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A GENERATIVE-TRANSFORMATIONAL SKETCH OF PORTUGUESE SYNTAX: A COMPUTER MODEL by MINA ESTRELA MACHADO-HOLSTI B.A., Simon F r a s e r U n i v e r s i t y , 1969 M.A., Simon F r a s e r U n i v e r s i t y , 1971 A THESIS SUBMITTED IN PARTIAL FULFILMENT OF THE REQUIREMENT FOR THE DEGREE OF DOCTOR OF PHILOSOPHY i n t h e Department o f L i n g u i s t i c s We a c c e p t t h i s t h e s i s as c o n f o r m i n g t o t h e r e q u i r e d s t a n d a r d D. W. Reed, N o r t h w e s t e r n U n i v e r s i t y F. B. A g a r d , C o r n e l l U n i v e r s i t y R. J . Gregg, U n i v e r s i t y o f B r i t i s h Columbia THE UNIVERSITY OF BRITISH COLUMBIA J a n u a r y , 1974 In presenting this thesis in partial•fulfiIment of the requirements for an advanced degree at the University of Brit ish Columbia, I agree that the Library shall make it freely available for reference and study. I further agree that permission for extensive copying of this thesis for scholarly purposes may be granted by the Head of my Department or by his representatives. It is understood that copying or publication of this thesis for financial gain shall not be allowed without my written permission. Mina E. M a c h a d o - H o l s t i Department of UnguistJCS The University of Brit ish Columbia Vancouver 8, Canada D a t e J a n u a r y 1974 ABSTRACT T h i s d i s s e r t a t i o n p r e s e n t s a grammar f o r t h e d e s c r i p t i o n o f the p r i n c i p a l s y n t a c t i c s t r u c t u r e s o f P o r t u g u e s e i n t h e g e n e r a l l i n -g u i s t i c framework o f g e n e r a t i v e - t r a n s f o r m a t i o n a l t h e o r y . The grammar i s a d e v i c e which d e f i n e s t h e s e m a n t i c a l l y i n t e r -p r e t a b l e deep s t r u c t u r e and the g r a p h e m i c a l l y i n t e r p r e t a b l e s u r f a c e s t r u c t u r e f o r a s e t o f P o r t u g u e s e s e n t e n c e s . When a human b e i n g h e a r s an u t t e r a n c e , he uses h i s knowledge t o u n d e r s t a n d i t . T h i s r e q u i r e s n o t o n l y grammar but a l s o h i s knowledge o f words, t h e c o n t e x t o f t h e s e n t e n c e , and most i m p o r t a n t , h i s knowledge o f t h e s u b j e c t m a t t e r . To w r i t e a computer program w h i c h u n d e r s t a n d s n a t u r a l l a n g u a g e , we need t o u n d e r s t a n d what language i s and what i t d o e s . Language can be a p p r o a c h e d as a s e t o f m a t h e m a t i c a l r u l e s and s y m b o l s , o r as a s y s t e m i n t e n d e d t o communicate i d e a s . Language can a l s o be viewed as a p r o c e s s o f t r a n s f o r m i n g a s t r u c t u r e o f c o n c e p t s i n t h e mind o f t h e s p e a k e r i n t o a s t r i n g o f sounds o r w r i t t e n s y m b o l s , and back i n t o c o n c e p t s i n t h e mind o f t h e h e a r e r o r r e a d e r . In o r d e r t o t a l k a b o u t c o n c e p t s we must u n d e r s t a n d the i m p o r t a n c e o f mental models. T h e r e i s , o f c o u r s e , no way o f a c t u a l l y o b s e r v i n g t h e i n t e r n a l w o r k i n g s o f a p e r s o n ' s mind. The p r o c e s s o f u n d e r s t a n d i n g a s e n t e n c e has t o combine grammar and r e a s o n i n g i n a c l o s e l y i n t e r r e l a t e d manner. A computer model i s n o t a d e t a i l e d p s y c h o l o g i c a l t h e o r y o f how a p e r s o n i n t e r p r e t s a l a n g u a g e , i i i i i b u t the p r e s e n t s t u d y r e v e a l s t h a t t h e r e may i n f a c t be a h i g h l e v e l o f i s o m o r p h i s m between the t h e o r y o f l a n g u a g e , the computer grammar and t h e i n d i v i d u a l ' s l a n g u a g e . The f i r s t p a r t o f t h i s d i s s e r t a t i o n p r e s e n t s a r e v i e w o f t h e c u r r e n t s t a t e o f l i n g u i s t i c t h e o r y and a p r a c t i c a l a p p l i c a t i o n o f t r a n s -f o r m a t i o n a l grammar as a m e t h o d o l o g i c a l p r e l i m i n a r y . T h i s s u r v e y i s n e c e s s a r y i n o r d e r t o e x p l a i n the a d o p t i o n o f c e r t a i n p r i n c i p l e s w h i c h w i l l s e r v e as a t h e o r e t i c a l framework f o r my P o r t u g u e s e grammar. The e x a m i n a t i o n o f t h i s body o f t h e o r y a l s o j u s t i f i e s t h e a d o p t i o n o r r e -j e c t i o n o f c e r t a i n p r i n c i p l e s t h a t u n d e r l i e my c o n c e p t i o n o f a f o r m a l i z e d model o f l i n g u i s t i c d e s c r i p t i o n . In p r e s e n t i n g a d e s c r i p t i o n o f t h e f o r m a l model o f a grammar and the g e n e r a t i o n o f i t s s y n t a c t i c s t r u c t u r e s I examine t h e p r o p e r t i e s o f d i f f e r e n t g e n e r a t i v e - t r a n s f o r m a t i o n a l s y s t e m s . The f o r m a l model, based on many a s p e c t s o f l i n g u i s t i c t h e o r y , i s a p r i o r i b u t t e s t a b l e a g a i n s t e m p i r i c a l phenomena. I t has the f e a t u r e s o f a m e t a l i n g u i s t i c r e p r e s e n t a t i o n o f l i n g u i s t i c e l e m e n t s and c l a s s e s , w i t h a m a t h e m a t i c a l , l o g i c a l and l i n g u i s t i c n o t a t i o n a l s y s t e m o f o p e r a t o r s and o p e r a t i o n s . T h i s g e n e r a t i v e - t r a n s f o r m a t i o n a l model i s n o n - e x c l u s i v e i n t h a t i t s f o r m a l p o s t u l a t e s and o p e r a t i o n s i n c l u d e B o o l e a n c l a s s i -f i c a t i o n , i n t h e s e n s e t h a t i t s symbols a r e e l e c t i v e . The computer model c o n s i s t s o f a grammar f o r m a t and a l g o r i t h m f o r d e r i v i n g s e n t e n c e s . The f e a t u r e s o f t h e model and t h e s y s t e m i n c l u d e a f o r m a l d e s c r i p t i o n o f the s y n t a x o f t r a n s f o r m a t i o n a l grammar, a p h r a s e s t r u c t u r e scheme, a f o r m a t f o r the l e x i c o n and l e x i c a l i n s e r t i o n a l g o r i t h m , and a l a nguage f o r s p e c i f y i n g t h e t r a f f i c r u l e s o f the grammar. i v The model p r e s e n t e d i n the t h e s i s has been shown to have the c a p a c i t y to g e n e r a t e grammatical s e n t e n c e s . I t i s a l s o a b l e t o p r e d i c t phenomena i n n o n - d e v i a n t e x p r e s s i o n s and t o a s c r i b e t o them a s t r u c t u r a l d e s c r i p t i o n . The f o r m a l i z a t i o n o f the s y n t a c t i c r u l e s o f t h i s model has been t e s t e d and v e r i f i e d w i t h t h e h e l p o f an a d a p t a t i o n o f J . F r i e d -man's computer program. To Kai J . Holsti because of a promise v ACKNOWLEDGMENTS I am most g r a t e f u l t o Mary Moran Nanson, f o r m e r l y a t t h e U n i v e r -s i t y o f B r i t i s h C o l u m b i a , f o r h e r e n d l e s s hours o f work and c o l l a b o r a t i o n i n i m p l e m e n t i n g my grammar on t h e computer program. I am a l s o i n d e b t e d t o Dr. Yves Ch. M o r i n , a t t h e U n i v e r s i t y o f M o n t r e a l , f o r t h e e n l i g h t e n i n g e x p l a n a t i o n s on t h e f o r m a l i z a t i o n o f my grammar and i t s i m p l e m e n t a t i o n on t h e computer. I s h o u l d l i k e t o e x p r e s s my thanks t o P r o f e s s o r Gary D. P r i d e a u x , a t t h e U n i v e r i s t y o f A l b e r t a , f o r r e a d i n g t h i s d i s s e r t a t i o n a t v a r i o u s s t a g e s and making many h e l p f u l comments; and t o P r o f e s s o r D. W. Reed, a t t h e N o r t h w e s t e r n U n i v e r s i t y and P r o f e s s o r F. B. A g a r d , a t C o r n e l l U n i v e r s i t y , f o r t h e i r c r i t i c a l a s s e s s m e n t o f t h e f i n a l m a n u s c r i p t . F i n a l l y , I want t o thank H e a t h e r T r o c h e f o r t y p i n g a v e r y d i f f i c u l t m a n u s c r i p t w i t h e f f i c i e n c y and good humour. v i TABLE OF CONTENTS Page ABSTRACT . . . i i ACKNOWLEDGMENTS . . v i INTRODUCTION x v i CHAPTER 1 - GENERATIVE-TRANSFORMATIONAL GRAMMAR INTRODUCTION 1 I . ORIGINS OF GENERATIVE-TRANSFORMATIONAL THEORY 1 A. G e n e r a t i v e Grammar 1 1. Grammar and The o r y 2 2. R e c u r s i v e n e s s and C r e a t i v i t y . 