (Kay, Berlin, Maffi, & Merrifield, 1997; Kay & other words, color cannot be considered as a physical Maffi, 1999, 2005; Cook, Kay, & Regier, 2005; Kay & property of the world, like, for example, gravity. Regier, 2006; Kay, in press). However, the original idea of Partially divergent explanations of color vision, the presence of a universal pattern regulating the highlighting either the mind role or the influence of the emergence of color categories has mainly been preserved. physical, outside world, are presented in the literature From the relativistic viewpoint, several scholars have according to different disciplinary perspectives. Following pointed out the pivotal influence produced by social, Zeki’s approach (1999), we consider color as a property of cultural, and linguistic factors on the categorization the brain, though dependent upon physical light radiation. process (among others, Casson, 1997; Cook et al. 2005; Importantly, even though light conditions change during McNeill, 1972; Wierzbicka, 2008). As Sapir (1949, 27) the day and throughout different periods of the year, the claims: “Distinctions which seem inevitable to us may be color perception of objects does not vary, but appears utterly ignored in languages which reflect an entirely 222 different type of culture, while these in turn insist on categorization system progressively replaced a more distinctions which are all but unintelligible to us”. traditional system, derived from the natural pigments used Interestingly, recent research suggests an approach that to dye fabrics and based only on three-color combines universal trends and cultural-specific factors categorizations (namely akane corresponding to a hue (Cruz & Plebe, 2013; Regier & Kay, 2009). In accordance between orange and red, hanada a turquoise blue, and with previous studies (Bazzanella, Salvati, Ronga, 2012; kariyasu yellow). Ronga, 2009; Ronga, Bazzanella, Strudsholm, Salvati, From a diatopical perspective, the number of categories of 2014), here we adopt an integrative framework, which, in basic colors varies in different languages. For example, considering both common trends and cultural specificity (§ Dani (a people of Western New Guinea) have only two The emergence of color categories, focal colors, and basic color categories. On the contrary, most European interlinguistic variability), refers also to socio-cultural- languages have at least eleven color categories historical parameters and the use of a given color term (§ (corresponding to the number of focal colors listed by Socio-cultural aspects in the history of the BLUE category Berlin & Kay, 1969). However, publications related to the in Europe and the use of azzurro in Italian). Both of these World Color Survey (among others, Kay & Maffi, 2005) aspects are relevant to the discussion on color categories have pointed out that over half the languages in the world and their dynamic processes (§ Color and typical express only one color term for the GREEN and BLUE exemplars: Universalism and relativism). categories (the so-called GRUE languages; see also Walter, 2011), thus possessing ten out of the eleven color categories. The emergence of color categories, focal colors, and interlinguistic variability The categorization of the BLUE spectrum: An exception to Berlin & Kay’s pattern Categorizing is a complex and flexible process that is grounded in the brain as an essential property of human It is interesting to note that some European languages can cognition. It is dependent on context and culture (among be considered an exception to the Berlin & Kay pattern of others, Barsalou, 2008; Bazzanella, 2014; Cohen & categorization, since they have more than eleven color Lefebvre, 2005; Smith, 2005), and characterized by categories, even if Berlin & Kay’s following criteria are emergence, that is, dynamic interaction between various used to evaluate the basicness of a color term: components, as well as between organisms and their (i) Monolexemic. environment (Clark, 1997). (ii) Its signification must not be included in that of any other colour term. The categorization of color and its lexicalization in world (iii) Its application must not be restricted to a narrow class of languages is faced with the contrast between continuity of objects (eg., blonde). the spectrum and linguistic segmentation, and alternates (iv) It must be psychologically salient for informants. between universalistic and relativistic perspectives. From a (v) The doubtful cases should have the same distributional perceptual point of view, Berlin & Kay (1969) showed potential as the previously established basic terms (cf. Berlin & that, even though category borders may be fuzzy and not Kay, 1999 [1969]: 6-7). invariably defined in different languages, the centers of For example, previous linguistic research suggested that color categories (i.e., focal colors) are not subject to Czech may have two basic color terms describing the RED interlinguistic variability. This evidence has been spectrum: cervená and rudá (Nagel, 2000, in Uusküla, repeatedly validated by subsequent studies (Taylor, 2003). 