4 3. G r a m m a t i c a l i t y and A c c e p t a b i l i t y 5 4. S i m p l i c i t y 5 B. T r a n s f o r m a t i o n a l Grammar 6 1. H a r r i s ' T r a n s f o r m a t i o n ... 6 2. Chomsky's T r a n s f o r m a t i o n 7 C. Chomsky and t h e H i s t o r y o f L i n g u i s t i c s 8 1. S t r u c t u r a l i s m 8 D. T r a n s f o r m a t i o n a l G e n e r a t i v e S c h o o l 10 1. S y n t a c t i c S t r u c t u r e s Model (1957) 10 I I . CONTROVERSY OVER CHOMSKY'S THEORY 12 A. M e t h o d o l o g i c a l Problems 13 v i i v i i i Page 1. I n d u c t i o n - D e d u c t i o n 13 2. I n t u i t i o n 14 3. H o c k e t t ' s C r i t i c i s m s 15 4. An i l l - d e f i n e d s y s t e m 16 B. P s y c h o l i n g u i s t i e s Remarks 18 1. G e n e t i c P s y c h o l o g y ' . . 20 C. Autonomous S y n t a x : s y n t a x and s e m a n t i c s 20 D. Problems o f the S y n t a c t i c S t r u c t u r e s Model 22 E. Saumjan's A p p l i c a t i o n a l G e n e r a t i v e Model . 24 F. C r i t i c i s m o f I n a d e q u a t e Grammars ... 26 I I I . AN INTEGRATED THEORY 28 A. The Development o f t h e T h e o r y 28 1. The N o t i o n o f " T h e o r y " 29 2. " L e v e l s o f S u c c e s s " 30 3. Competence and P e r f o r m a n c e . . . . . . . . . 30 B. F u r t h e r Development o f t h e T h e o r y • • • . • 31 1. The S e m a n t i c Component . . . . . . . 32 C. The I n t e g r a t e d T h e o r y . . . . . . . . . . . . 36 D. A s p e c t s o f the T h e o r y o f S y n t a x (1965) . . . . . . 40 1. The N o t i o n o f G r a m m a t i c a l i t y . . . . . . . . 42 2. An I l l u s t r a t i v e Fragment o f t h e Base Component 43 a) S o l u t i o n I 44 b) S o l u t i o n I I 45 c) S o l u t i o n I I I 46 3. The R e l a t i o n between Components 47 a) "Grammatical T r a n s f o r m a t i o n s " . . . . 48 b) The L e x i c o n 49 i x Page CHAPTER 2 - "POST-ASPECTS"DEVELOPMENTS INTRODUCTION . . . . . 51 I. RECENT INNOVATIONS IN LINGUISTIC THEORY 51 A. P r i n c i p a l Developments • • • • 51 1. The T r a n s f o r m a t i o n a l C y c l e 52 2. The N o t i o n o f C o n s t r a i n t 54 B. G e n e r a t i v e S e m a n t i c s 56 1. W e i n r e i c h ' s T h e o r y 56 2. Gru b e r ' s t h e o r y . . . . . 59 3. McCawley's T h e o r y 60 4. L a k o f f ' s T h e o r y 63 C. The L e x i c a l i s t H y p o t h e s i s . 67 D. I n t e r p r e t a t i v e S e m a n t i c s . . . . . . . . 69 1. Chomsky's P o s i t i o n . . 69 2. K a t z ' s P o s i t i o n . . . . . . . . . . . . 71 3. F i l l m o r e ' s P o s i t i o n 72 E. Case Grammar T h e o r y . . . . . . . . . . . . . 74 F. Montague's T h e o r y o f Grammar . . . . . . . 79 I I . SEMANTICS . . . . . . . . 80 A. An Overview o f S e m a n t i c s . . . . . . . 80 1. Word Meaning 82 2. The L e x i c o n and t h e Grammar 84 3. Language and L o g i c . 87 4. Language i n C o n t e x t 88 B. C u r r e n t C o n t r o v e r s i e s 89 X Page CHAPTER 3 - CRITICISM OF SOME GENERATIVE-TRANSFORMATIONAL THEORETICAL PRINCIPLES INTRODUCTION . . . . . 93 I. THEORETICAL AND CONCEPTUAL PROBLEMS IN LINGUISTIC THEORY . . 93 A. Dichotomy: S y n t a x / S e m a n t i c s 93 1. The S t r u c t u r e o f t h e " S i g n i f i e d " . 94 2. The S t r u c t u r e o f the " S i g n i f i c a t i o n " . . . . . . . . . 101 3. Formal R u l e s 103 4. P r e d i c a t i o n Rules 105 5. S u b c a t e g o r i z a t i o n R u l e s . . . . . 107 B. T h e o r e t i c a l P r i n c i p l e s and N o t i o n s . I l l 1. Language as a Formal System 112 2. The P r i n c i p l e o f I n t u i t i o n 112 3. The N o t i o n o f C r e a t i v i t y 112 4. The N o t i o n o f G r a m m a t i c a l i t y . . . . . . . 116 5. The N o t i o n o f S i m p l i c i t y 120 C. The P o s t - A s p e c t s N o t i o n o f C o n s t r a i n t s . . . . . . . . . . . 121 1. P e r l m u t t e r ' s Deep C o n s t r a i n t s 123 2. Ross's C o n s t r a i n t s 131 3. P e r l m u t t e r ' s S u r f a c e C o n s t r a i n t s . . . . . . . . . . . 140 D. G e n e r a t i v e and I n t e r p r e t a t i v e S e m a n t i c s ... 141 1. S y n t a c t i c and S y n t a c t i c - S e m a n t i c F e a t u r e s . 142 2. L o g i c and S e m a n t i c S t r u c t u r e s . . . . . . 145 x i Page CHAPTER 4 - PORTUGUESE SYNTACTIC PROPERTIES INTRODUCTION 149 I. NOTATION AND BASE-RULES . . . . . . . . . . . . . 149 A. N o t a t i o n 149 1. S t r u c t u r a l D e s c r i p t i o n 150 2. T r a n s f o r m a t i o n a l O p e r a t i o n s . . . . 150 3. C o n d i t i o n s on the T r a n s f o r m a t i o n a l O p e r a t i o n s . . . . . 152 B. The B a s e - R u l e s 153 1. Rule 1 156 2. Rule 2 157 3. Rule 3 159 I I . SYNTACTIC PROPERTIES OF "SIGN" . . . . . . . . . . 162 A. The S i g n 162 1. H y p o t h e s i s . . . . . . . . . . 163 B. C o n t e x t u a l F e a t u r e s . . . . . . . . . . . 163 C. C a t e g o r i a l F e a t u r e s . . . . . . . . . . 179 1. C a t e g o r i a l F e a t u r e |+ a d j | . . . . . . . . . . . . . . 184 a) P a s s i v e T r a n s f o r m a t i o n . . . . . . . . 185 b) E - I n s e r t i o n T r a n s f o r m a t i o n . . . . . . . . . . . . 187 c) A d j e c t i v i z a t i o n T r a n s f o r m a t i o n . . . . . 188 2. C a t e g o r i a l F e a t u r e |+ noun| 192 a) N o m i n a l i z a t i o n T r a n s f o r m a t i o n 193 b) P r e p o s i t i o n I n s e r t i o n T r a n s f o r m a t i o n 200 c) N o m i n a l i z a t i o n I n s e r t i o n T r a n s f o r m a t i o n 201 x i i Page D. I n h e r e n t F e a t u r e s 201 1. I n h e r e n t F e a t u r e |+ aux| 202 a) A u x i l i a r y T r a n s f o r m a t i o n 202 2. I n h e r e n t F e a t u r e |+ comp| 204 a) S u b j e c t R a i s i n g T r a n s f o r m a t i o n • . • 205 b) Embedded S u b j e c t D e l e t i o n I T r a n s f o r m a t i o n . . . . 207 c) Embedded S u b j e c t D e l e t i o n I I T r a n s f o r m a t i o n . . . 209 3. I n h e r e n t F e a t u r e | + i n f | 210 a) I n f i n i t i v i z a t i o n T r a n s f o r m a t i o n ... 211 b) I n f i n i t i v i z a t i o n o f S u b j e c t P r o p o s i t i o n T r a n s f o r -mation ... 211 c) Q u e - I n s e r t i o n T r a n s f o r m a t i o n ... 212 4. I n h e r e n t F e a t u r e |+ d e t | . 213 a) A d j e c t i v i z a t i o n T r a n s f o r m a t i o n . . . . . 213 E. R e f e r e n t i a l F e a t u r e s 214 1. R e f e r e n t i a l F e a t u r e |+ i n t g | 214 a) I n t e r r o g a t i v e I T r a n s f o r m a t i o n . 215 b) I n c o r p o r a t i o n T r a n s f o r m a t i o n ... 216 c) I n t e r r o g a t i v e I I T r a n s f o r m a t i o n . . . . . . . . . 217 d) I n t e r r o g a t i v e D e l e t i o n T r a n s f o r m a t i o n . . . . . . 220 2. R e f e r e n t i a l F e a t u r e | + imp| 221 a) S u b j u n c t i v i z a t i o n T r a n s f o r m a t i o n . . . . 221 b) I m p e r a t i v e T r a n s f o r m a t i o n . 222 3. R e f e r e n t i a l F e a t u r e |+ neg| 223 a) N e g a t i o n T r a n s f o r m a t i o n 224 b) I n c o r p o r a t i o n T r a n s f o r m a t i o n 225 x i i i Pa^e 4. R e f e r e n t i a l F e a t u r e |+ f o c u s | 225 a) F o c a l i z a t i o n T r a n s f o r m a t i o n 226 5. R e f e r e n t i a l F e a t u r e |+ t o p i c ] 226 a) T o p i c a l i z a t i o n T r a n s f o r m a t i o n 226 6. Redundancy Rules 227 a) Tense and A s p e c t 227 b) The D e t e r m i n e r 230 F. O t h e r I n h e r e n t F e a t u r e s . . . . . . 232 CHAPTER 5 - THE TRANSFORMATIONAL COMPONENT INTRODUCTION 236 I . THE TRANSFORMATIONAL CYCLE 236 A. P r o n o m i n a l i z a t i o n . . . . . . . . . . . 236 1. Lees and K l i m a 237 2. Ross 239 3. L a n g a c k e r . . . . . 241 4. L a k o f f 243 5. A d v e r b i a l i z a t i o n . . . . . . . . . 246 6. P o r t u g u e s e P r o n o m i n a l i z a t i o n . . 252 B. R e f l e x i v i z a t i o n 258 1. R e f l e x i v e - P a s s i v e s 259 2. I m p e r s o n a l s 259 3. A u t o m a t i c R e f l e x i v e s 261 x i v Page C. R e l a t i v i z a t i o n 263 1. A n t e p o s i t i o n o f |+ qu| 272 2. The G e n i t i v e 277 D. EQUI-NP D e l e t i o n 279 I I . THE ORDERING OF THE TRANSFORMATION CYCLE 283 A. R e c u r s i v e n e s s . . . . . 284 B. The O r d e r i n g o f C y c l i c R ules 287 C. P o s t - C y c l i c T r a n s f o r m a t i o n s 288 1. The C l i t i c Pronouns . . . . . . 288 I I I . COORDINATION 291 1. Gapping T r a n s f o r m a t i o n 302 2. R e c i p r o c a t i o n . . . . . 308 3. Gerundi v i z a t i on 309 CHAPTER 6 - IMPLEMENTATION OF THE PORTUGUESE GRAMMAR ON THE COMPUTER INTRODUCTION 312 I. THE COMPUTER MODEL 312 1. N o t a t i o n s 313 2. P h r a s e - S t r u c t u r e 316 3. L e x i c o n 319 1) C a t e g o r y 319 2) I n h e r e n t F e a t u r e s 319 XV Page 3) C o n t e x t u a l F e a t u r e s 320 4) Rules . . . . • 321 5) E n t r i e s . 322 4. T r a n s f o r m a t i o n s . . . . . . . 323 5. C o n c l u s i o n • 325 BIBLIOGRAPHY 327 APPENDIX A 347 APPENDIX B . 363 INTRODUCTION T h i s s t u d y p r e s e n t s a grammar f o r t h e d e s c r i p t i o n o f the main s y n t a c t i c s t r u c t u r e s o f P o r t u g u e s e i n t h e g e n e r a l l i n g u i s t i c frame o f g e n e r a t i v e - t r a n s f o r m a t i o n a l t h e o r y . The work has t h r e e i n t e r r e l a t e d p u r p o s e s . I s t a r t w i t h a r e v i e w o f the c u r r e n t s t a t e o f l i n g u i s t i c t h e o r y . The s u r v e y i s n e c e s s a r y i n o r d e r t o e x p l a i n why I a d o p t c e r t a i n p r i n c i p l e s t h a t w i l l s e r v e as the t h e o r e t i c a l framework f o r my P o r t u g u e s e grammar. The e x a m i n a t i o n o f t h i s body o f t h e o r y a l s o j u s t i f i e s , more g e n e r a l l y , t h e a d o p t i o n o r r e j e c t i o n o f c e r t a i n p r i n c i p l e s t h a t u n d e r l i e my c o n c e p t i o n o f a f o r -m a l i z e d model o f l i n g u i s t i c d e s c r i p t i o n . I want, s e c o n d , t o p r e s e n t a d e s c r i p t i o n o f t h e f o r m a l model o f a grammar and t h e g e n e r a t i o n o f i t s s y n t a c t i c s t r u c t u r e s . My f o r m a l model, based on t h e s e a s p e c t s o f l i n g u i s t i c t h e o r y , i s a p r i o r i , b u t t e s t a b l e a g a i n s t e m p i r i c a l phenomena. I t has t h e common f e a t u r e s o f a m e t a l i n g u i s t i c r e p r e s e n t a t i o n o f l i n g u i s t i c e l e m e n t s and c l a s s e s , w i t h a m a t h e m a t i c a l , l o g i c a l and l i n g u i s t i c n o t a t i o n a l s y s t e m o f o p e r a t o r s and o p e r a t i o n s . My g e n e r a t i v e - t r a n s f o r m a t i o n a l model i s n o n - e x c l u s i v e i n t h a t i t s f o r m a l p o s t u l a t e s and o p e r a t i o n s i n c l u d e B o o l e a n c l a s s i f i -c a t i o n , i n t h e s e n s e t h a t i t s symbols a r e e l e c t i v e . The model p r e s e n t e d i n the t h e s i s has been shown to have the c a p a c i t y t o g e n e r a t e grammatical s e n t e n c e s . I t i s a l s o a b l e t o p r e d i c t phenomena i n n o n - d e v i a n t e x p r e s s i o n s and t o a s c r i b e t o them a s t r u c t u r a l d e s c r i p t i o n . x v i x v i i F i n a l l y , I implement my grammar model t o a computer program i n o r d e r t o t e s t and v e r i f y the f o r m a l i z a t i o n o f i t s s y n t a c t i c r u l e s . The computer model a d o p t e d i s the computer s y s t e m f o r t r a n s f o r m a t i o n a l grammar d e v i s e d by J . Friedman. T h i s computer model c o n s i s t s o f a grammar f o r m a t and a l g o r i t h m f o r d e r i v i n g s e n t e n c e s . The f e a t u r e s o f t h e model and the s y s t e m i n c l u d e a fo r m a l d e s c r i p t i o n o f t h e s y n t a x o f t r a n s f o r m a t i o n a l grammar, a ph r a s e s t r u c t u r e scheme, a fo r m a t f o r t h e l e x i c o n and l e x i c a l i n s e r t i o n a l g o r i t h m , and a lang u a g e f o r s p e c i f y i n g t h e t r a f f i c r u l e s o f the grammar. A d a p t a t i o n o f my grammar t o t h e computer program was c o m p l e t e d a t t h e S t a t i s t i c a l C e n t r e o f t h e U n i v e r s i t y o f B r i t i s h C olumbia. The program was s u c c e s s f u l l y run on t h e IBM 360/67 o f t h e U n i v e r s i t y ' s Computing C e n t r e . I t i s n o t my i n t e n t i o n t o r e v i e w p r e v i o u s grammars o f P o r t u g u e s e b ecause t h e y a r e m o s t l y w r i t t e n i n a t r a d i t i o n a l t h e o r e t i c a l framework. My u l t i m a t e aim i s t o w r i t e a p e d a g o g i c a l grammar o f P o r t u g u e s e . F o r t h a t p u r p o s e , t h e p r e s e n t s t u d y i s n e c e s s a r y as b a c k g r o u n d r e s e a r c h . P o r t u g u e s e d a t a a r e drawn from my own n a t i v e s p e a k e r ' s competence o f t h e s t a n d a r d d i a l e c t o f L i s b o n . The s p e l l i n g o f P o r t u g u e s e i s a c c o r d i n g t o t h e 1973 t r e a t i s e o f Aoademta Luso Brasileira de Letvas. T h i s s t u d y i s o r g a n i z e d i n the f o l l o w i n g manner. The f i r s t two c h a p t e r s , as a m e t h o d o l o g i c a l p r e l i m i n a r y , d e a l w i t h a s p e c t s o f t h e t h e o r y and p r a c t i c e o f t r a n s f o r m a t i o n a l grammar. They p r e s e n t an i n t e r -p r e t a t i v e s u r v e y o f t h e t h e o r y o f g e n e r a t i v e - t r a n s f o r m a t i o n a l grammar from i t s o r i g i n s t o the p r e s e n t . C h a p t e r t h r e e s e t s out the r e a s o n s g o v e r n i n g t h e c h o i c e o f d e s c r i p t i v e methods, and examines the p r o p e r t i e s o f d i f f e r e n t g e n e r a t i v e -x v i i i t r a n s f o r m a t i o n a l s y s t e m s . T h i s p r o c e d u r e i s a n e c e s s a r y p r e l i m i n a r y t o p o s t u l a t i n g the f o r m a l i t i e s o f t h e model which w i l l be used i n c o n -s t r u c t i n g my P o r t u g u e s e grammar. C h a p t e r f o u r c o n c e r n s the model. I t b e g i n s w i t h an e x p l a n a t i o n o f t h e n o t a t i o n s y s t e m which w i l l be used i n the model. The d i s c u s s i o n w i l l a l s o p r o v i d e p r e c i s i o n i n t h e f o r m a l i z a t i o n o f the s y n t a c t i c d e s -c r i p t i o n . The c h a p t e r , f i n a l l y , d e s c r i b e s and comments on t h e base r u l e s and t h e s y n t a c t i c p r o p e r t i e s w hich compose t h e l e x i c a l s t r u c t u r e . C h a p t e r f i v e t r e a t s the t r a n s f o r m a t i o n a l component. I t d i s c u s s e s the o r g a n i z a t i o n o f t h e t r a n s f o r m a t i o n s and t h e c y c l i c o r d e r . The t r a n s -f o r m a t i o n a l component c o n s i s t s p r i m a r i l y o f a s e t o f t r a n s f o r m a t i o n s , b u t i t a l s o c o n t a i n s t r a f f i c r u l e s t h a t s p e c i f y the o r d e r i n w hich t h e t r a n s f o r m a t i o n s a r e a p p l i e d . The c y c l e i s used t o group t r a n s f o r m a t i o n s i n t o o r d e r e d s e t s and t o a p p l y t r a n s f o r m a t i o n s i n d i v i d u a l l y , by s e t , once, o r r e p e a t e d l y . C h a p t e r s i x d i s c u s s e s t h e a d a p t a t i o n o f t h e P o r t u g u e s e grammar t o the computer program. I t