2008). However, Uusküla (2008) did not confirm this On the contrary, from a linguistic point of view, color hypothesis, suggesting that rudá cannot be considered as a lexica show both diachronical and diatopical variability. basic color term. Considering European languages, categorizing criteria With regard to the BLUE spectrum, the English BLUE drastically changed in Ancient Greek and Latin, on the one category is often split into two or three color words, hand, and Romance languages, on the other (among competing for the status of basic color terms: Italian, others, Capell, 1966; Lyons, 2003). Latin and Ancient Catalan, Arabic, Turkish, Modern Greek, Maltese, Greek mainly distinguished between high and low Russian, Hungarian, Kashubian, Ukrainian, Belarusian, luminosity (Garcea, 2003; Bradley, 2009), whereas Lithuanian, and Udmurt (an Uralic language) have twelve Romance languages have focused more accurately on hue or thirteen color categories, since they all present further discrimination (Grossmann, 1988; Pastoureau, 2002). segmentations of the BLUE domain (among others, Al Profound modifications of the color categorization system Rasheed et al., 2011; Borg, 2011; Ronga, 2009; may be observed even in relatively recent times, as Winawaver et al., 2007). demonstrated by the case of Japanese, presented by Russian divides the BLUE domain into two different McNeill (1972). Nowadays, mainly because of the terms, goluboy vs. siniy. Importantly, according to various influence of Anglophone culture and the adoption of scholars, these two color terms represent two independent synthetic dyes, Japanese has a standard 11-category basic categories (Winawer et al., 2007; Paramei, 2005, system of colors (Berlin & Kay, 1969). However, McNeill 2007). Modern Greek seems to have a similar category showed that during the nineteenth century, the present 223 system, since it distinguishes between µπλε [blé] ‘blue’ teams. The case of azzurro is interesting with regard to the and γαλάζιο [γalázjo] ‘light blue’ (Borg, 2011). relevance of the socio-cultural and historical aspects in The picture of Italian blues appears even more color lexicalization. Azzurro, indeed, is found to occur complicated. Italian uses three different color terms to more frequently than blu in the ItWaC (Baroni, Bernardini, lexicalize the BLUE spectrum: blu, more or less Ferraresi, & Zanchetta, 2009): azzurro has 45159 corresponding to ‘dark blue’ in English; azzurro, occurrences, blu 62554. In addition, it is often associated indicating a middle blue; and celeste, corresponding to the with a positive connotation. An example of the preference English ‘light blue’ (Paramei & Menegaz, 2013; Uusküla, for azzurro rather than blu when a positive connotation is 2014). While there is no complete agreement in the implied is Principe Azzurro, corresponding to Prince literature on the basicness of celeste, both blu and azzurro Charming (other examples can be found in Ronga et al., are almost unanimously considered basic color terms in 2014). Interestingly, some English expressions including recent research work (Paggetti et al., 2011; Paggetti & blue (present both in British and American English) are Menegaz, 2012, 2013; Paggetti, Menegaz, & Paramei, used in Italian as well, but are expressed by azzurro, such 2015; Paramei & Menegaz, 2013; Ronga, 2009; Sandford, as balenottera azzurra ‘blue whale’, alghe azzure ‘blue 2012; Uusküla, 2014; Valdegamberi et al., 2012). algae’. The specific categorization of color expressed in European Within a relativistic perspective, social-cultural and languages seems to be influenced by historical and cultural historical factors are frequently considered in the factors, such as the history of Malta together with Arabic explanation of the interlinguistic variability of color and Italian influences on its color system (Borg, 2011), categorization (McNeill, 1972; Pastoureau, 2000; Taylor, trade deriving from the use of natural pigments, and the 2003), while the frequency of color terms, which is strictly development of textile manufacture (Casson, 1997; related to their saliency (as in the case of azzurro), is Pastoureau, 2000; Ronga, 2009). rarely taken into account. Interestingly, Italian can be considered as a paradigmatic case of the close intertwinement between universal trends Color and typical exemplars: Universalism and cultural-specific aspects. and relativism When searching for idioms containing basic color terms in linguistic corpora, we often find expressions such as blue Socio-cultural aspects in the history of the BLUE as the sky, or red as a strawberry. category in Europe and the use of azzurro in Color categories, due to perceptive vagueness and Italian language indeterminacy (Taylor, 2003; Bazzanella, 2011, According to several scholars, the Romans did not think of 2014), are subjected to fuzziness, in the sense that category BLUE as a real basic category, but simply as a black hue boundaries are not precisely defined, and the use of (Garcea, 2003; Grossman, 1988; Pastoureau, 2000). It was chromatic lexicon may vary in time and space in a only after the fall of the Roman Empire that a separate complex intertwinement of language use, together with blue category finally appeared in Europe. During the socio-cultural and historical factors. Middle Ages, in explicit contrast with Latin tradition and This is one reason why color terms are often associated paganism, the Catholic Church decided to adopt blue as with natural or artificial referents (i.e., typical exemplars, the colour of the Virgin Mary and Christian renovation. As as in the expression white as snow). It should be a sign of devotion to the Catholic Church during the underlined that, even though, at a perceptual level, focal thirteenth century, blue became the colour of the French colors are not subject to diatopical variability (Kay, in monarchy (that is, royal blue; Pastoureau, 2000). press; Kay & Maffi, 2005), referents indicating the focal From a conceptual-linguistic point of view, the social blue point of the category are not always shared by different revolution was paralleled by an evolution of the classical languages (Ronga et al., 2014). color categorization system. As a categorical hyperonym, Within a multifaceted project on color categories, lexicon, north-west European languages such as French and and interlinguistic variability (Bazzanella et al., 2012; German adopted the Germanic root *blawa, whereas south Ronga et al., 2014), we collected introspective and corpus European languages (such as Spanish and Portuguese) the data on color terms, color-related idiomatic expressions, Persian-Arabic root lāzward. proverbs, and typical exemplars associated with color Italian, which lies on the border between northern and terms. Introspective data were obtained through written southern Europe, maintained both Germanic and Persian- questionnaires administrated to 103 Italian, 38 Chinese, Arabic roots, thus lexicalizing two basic color terms for and 25 Danish participants. The questionnaires were the blue SPECTRUM, blu and azzurro, together with a composed of four parts: third, marginal competitor, celeste (Ronga, 2009; Ronga et i) a color-term list task (subjects had to list as many colors al., 2014; Uusküla, 2014). as possible); Azzurro was the symbolic color of the Savoy dynasty (i.e., ii) a free-association task (participants had to associate the Italian royal family after the Italian unification in each basic color term with objects or concepts that 1861) and nowadays it connotes the Italian national sport 224 typically characterized the color (such as, snow for white, diverse aspects of the very same object at different sky for blue, or passion for red in English); moments, according to prior knowledge or the specific iii) a proverb task and an idiom task (subjects had to list context. all the color-related idioms and expressions they could Regier & Kay (2009: 444), referring to the possible remember; for further details about the methodology, integration between universalistic trends and the influence please refer to Ronga et al., 2014). of culturally specific aspects, have claimed that the role of The occurrence of basic color terms in idiomatic (such as social forces in the modulation of universal categorization a white lie) and comparative color-based expressions (such patterns is still unclear. as red as a lobster or white as wool) were manually With the present paper, we have aimed to find the active examined, collected, and analysed in four large-scale link between universalistic trends and relativistic aspects corpora (ItWaC and ItTenTen for Italian, UkWaC for of color categorization. British English, KorpusDK for Danish; Bazzanella et al., On the one hand, universalistic patterns of color 2012; Ronga et al. 2014; Strudsholm, Ronga, & categorization cannot be denied. On the other, socio- Bazzanella, accepted). cultural and historical parameters appear to be relevant at Overall, our data indicate that in all the examined each level of color categorization and lexicalization, in the languages, the typical exemplars most commonly shaping of basic terms, in the selection of typical associated with