e x p l a i n s the n o t a t i o n , w hich i s a s y s t e m d e s c r i b e d i n a f o r m a l m e t alanguage, and p r e s e n t s the m o d i f i e d and f i n a l i z e d f o r m o f t h e P o r t u g u e s e grammar commenting on the i n n o v a t i v e t h e o r e t i c a l a p p r o a c h . I t d e s c r i b e s the f o l l o w i n g p a r t s o f t h e grammar: p h r a s e -s t r u c t u r e , l e x i c o n , and t r a n s f o r m a t i o n s . The c o m p l e t e v e r s i o n o f t h e grammar i s p r e s e n t e d i n A ppendix A. T h i s grammar i s a d e v i c e w hich d e f i n e s the s e m a n t i c a l l y i n t e r -p r e t a b l e deep s t r u c t u r e s and the g r a p h e m i c a l l y i n t e r p r e t a b l e s u r f a c e s t r u c t u r e f o r a s e t o f P o r t u g u e s e s e n t e n c e s . When a human b e i n g reads x i x o r s e e s a s e n t e n c e , he uses knowledge t o u n d e r s t a n d i t . T h i s i n c l u d e s n o t o n l y grammar, b u t a l s o h i s knowledge o f t h e s u b j e c t m a t t e r . To w r i t e a computer program which u n d e r s t a n d s n a t u r a l l a n g u a g e , we need t o u n d e r s t a n d what l a n g u a g e i s and what i t does. Language can be a p p r o a c h e d as a s e t o f m a t h e m a t i c a l r u l e s and s y m b o l s , o r as a s y s t e m i n t e n d e d t o communicate i d e a s . The p r o c e s s o f u n d e r s t a n d i n g a s e n t e n c e has t o combine grammar and r e a s o n i n g i n a h i g h l y i n t e r r e l a t e d manner. A computer model i s n o t a d e t a i l e d p s y c h o l o g i c a l t h e o r y o f how a p e r s o n i n t e r p r e t s a l a n g u a g e , b u t my work r e v e a l s t h a t t h e r e may i n f a c t be a h i g h l e v e l o f i s o m o r p h i s m between t h e o r y , t h e computer grammar, and t h e i n d i v i d u a l ' s 1anguage. CHAPTER 1 GENERATIVE-TRANSFORMATIONAL GRAMMAR INTRODUCTION The f i r s t c h a p t e r p r e s e n t s an i n t e r p r e t a t i o n o f the t h e o r y o f t r a n s f o r m a t i o n a l - g e n e r a t i v e grammar. The most i m p o r t a n t a s p e c t s o f th e t r a n s f o r m a t i o n a l s c h o o l a r e p r e s e n t e d c h r o n o l o g i c a l l y . I . ORIGINS OF GENERATIVE-TRANSFORMATIONAL THEORY T h i s s e c t i o n examines the l i n g u i s t i c p r i n c i p l e s , n o t i o n s , c o n -c e p t s and some o f the weaknesses o f g e n e r a t i v e - t r a n s f o r m a t i o n a l t h e o r y from i t s b e g i n n i n g s up t o 1965. A. G e n e r a t i v e Grammar The n o t i o n o f g e n e r a t i v e grammar i s based on t h e h y p o t h e t i c a l a n a l o g y o f l a n g u a g e and f o r m a l s y s t e m . The c o n c e p t o f f o r m a l s y s t e m can be t r a c e d t o A r i s t o t l e ' s l o g i c , t o E u c l i d ' s a x i o m a t i c t h e o r y and t o L e i b n i z ' s i d e a o f f o r m a l o p e r a t i o n s i n c a l c u l u s . B o o l e ' s d i s c o v e r i e s and works e s t a b l i s h e d an i n d e p e n d e n t domain f o r f o r m a l systems u n d e r the c l a s s i f i c a t i o n o f " l o g i c " o r "m a t h e m a t i c a l s y m b o l i c l o g i c . " These f o r m a l systems have been used f o r t h e a x i o m a t i z a t i o n o f t h e o r i e s i n 1 2 s e v e r a l s c i e n c e s , and t h e i r a p p l i c a t i o n t o n a t u r a l l a n g u a g e s has h e l p e d a v o i d t h e i m p r e c i s i o n u s u a l l y found i n t h e d e s c r i p t i o n o f a l a n g u a g e . Carnap (1934) was t h e f i r s t t o remark t h a t the g e n e r a l s t r u c t u r e o f a f o r m a l s y s t e m i s s i m i l a r t o t h a t o f a " l a n g u a g e " : "L'ensemble de s i g n e s " c o r r e s p o n d s t o the words, the "theorems" c o r r e s p o n d t o t h e w e l l - f o r m e d s e n t e n c e s o f a l a n g u a g e , and t h e "axioms" c o r r e s p o n d to t h e f o r m a t i o n and t r a n s f o r m a t i o n a l r u l e s o f t h e grammar ( C a r n a p , 1 9 3 4 ) H a r r i s (1951: 372-3) was t h e f i r s t l i n g u i s t t o a t t e m p t to w r i t e a grammar o f a n a t u r a l language i n terms o f a f o r m a l s y s t e m . Chomsky n e x t d e v e l o p e d t o a v e r y h i g h d e g r e e t h e n o t i o n o f f o r m a l i s m i n a l i n g u i s t i c d e s c r i p t i o n . The n o t i o n o f " g e n e r a t i o n " was borrowed from metamathematics and was used i n l i n g u i s t i c s i n the m a t h e m a t i c a l s e n s e . Carnap and B a r - H i l l e l t hen s o u g h t i n f o r m a l i z a t i o n an answer t o the problems o f t h e d e s c r i p t i o n o f s y n t a x , w h i l e Chomsky (1951) i n s i s t e d on t h e t h e o r e t i c a l e x i s t e n c e o f an i n f i n i t y o f f o r m a l s y s t e m s , each o f w h i c h was c a p a b l e o f g e n e r a t i n g c o r r e c t s e n -t e n c e s . He a l s o a r g u e d t h a t f o r m a l i z a t i o n does n o t s o l v e any o f t h e problems o f s y n t a c t i c s t r u c t u r e s . Chomsky s o u g h t a f o r m a l c h a r a c t e r i -z a t i o n o f g e n e r a t i v e r u l e s . 1 . Grammar and T h e o r y The a n a l o g y between f o r m a l s y s t e m and l a n g u a g e l e d Chomsky t o h i s c o n c e p t i o n o f a l i n g u i s t i c t h e o r y , i n which the grammar o f the l a n -guage i s a l s o the t h e o r y o f t h e l a n g u a g e . A grammar i n t h i s c a s e i s l i k e a f o r m a l s y s t e m , c o n s i s t i n g o f t h e a x i o m a t i z a t i o n o f a t h e o r y , w i t h axioms, d e d u c t i o n r u l e s and theorems. I f t h e grammar i s formed on the a n a l o g y o f i t s axioms and t h e r u l e s o f t h a t l a n g u a g e , i t i s a n a l o g o u s to the T Carnap, however, has used the terms " f o r m a t i o n " and " t r a n s -f o r m a t i o n r u l e s " i n a d i f f e r e n t s e n s e o f t h e 1970s grammarians. 3 t h e o r y o f t h a t same l a n g u a g e . Chomsky was thus a t t e m p t i n g t o d e v e l o p a " t h e o r y o f l a n g u a g e s " o r a " l i n g u i s t i c t h e o r y " which would be a " u n i -v e r s a l t h e o r y o f grammar." Chomsky s u g g e s t e d a f o r m a l t h e o r y t o have t h r e e p a r t s : a) a d i s c o v e r y p r o c e d u r e f o r grammars, b) a d e c i s i o n p r o c e d u r e f o r grammars, and c) an e v a l u a t i o n p r o c e d u r e f o r grammars. d i s c o v e r y p r o c e d u r e a) Corpus Grammar b) d e c i s i o n p r o c e d u r e Grammar • Corpus } c) GI G2 Yes No e v a l u a t i o n p r o c e d u r e Corpus GI G2 T h i s d i a g r a m r e p r e s e n t s : A t h e o r y c o n c e i v e d as a machine w i t h a c o r p u s as i t s i n p u t and a grammar as i t s o u t p u t ; hence a t h e o r y t h a t p r o v i d e s a d i s c o v e r y p r o c e d u r e i s a d e v i c e w i t h a grammar and a c o r p u s as i t s i n p u t s , and the answers " y e s " o r "no" as i t s o u t p u t s , as the grammar i s o r i s n o t t h e c o r r e c t one; h e n c e , i t r e p r e s e n t s a t h e o r y t h a t p r o v i d e s a d e c i s i o n p r o c e d u r e f o r grammars. (1957:52) 4 Chomsky has argued t h a t (a) and(b) a r e too h i g h as r e a s o n a b l e g o a l s . He o p t s f o r ( c ) and emphasizes the d e v e l o p m e n t o f an e v a l u a t i o n p r o c e d u r e f o r grammars, r e a l i z i n g t h a t t h i s i s the most a c c e s s i b l e g o a l . The b e s t method o f a c h i e v i n g t h i s i s t h r o u g h " f o r m a l i s m . " 2. R e c u r s i v e n e s s and C r e a t i v i t y The f u n c t i o n o f a f o r m a l s y s t e m as a g e n e r a t i v e s y s t e m i s t o enumerate i t s theorems. I f we r e v e r s e t h e p r o c e s s , c o n s i d e r i n g the theorems as the c o r p u s , o r as e n t r