color words in idiomatic and comparative exemplars, and in the variety and richness of hue terms expressions are natural referents (e.g., blood, sky, night, that distinguish perception and diverse language use. snow, milk, grass; for quantitative analyses, please refer to Ronga et al., 2014, Bazzanella et al., 2012, Strudsholm et al., accepted). Conclusion: Category emergence as a For instance, British English, Danish, and Italian share the dynamic process expression red as blood, rød som blod, rosso come il In a very elegant paper using the neuro-imaging technique sangue, which is grounded on a very salient natural of visual-evoked potentials, Thierry et al. (2009) referent. demonstrated that the presence of a given color category in English, Danish, and Italian have the very same proverb a lexicon is able to influence the perceptual processing of (with the same idiomatic meaning) referring to the the corresponding color. As stated above (§ The greenness of grass: The grass is always greener on the categorization of the BLUE spectrum: An exception to other side, Naboens græs er altid grønnere, L’erba del Berlin and Kay’s pattern), Modern Greek split the BLUE vicino è sempre più verde. Even Chinese and Italian have spectrum into two color terms, one corresponding to light similar idiomatic expressions referring to the weather as blue and the other to dark blue. Thierry et al. (2009) well as sky and cloud colors (Bazzanella et al., 2012). showed that native speakers of Greek were able to On the contrary, some associations appear related to distinguish light blue from dark blue faster and better than environmental specificity. While in Italian rosso come un native English speakers. pomodoro ‘red as a tomato’ is widespread, in British Interestingly, Zhou et al. (2010) showed that a similar English it is pretty rare, while red as a beetroot is much influence on perceptual color discrimination might be more common (UkWaC corpus; Ronga et al. 2014). In obtained even with artificially learned lexical categories both Italian and Brtish English we find expressions such as that are not present in subjects’ native idioms. In the first blue as the sky; however, while in Italian the sea is part of the experiment, subjects were asked to distinguish frequently associated with azzurro or blu (‘blue’), in between two hues, both referring to the same term in their British English, the North Sea is associated with grey native language. In the second part of the experiment, (ItWaC, ItTenTen, and UkWaC corpora; Ronga et al., subjects were trained to perceive a new linguistic color 2014). category, so that the two hues no longer referred to the Overall, the associations between color terms and typical same term. After the training, subjects resulted to be faster exemplars encompass universal trends (such as the and better in the hue discrimination task. salience of some natural referents) and relative aspects. These findings are relevant for two reasons. First, these Noteworthy is also the fact that there are oscillations in experiments demonstrated how linguistic categorization selecting relevant associations, possibly in relation to the may modulate perception, thus showing a complex pattern vagueness of the referent itself: very often objects such as of reciprocal influence between perception, conceptual the sea or different kinds of fruit and vegetables are not categories, and language (see also Gong, Shuai, & Wu, constant in their ‘typical’ colors. On the contrary, their 2013). Second, and more importantly, these findings chromatic appearance may differ quite drastically in highlight the extreme dynamism of the color different periods of the year, from day to day, or in categorization process. Color categories appear to be different moments of the same day, depending on the light significantly flexible (Lalumera 2013), and able to emerge and other external conditions (as in the ripening state of and adapt very fast, in accordance with the entire pattern fruit and vegetables). The vagueness of referents allows of contextual features, meant either as global, a priori, or speakers to focus on different features, highlighting 225 local parameters, activated by single interactions (Akman Cohen, H., & Lefebvre, C. (Eds.) (2005). Categorization & Bazzanella, 2003). in cognitive science. Amsterdam: Elsevier. Cook, R., Kay, P., & Regier, T. (2005). The world color survey database: History and use. In H. Cohen & C. Acknowledgments Lefebvre (Eds.), Handbook of categorization in cognitive science (pp. 223–242). Amsterdam: Elsevier. We warmly thank Susan Eerdmans for the revision of Cruz, V.M., & Plebe, A. (2013). Too many exceptions to previous versions of the present manuscript. 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