y s y m b o l s , we may t r y t o c o n s t r u c t a m e c h a n i c a l p r o c e s s which i s a b l e t o c a l c u l a t e t h e d e d u c t i o n r u l e s and the axioms o f the s y s t e m . The ensemble o f r u l e s i s c a l l e d an a l g o r i t h m . The f a c t t h a t the ensemble o f r u l e s has an i n f i n i t e number o f o u t p u t s does n o t a l t e r t h e p r e c i s e d e f i n i t i o n o f t h e s y s t e m w h i c h i s a b l e t o d e f i n e t h e p r o p e r t i e s o f t h i s o u t p u t by t h e m a t h e m a t i c a l n o t i o n o f r e -c u r s i v e n e s s . Chomsky makes the a n a l o g y between t h e m a t h e m a t i c a l n o t i o n o f r e c u r s i v e f u n c t i o n s and t h e c o r r e s p o n d i n g p r o p e r t i e s o f n a t u r a l l a n -guages. The f a c t t h a t each i n d i v i d u a l i s a b l e t o u n d e r s t a n d an i n f i n i t e number o f s e n t e n c e s e x p r e s s e d i n h i s n a t i v e l a n g u a g e and w h i c h he h e a r s f o r t he f i r s t t i m e , l e a d s Chomsky t o d e f i n e as " c r e a t i v i t y " o r " t h e c r e a t i v e a s p e c t " o f the l a n g u a g e t h e i n t e r n a l i z e d r e c u r s i v e f u n c t i o n s t h a t the s p e a k e r has l e a r n e d (Chomsky, 1957). B u t i n f a c t no s p e a k e r e v e r p r o c e s s e s an i n f i n i t e number o f s e n t e n c e s . R a t h e r , he has the a b i l i t y t o p r o c e s s new s e n t e n c e s . 5 3. Grammaticality and Acceptability Chomsky (1956:52) says that each speaker has a guided intuition about the comprehension and production of a sentence. The degree of accep-abi1ity of that sentence corresponds to its degree of grammaticality. From the formal properties of a sentence and the speaker's intuitive validation of that sentence results the notion of grammaticality. This notion exists separately from the meaning of the sentence. Grammatical autonomy excludes the notion of meaning in this theory. This does not mean that Chomsky excludes the importance of semantics in a linguistic description. He does forsee the development of the theory formulated on a restricted but independent base, viz the syntactic component, a development which will allow for a further expansion, in the form of the semantic component. Grammaticality is a matter of "competence," while "acceptability" is a matter of "performance." The two are quite dis-tinct, thus for Chomsky grammaticality determines performance. 4. Simplicity Chomsky uses grammatical "theory" as a "theory of language" that presents a double system, one intercalated to the other, keeping the interpretation of all the terms of the metalanguage used in the description of the same language. The notion of "simplicity" is based on the notion of "elegance" in a formal system or in a mathematical demonstration. Economy is applied to the form and number of rules, and to the degree of condensation of rules which meet the adequacy cri-terion of predictability. The simplest grammar is chosen on an empirical basis. The principle of "simplicity" corresponds to Hjelmslev's 6 c o n c e p t i o n (1943-1968:33) t h a t grammar i s the t h e o r y o f a l a n g u a g e , o r a r e p r e s e n t a t i o n o f the l a n g u a g e , which i s p a r t o f a l i n g u i s t i c meta-t h e o r y . Grammar as a t h e o r y o r model has many p o s s i b l e r e p r e s e n t a t i o n s . The c r i t e r i o n o f s i m p l i c i t y w i l l h e l p choose the most e l e g a n t model. The c h o i c e i s e m p i r i c a l and i s used u n i q u e l y to compare grammars and n o t as an e p i s t e m o l o g i c a l p r i n c i p l e o f a u n i v e r s a l v a l u e . The " s i m p l i c i t y " c o n c e p t i s most v a l u a b l e when comparing grammars and does n o t c a r r y o t h e r i m p l i c a t i o n s as i n o t h e r domains (Chomsky 1970:4). A l s o , Chomsky equ a t e s " s i m p l i c i t y " w i t h c a p t u r i n g l i n g u i s t i c a l l y s i g n i f i c a n t g e n e r a l i -z a t i o n s : i . e . the " i n t u i t i o n s " o f n a t i v e s p e a k e r s . T h us, t h e e v a l u a t i o n measure i s supposed t o have e m p i r i c a l c o n t e n t . B. T r a n s f o r m a t i o n a l Grammar The n o t i o n o f t r a n s f o r m a t i o n came d i r e c t l y from H a r r i s ' c o n c e p t o f d i s t r i b u t i o n ( 1 9 5 2 ) . Lyons (1968) p o i n t s o u t t h e main d i f f e r e n c e s between the c o n c e p t s o f t r a n s f o r m a t i o n i n H a r r i s and Chomsky. 1. H a r r i s ' T r a n s f o r m a t i o n H a r r i s , one o f t h e most i m p o r t a n t l i n g u i s t s o f the A m e r i c a n s t r u c t u r a l i s t s c h o o l , d e v e l o p e d a l i n g u i s t i c a n a l y s i s c e n t r e d on the c l a s s i f i c a t i o n o f e l e m e n t s a c c o r d i n g t o t h e i r d i s t r i b u t i o n a l p r o p e r t i e s . In S t r u c t u r a l L i n g u i s t i c s (1951) we a r e p r e s e n t e d w i t h H a r r i s ' s y s t e m . 2 Though n o t y e t w e l l d e f i n e d by H a r r i s , t h e t r a n s f o r m a t i o n emerges as 2 A l t h o u g h I r e c o g n i z e H a r r i s t o be t h e o r g i n a t o r o f t h e whole n o t i o n o f t r a n s f o r m a t i o n and h i s more r e c e n t n o t i o n s o f t r a n s f o r m a t i o n s 7 an o p e r a t i o n which p r o d u c e s a s t r u c t u r a l change w h i l e k e e p i n g i t s gram-m a t i c a l f u n c t i o n . The main c h a r a c t e r i s t i c s o f H a r r i s 1 t r a n s f o r m a t i o n a r e t h e f o l l o w i n g : 1) I t i s a b i - d i r e c t i o n a l and symmetric r e l a t i o n ; 2) I t e s t a b l i s h e s t h e r e l a t i o n between the n u c l e u s and the o t h e r elements o f the s e n t e n c e ; 3) I t does not change the meaning: 4) A l l t r a n s f o r m a t i o n s a r e o p t i o n a l ; 5) T r a n s f o r m a t i o n s can a p p l y to p a r t s o f s e n t e n c e s . 2. Chomsky's T r a n s f o r m a t i o n Chomsky, who p a r t i c i p a t e d i n t h e r e s e a r c h o f S t r u c t u r a l L i n g u i s t i c s ( H a r r i s : 1951), saw the l i m i t a t i o n s o f H a r r i s ' s y s t e m , and h i s own r e s e a r c h on d i s c o u r s e a n a l y s i s l e a d l a t e r t o t h e p r e c i s e n o t i o n o f t r a n s f o r m a t i o n . Chomsky's major o r i g i n a l c o n t r i b u t i o n t o t h e c o n c e p t o f t r a n s -f o r m a t i o n w hich he borrowed fr o m H a r r i s , i s the i m p o r t a n c e he gave t o i t i n a f o r m a l s y s t e m . Chomsky i s c o n c e r n e d w i t h t h e f o r m a l p r o p e r t i e s o f th e t r a n s f o r m a t i o n , and i n f o r m a l i z i n g i t , he d e f i n e s and i n t e r p r e t s i t i n a d i f f e r e n t way: 1) The t r a n s f o r m a t i o n i s i n t e g r a t e d i n t o a g e n e r a t i v e s y s t e m . I t works from axiom t o theorem; t h e r e f o r e , t h e o r d e r o f the o p e r a t i o n s i s l i n e a r . One s t r u c t u r e s u b s t i t u t e s f o r a n o t h e r ; a member o f the e q u a t i o n i s a d e r i v a t i o n o f a n o t h e r member. as o p e r a t o r s exposed i n The M a t h e m a t i c a l S t r u c t u r e o f Language ( 1 9 6 8 ) , i t i s n o t my i n t e n t i o n i n t h i s s t u d y t o d i s c u s s H a r r i s ' work. 8 2) Chomsky o r d e r s h i s s t r u c t u r e s i n the f o r m a l s y s t e m , a l l o w i n g i n t e r m e d i a t e o r n o n - t e r m i n a l s t r u c t u r e s t o w hich o b l i g a t o r y t r a n s f o r m a -t i o n s w i l l a p p l y . 3) Some o f the t r a n s f o r m a t i o n s a r e o b l i g a t o r y and o t h e r s a r e op-t i o n a l . 4) " S e n t e n c e " i s e s t a b l i s h e d as a maximal u n i t o f a n a l y s i s , i . e . t r a n s f o r m a t i o n a l grammars a r e s e n t e n c e grammars. 5) The f o r m a l i z a t i o n o f t r a n s f o r m a t i o n i s s i m i l a r to t h e c o n c e p t used i n l o g i c by Carnap (1934:28) "A t r a n s f o r m a t i o n r u l e f o r m u l a t e s the c o n d i t i o n s w hich d e r i v e one s e n t e n c e f r o m a n o t h e r . " 6) Chomsky bases the t r a n s f o r m a t i o n c o n c e p t on t h e c r e a t i v e p r o p e r t y o f the grammar o f a n a t u r a l l a n g u a g e . C. Chomsky and t h e H i s t o r y o f L i n g u i s t i c s In an a t t e m p t to c o n s t r u c t h i s t h e o r y , Chomsky uses t h e k i n d o f l o g i c t h a t i s s i m i l a r t o metamathematics o r m e t a l o g i c , w h i l e B a r - H i 11 e l , C a r n a p , and o t h e r s , use m a t h e m a t i c a l - l o g i c a l c o n c e p t s i n l i n g u i s t i c s . He a l s o p r o p o s e s t h e e x i s t e n c e o f a " c a r t e s i a n l i n g u i s t i c s " d e f i n e d i n terms o f an " i n n a t e " p h i l o s o p h y t a k e n from D e s c a r t e s . The n o t i o n s o f "deep s t r u c -t u r e " and " s u r f a c e s t r u c t u r e " a r e borrowed f r o m the " P o r t R o y a l " gram-m a r i a n s , and t h e n o t i o n o f c r e a t i v i t y o f l a n g u a g e i s borrowed from Humboldt. 1. S t r u c t u r a l i s m Chomsky d e t a c h e s h i m s e l f f r o m s t r u c t u r a l i s m and opposes the N o r t h A m e rican n e o - B l o o m f i e l d i a n s , g l o s s e m a t i c s , the Prague s c h o o l and 9 i t s d i v e r s e o u t g r o w t h s , the f u n c t i o n a l s c h o o l o f M a r t i n e t , and the F i r t h i a n s c h o o l and i t s d e v e l o p e r s . To be s u r e , Chomsky has t a k e n some i d e a s and c o n c e p t s from each o f t h e s e l i n g u i s t i c s c h o o l s , b u t as remarked by H o c k e t t (1968:36): Chomsky has been c o n s t r u c t i n g an e l a b o r a t e and c o h e r e n t t h e o r y o f l a n g u a g e w hich d i f f e r s s t a r t i n g l y from any p r o p o s e d by l i n g u i s t s o r p h i l o l o g i s t s , o r by p s y c h o l o g i s t s o r p h i l o s o p h e r s , d u r i n g the l a s t hundred y e a r s o r more. By moving away from the r e s t o f us a t a w i d e a n g l e , Chomsky has a c h i e v e d a d i f -f e r e n t p e r s p e c t i v e . . . In b r i e f , Chomsky has c r e a t e d a whole new l i n g u i s t i c s c h o o l . He has i n i t i a t e d a new p e r i o d i n t h e h i s t o r y o f l i n g u i s t i c s , as F e r d i n a n d de S a u s s u r e s e p a r a t e d h i m s e l f f r o m t h e neo-grammarians and c r e a t e d what became u l t i m a t e l y the s t r u c t u r a l i s t s c h o o l . N e v e r t h e l e s s , Chomsky has c o n f i r m e d h i s i n d e b t e d n e s s t o s t r u c -t u r a l i s m ( 1 9 7 0 : 5 7 ) , and t h e p r e o c c u p a t i o n s r e v e a l e d i n h i s r e s e a r c h p l a c e him i n t h e c o n t e x t o f t h e n e o - B l o o m f i e l d i a n American s c h o o l . The s i m i l a r i t i e s between Chomsky's p r i n c i p l e s and t h o s e o f t h e neo-B l o o m f i e l d i a n s have the f o l l o w i n g i n common [ H o c k e t t ( 1 9 6 8 : 3 1 - 2 ) ] : 1) The c o n c e p t i o n o f l a n g u a g e as a " r i g i d " s y s t e m ; 2) The n o t i o n o f a grammar based on the c o n c e p t i o n o f " d i s t r i b u t i o n a l s e g m e n t a t i o n " from the p h o n o l o g i c a l model; 3) The i d e a t h a t grammar and s e m a n t i c s s h o u l d be s e p a r a t e d . These p r i n c i p l e s a r e a t t h e r o o t o f Chomsky's l i n g u i s t i c t h e o r y . In terms o f t h e s e p r i n c i p l e s he i s a n e o - B l o o m f i e l d i a n and i s opposed t o the F i r t h i a n s , who a r e o r i e n t e d t o s i t u a t i o n a l c o n t e x t u a l ! " z a t i on, and to the f u n c t i o n a l i s t s who f o c u s on l a n g u a g e as a communication sys t e m . However, Chomsky d e v e l o p s a r a d i c a l change o f methodology b e c a u s e he 10 t r e a t s l i n g u i s t i c s n o t as an a n a l y t i c a l , e m p i r i c a l and taxonomic s c i e n c e , ' b u t as a f o r m a l d e d u c t i v e and e x p e r i m e n t a l s c i e n c e . One o f Chomsky's main g o a l s i n c o n s t r u c t i n g h i s t h e o r y i s t o d e m o n s t r a t e t h e l i m i t a t i o n s o f t h e s t r u c t u r a l i s t methods. S t r u c t u r a l grammars were u n a b l e t o a c c o u n t f o r a l l t h e s e n t e n c e s o f a l a n g u a g e and t o p r o v i d e them w i t h a c o r r e c t s t r u c t u r a l d e s c r i p t i o n , and, f u r t h e r , ambiguous s e n t e n c e s c o u l d not be c l a r i f i e d i n an a d e q u a t e manner. D. T r a n s f o r m a t i o n a l - G e n e r a t i ve S c h o o l The p r i n c i p l e s o f a new l i n g u i s t i c s c h o o l were o u t l i n e d i n t h e p r e c e d i n g p a r a g r a p h s . These p r i n c i p l e s a l l o w a d o u b l e p u r p o s e : the a x i o m a t i z a t i o n and e v a l u a t i o n o f grammars and t h e n t h e f o r m u l a t i o n o f a model. 1. S y n t a c t i c S t r u c t u r e s Model (1957) S y n t a c t i c S t r u c t u r e s , a condensed r e v i e w v e r s i o n o f some p a r t s o f Chomsky's d o c t o r a l d i s s e r t a t i o n , exposes t h e f o l l o w i n g p r i n c i p l e s o f a new l i n g u i s t i c t h e o r y . 1) The c r e a t i v e a s p e c t o f a l a n g u a g e needs a r e c u r s i v e p r o c e s s , which i s c o n c e i v e d as an a t t r i b u t e o f t h e t r a n s f o r m a t i o n . 2) The c o n c e p t o f g r a m m a t i c a l i t y must be r e a l i z e d a t f o u r l e v e l s : a) t h e t r a n s f o r m a t i o n a l l e v e l , b) t h e s y n t a c t i c l e v e l , c) the m o r p h o l o g i c a l l e v e l , d) the p h o n e t i c l e v e l . 11 3) The c o n c e p t o f s i m p l i c i t y needs a f o r m a l n o t a t i o n , t o r e a l i z e a l l t h e r u l e s o f t h e grammar, which a r e o f two t y p e s : a) P h r a s e - s t r u c t u r e r u l e s : 1. F o r m a t i o n - xAy > xZy where A i s a u n i q u e and n o n - n u l l e l e m e n t and Z i s a s e r i e s o f elements components o f A o r a s e t o f members o f t h e c l a s s A. b) T r a n s f o r m a t i o n a l r u l e s : 1 . S i n g u l a r - T h i s t y p e o f t r a n s f o r m a t i o n i s a p p l i e d d i r e c t l y t o t h e k e r n e l and i t i m p l i e s one o f t h e f o u r o p e r a t i o n s : a d j u n c t i o n , e l l i p s e , s u b s t i t u t i o n and p e r m u t a t i o n . T hese o p e r a t i o n s may be s y m b o l i z e d as f o l l o w s : x, + x ? + x + x. *• x l + x2 + x3 + x4 + x5 J ( a d j u n c t i o n ) x l + x2 + x3 ( e l l i p s e ) -> x l + x2 + x3 + x5 ( s u b s t i t u t i o n ) • x l + x3 + x4 + x2 ( p e r m u t a t i o n ) T h ese t r a n s f o r m a t i o n s a r e o b l i g a t o r y o r o p t i o n a l and a r e o r d e r e d . 2. G e n e r a l i z e d - These t r a n s f o r m a t i o n s group two k e r n e l s i n t o one s e n t e n c e : from two s t r u c t u r a l d e s c r i p t i o n s w i l l r e s u l t one s e n t e n c e . The n o t a t i o n used i n a g e n e r a t i v e grammar i s as f o l l o w s : — >• r e w r i t e (x) o p t i o n a l 12 0 # z e r o e l e m e n t word boundary e i t h e r one e l e m e n t x o r y The s t r u c t u r a l d e s c r i p t i o n has t h e form o f a p h r a s e - m a r k e r , r e p r e s e n t e d by l a b e l l e d b r a c k e t s . The nodes o f t h e p h r a s e -marker c o r r e s p o n d t o t h e l a b e l l e d b r a c k e t s . The grammar p r e s e n t s t h i s g e n e r a l form: E: s e n t e n c e . . . Axiom x l x2 T i Tn Z i Zn P h r a s e - s t r u c t u r e T r a n s f o r m a t i o n a l s t r u c t u r e Morphophonemics F o r m a t i o n and T r a n s f o r m a t i o n R u l e s I I . CONTROVERSY OVER CHOMSKY'S THEORY The comments p r e s e n t e d h e r e w i l l f o c u s on f i v e m a j o r t o p i c s . F i r s t , some m e t h o d o l o g i c a l problems and some p s y c h o l i n g u i s t i c o b j e c -t i o n s a r e d i s c u s s e d . Then, t h e r e f o l l o w s a d i s c u s s i o n on the s t a t u s o f autonomous s y n t a x and i t s r e l a t i o n to s e m a n t i c s . And f i n a l l y some t e c h -n i c a l problems o f t h e 1957 model, and c r i t i c i s m s o f i n a d e q u a t e grammars a r e p r e s e n t e d h e r e . 13 A. M e t h o d o l o g i c a l Problems Some l i n g u i s t s have q u e s t i o n e d t h e s c i e n t i f i c v a l i d i t y o f Chom-s k y ' s t h e o r i e s . V o e g e l i n (1958:229-31) asks how Chomsky has worked o u t h i s t h e o r y on a b a s i s o f t h e f a c t s o f l a n g u a g e . H a l l i d a y (1962) q u e s t i o n s the r o l e o f i n t u i t i o n i n h i s r e s e a r c h . Dixon (1963:1.1-3.3), who has d e f i n e d " s c i e n c e " as "a n o t i o n which r e c o g n i z e s s t r u c t u r e s f r o m o b s e r -v a t i o n s , " c a n n o t a c c e p t s e r i o u s l y a t h e o r y which c r e a t e s f a c t s f r o m a r b i t r a r y s t r u c t u r e s . The F r e n c h f u n c t i o n a l i s t M a r t i n e t ( 1 9 6 8 : x i i ) remarks: En f a c e de c o n s t r u c t i o n s q u i ne s ' a p p u i e n t s u r aucune o b s e r -v a t i o n o b j e c t i v e du comportement l i n g u i s t i q u e des s u j e t s p a r l a n t s , q u i se f o n d e n t s u r des a p r i o r i qu'on ne c h e r c h e m§me pas a j u s t i f i e r ... and F r a n p o i s (1968:176) ... l a l i n g u i s t i q u e p e u t e t r e a u s s i e x p e r i m e n t a l que d e s c r i p t i v e . En r e v a n c h e , e l l e ne p e u t e t r e n i d e d u c t i v e au sens ou l ' e s t l a l o g i q u e , n i fo n d e e s u r 1 ' i n t r o s p e c t i o n . T hese c r i t i c i s m s a r e based on an " e m p i r i c a l " p o i n t o f view and a r e d i r e c -ted t o a fundamental " p h i l o s o p h i c a l " a s p e c t o f Chomsky's methodology, namely t he p r o b l e m o f i n d u c t i v e v e r s u s d e d u c t i v e p r o c e d u r e s i n the c o n -s t r u c t i o n o f a s c i e n c e . 1. I n d u c t i o n - D e d u c t i o n Chomsky has p r e s e n t e d c o n v i n c i n g arguments showing t h e weakness and t h e i n a d e q u a c y o f the s t r u c t u r a l i s t s ' m e thodology, which i n c l u d e t h e i r i n a b i l i t y t o a c c o u n t f o r l i n g u i s t i c s t r u c t u r e s p r o d u c e d by 14 t r a n s f o r m a t i o n s , t h e l a c k o f e x p l i c i t n e s s , which would a c c o u n t f o r t h e c r e a t i v e a s p e c t o f l a n g u a g e , and the l a c k o f f o r m a l i z a t i o n , s i m p l i c i t y and e x h a u s t i v e n e s s i n t h e model. Some s t r u c t u r a l i s t s r e a c t i n a h o s t i l e way a g a i n s t t h e demon-s t r a t i o n o f t h e i n a d e q u a c y o f t h e i r methodology. They i n t e r p r e t t h i s d e m o n s t r a t i o n as an a t t a c k on the i n d u c t i v e method as s u c h , and have r e a c t e d by a t t a c k i n g Chomsky's d e d u c t i v e method. Once t h i s c o n t r o v e r s y i s s t a t e d , i t must be s a i d f u r t h e r t h a t Chomsky has n o t e x p l i c i t l y t r i e d t o d e m o n s t r a t e t h e i n a d e q u a c y o f the i n d u c t i v e method. The s t r u c t u r a l i s t s have n o t t r i e d , as remarked by P o s t a l ( 1 9 6 4 a ) , t o r e f u t e t h e p r o o f s o f t h e i n a d e q u a c y o f t h e i r methodology on the l i n g u i s t i c l e v e l . Some o f Chomsky's f o l l o w e r s have f a l l e n i n t o t h e s t r u c t u r a l i s t s ' t r a p i n the p r o c e s s o f d e m o n s t r a t i n g the i n a d e q u a c y o f t h e i n d u c t i v e method. Recourse t o the f a c t s and t h e e x i s t e n c e o f some n o n d e f i n e d axioms a r e p r e s e n t b o t h i n Chomsky's a p p r o a c h and t h e s t r u c t u r a l i s t s ' a p p r o a c h . In my o p i n i o n , a c o m p a r i s o n o f b o t h a p p r o a c h e s on the p h i l o s o p h i c a l l e v e l g i v e s Chomsky a s u p e r i o r p o s i t i o n on t h e l i n g u i s t i c l e v e l . 2. I n t u i t i o n Chomsky's c r i t i c s d e m o n s t r a t e a c e r t a i n m i s u n d e r s t a n d i n g a b o u t some a s p e c t s o f h i s t h e o r y . H a l l i d a y p o i n t s o u t t h a t Chomsky (1962:2-11) uses t he term " i n t u i t i o n " i n f o u r d i f f e r e n t ways. I n t u i t i o n i s thus i n t e r p r e t e d a s : a) t h e knowledge o f the l i s t e n e r which e n a b l e s him t o r e c o g n i z e a g i v e n s t r u c t u r e b e l o n g i n g t o a g i v e n l a n g u a g e ; 15 b) t h e s p e a k e r ' s knowledge o f t h e grammar, e n a b l i n g him t o r e c o g -n i z e t h e s t r u c t u r e s o f s e n t e n c e s a t d i f f e r e n t l e v e l s ; c ) a methodology which f o r m a l i z e s s t r u c t u r e s i n d e p e n d e n t l y o f a t h e o r y o f the ensemble o f the l a n g u a g e ; d) axioms o f t h e s t r u c t u r e o f a l a n g u a g e . Chomsky's p o s i t i o n i s t h a t i n t u i t i o n means t h e a x i o m a t i z a t i o n o f t h e s t r u c t u r e s o f a l a n g u a g e . A x i o m a t i z a t i o n i s an a n a l o g y between l a n g u a g e and f o r m a l s y s t e m . The v e r i f i c a t i o n o f the e x a c t n e s s o f t h i s a n a l o g y c o n s i s t s i n the c o r r e s p o n d e n c e between t h e n o t i o n o f a c c e p t a b i l i t y and the f o r m a l n o t i o n o f g r a m m a t i c a l i t y . The n o t i o n o f g r a m m a t i c a l i t y i s p o s s e s s e d by the t h e o r e t i c i a n h i m s e l f , which i s a f a c t o r o f h i s i n t u i t i v e knowledge o f h i s l a n g u a g e . The e x i s t e n c e o f t h e s e i n t u i t i v e n o t i o n s i s a h y p o t h e s i s t h a t can be a c c e p t e d o r r e j e c t e d . I f t h e h y p o t h e s i s i s r e j e c t e d , t h e n t h e h y p o t h e s i s o f l a n g u a g e as a w e l l - d e f i n e d s y s t e m has t o be r e j e c t e d as w e l l . 3. H o c k e t t ' s C r i t i c i s m s H o c k e t t i s t h e o n l y l i n g u i s t who has a n a l y s e d Chomsky's t h e o r i e s and c o n c l u d e d t h a t l a n g u a g e was an i l l - d e f i n e d s y s t e m . In The S t a t e o f t h e A r t ( 1 9 6 8 ) , H o c k e t t s y n t h e s i z e s h i s c r i t i c i s m s o f Chomsky's t h e o r i e s and p l a c e s t r a n s f o r m a t i o n a l t h e o r y and h i s p o i n t o f view i n t h e c o n t e x t o f g e n e r a l l i n g u i s t i c s i n N o r t h A m e r i c a . A b r i e f summary o f H o c k e t t ' s arguments i s p r e s e n t e d h e r e . 16 4. An 1 1 1 - d e f i n e d System H o c k e t t as a d i s c i p l e o f B l o o m f i e l d f o l l o w s the l a t t e r ' s p a t h i n c o n s i d e r i n g l i n g u i s t i c s as an autonomous s c i e n c e . H o c k e t t a p p l i e s the r i g o u r o f t h e phoneme p r i n c i p l e t o the o t h e r l i n g u i s t i c domains, su c h as morphology and s y n t a x . T h i s d i r e c t i o n c r e a t e d t h e l i n g u i s t i c movement known as " d i s t r i b u t i o n a l s c h o o l " w i t h i t s d i v e r s e s u b d i v i s i o n s , b ased on t h r e e i m p o r t a n t p r i n c i p l e s : a) Language i s a r i g i d s y s t e m ; b) The model f o r a grammar must have t h e f o r m o f " i t e m - a n d -a r r a n g e m e n t " , 3 t h i s form o f a n a l y s i s i s - c a l l e d "immediate c o n s t i t u e n t s " ; c) S e m a t i c s and grammar a r e i n d e p e n d e n t o f each o t h e r . H o c k e t t ' s c r i t i c i s m s f o c u s on the f i r s t p r i n c i p l e o f t h e d i s t r i b u t i o n a l s c h o o l w h i c h a c c e p t s l a n g u a g e as a w e l l - d e f i n e d s y s t e m . He comments: A w e l l - d e f i n e d s y s t e m i s any s y s t e m ( p h y s i c a l , c o n c e p t u a l , m a t h e m a t i c a l ) t h a t can be c o m p l e t e l y and e x a c t l y c h a r a c t e r i z e d by d e t e r m i n i s t i c f u n c t i o n s ... By a d e t e r m i n i s t i c ( o r w e l l - d e f i n e d ) f u n c t i o n we s h a l l mean any f u n c t i o n subsumed by t h e s t a t e d frame o f r e f e r e n c e ; t h a t i s , any f u n c t i o n com-p u t a b l e i n any o f t h e s e v e r a l p r e c i s e s e n s e s o f t h a t t e r m d e v e l o p e d i n the t h e o r y , b u t a l s o any f u n c t i o n t h a t i s s p e c i -f i e d w i t h s u f f i c i e n t e x p l i c i t n e s s t h a t i t s n o n c o m p u t a b i l i t y can be p r o v e d w i t h i n t h e t h e o r y . A c c o r d i n g t o t h e s e d e f i n i t i o n s , any s y s t e m s u b j e c t t o a c o n s t a n t change, su c h as a p h y s i c a l s y s t e m o r a l a n g u a g e s y s t e m , b e l o n g s t o t h e c a t e g o r y "Item-and-arrangement" i s a B l o o m f i e l d i a n t e r m used i n oppo-s i t i o n t o the term " i t e m - a n d - p r o c e s s " ( P i k e , 1 9 6 7 : 5 4 5 - 5 6 4 ) . 17 o f i l l - d e f i n e d s y s t e m s . H o c k e t t p o i n t s o u t t h a t Chomsky's m i s t a k e was to c o n s i d e r l a n g u a g e as a w e l l - d e f i n e d s y s t e m . T h e r e f o r e Chomsky's at t e m p t t o c o n s t r u c t an a l g o r i t h m i s i n e f f e c t u a l . The weakness o f H o c k e t t ' s argument a p p e a r s i n h i s a t t e m p t t o r e v e r s e the p r i n c i p l e s o f modern l i n g u i s t i c s and s u b s t i t u t e f o r them t h e p r i n c i p l e s o f t h e Neogrammarians. S a u s s u r e (1966:117) d e f i n e s s y n c h r o n y as "un e t a t de l a n g u e , " and c l a i m s t h a t the n o t i o n o f s y n c h r o n y "ne p e u t pas e t r e q u ' a p p r o x i m a t i v e " ( i b i d : 143) b e c a u s e a l l the s y n c h r o n i c systems " s o n t a p e r ^ u s p a r une c o n s c i e n c e c o l l e c t i v e " ( i b i d : 1 4 0 ) . Language i s a s o c i a l a b s t r a c t i o n phenomenon b u t i t i s the i n d i v i d u a l ' s r e a l i z a t i o n t h a t c o n s t i t u t e s t h e s y s t e m , f o r b o t h S a u s s u r e and Chomsky. I f H o c k e t t does n o t a c c e p t t h e d i s t i n c t i o n between a s y s t e m o f t h i n g s and a s y s t e m o f i d e a s , he c a n n o t a c c e p t S a u s s u r e ' s d i s t i n c t i o n H o c k e t t thus r e f u s e s t o acknowledge t h e e x i s t e n c e o f l a n g u a g e . The f a c t t h a t l a n g u a g e i s a c h a n g i n g l i n g u i s t i c phenomenon, a c c o r d i n g t o H o c k e t t , p r o v e s t h a t l a n g u a g e i s a p h y s i c a l s y s t e m , and t h e r e f o r e i t i s i l l - d e f i n e d . T h i s c o n c e p t i o n was a l r e a d y f o r m u l a t e d by S a u s s u r e w i t h r e s p e c t t o p a r o l e , " l a p a r o l e f a i t e v o l u e r l a l a n g u e " ( i b i d : 3 7 ) ^ In t h i s p e r s p e c t i v e H o c k e t t i s wrong t o c o n s i d e r l a n g u a g e as a s o l e l y s p a t i o - t e m p o r a l s y s t e m , i n s t e a d o f a c c e p t i n g S a u s s u r e ' s o p p o s i t i o n l a n g u e / p a r o l e a t the s o c i a l l e v e l , o r Chomsky's o p p o s i t i o n c o m p e t e n c e / p e r f o r m a n c e , a t t h e p s y c h o l o g i c a l l e v e l . 4 C h o m s k y and H a l l e (1968:249-289) and K i p a r s k y (1968) have f o r -m u l a t e d a p o s s i b l e mode o f i n c o r p o r a t i n g t h i s n o t i o n i n a t r a n s f o r m a t i o n a l t h e o r y . 18 B. P s y c h o l i n g u i s t i c Remarks We w i l l c i t e some remarks made a f t e r S y n t a c t i c S t r u c t u r e s on t h e l i n k between the t r a n s f o r m a t i o n a l model o f l i n g u i s t i c i n t u i t i o n , and the p r o b l e m o f t h e p s y c h o l o g i c a l r e a l i t y o f grammar. H a l l i d a y (1962-1964) p o i n t s o u t t h a t Chomsky's s c h o o l t a k e s a s i n g l e d i r e c t i o n and cannot a c c o u n t f o r a c t u a l mental p r o c e s s e s . The mind g e n e r a t e s s e n t e n c e s as a " t r a n s m i t t e r " b u t a l s o a n a l y s e s them as a " r e c e i v e r . " Uhlenbeck (1963:1-18) and Dixon (1963) ar g u e t h a t the o p e r a t i o n s needed by a t r a n s f o r m a t i o n a l grammar must c o r r e s p o n d t o r e a l p s y c h o l o g i c a l o p e r a t i o n s . The p s y c h o l o g i s t s o f t h e B e h a v i o r a l i s t S c h o o l s e e Chomsky's t h e o r i e s as based on an i n n a t e c o n c e p t i o n o f l a n g u a g e . T r a n s f o r m a t i o n a l t h e o r i e s e x i s t i n d e p e n d e n t l y o f t h e i n n a t e n e s s h y p o t h e s i s , w h i c h b e l o n g s t o t h e domain o f p s y c h o l o g y . H a l l i d a y and Uhlenbeck have o b j e c t e d t o Chomsky's t h e o r y on t h e grounds t h a t i t s a i m i s t o r e p r o d u c e t h e p s y c h o -l o g i c a l o p e r a t i o n s r e q u i r e d by s e n t e n c e f o r m a t i o n i n a l a n g u a g e . B u t t h e aim o f Chomsky's model i s t o d e v e l o p a s y m b o l i c mechanism t o r e p r e s e n t l a n g u a g e , n o t t o e x p l a i n l a n g u a g e . Chomsky does n o t t r y t o d e s c r i b e how t h e s e n t e n c e s S l . . . . S n a r e c o n s t r u c t e d . He wants t o d e t e r m i n e , r a t h e r , t h e b e s t s y m b o l i c way f o r t h e r e p r e s e n t a t i o n o f s e n -t e n c e s . In S y n t a c t i c S t r u c t u r e s he p o i n t s o u t t h a t a s y s t e m o f r u l e s i s i n s u f f i c i e n t t o a c c o u n t f o r a l i n g u i s t i c s y s t e m . A s y s t e m o f c o n t e x t -f r e e r u l e s : XI • Y l , o r a s y s t e m o f c o n t e x t - s e n s i t i v e r u l e s : ZXW >- ZYW, i s i n c o m p l e t e . We need t h e t r a n s f o r m a t i o n a l s y s t e m f o r a more e f f i c i e n t a c c o u n t o f g r a m m a t i c a l c o m p l e x i t y . T h i s i s Chomsky's c l a i m . H i s o b j e c t i v e n e v e r has been t o p r o d u c e a grammar w h i c h a c c o u n t s 19 f o r the mental p r o c e s s e s t h a t p r o d u c e t h e s e n t e n c e s . The p s y c h o l i n -g u i s t i c o b j e c t i o n s t o Chomsky may be i m p o r t a n t , , b u t Chomsky c a n n o t be c r i t i c i z e d f o r f a i l i n g t o do what he n e v e r i n t e n d e d t o do. In A s p e c t s (1965:139-140) Chomsky s t a t e s h i s p o s i t i o n : Such a d e s c r i p t i o n o f t h e f o r m o f t h e s y n t a c t i c component may seem s t r a n g e i f one c o n s i d e r s t h e g e n e r a t i v e r u l e s as a model f o r t h e a c t u a l c o n s t r u c t i o n o f a s e n t e n c e by a s p e a k e r . Thus i t seems a b s u r d t o suppose t h a t t h e s p e a k e r f i r s t forms a g e n e r a l i z e d P h r a s e - m a r k e r by base r u l e s and then t e s t s i t f o r w e l l - f o r m e d n e s s by a p p l y i n g t r a n s f o r -m a t i o n a l r u l e s t o s e e i f i t g i v e s , f i n a l l y , a w e l l - f o r m e d s e n t e n c e . But t h i s a b s u r d i t y i s s i m p l y a c o r o l l a r y o f t h e d e e p e r a b s u r d i t y o f r e g a r d i n g the s y s t e m o f g e n e r a t i v e r u l e s as a p o i n t - b y - p o i n t model f o r the a c t u a l c o n s t r u c t i o n o f a s e n t e n c e by a s p e a k e r . C o n s i d e r t h e s i m p l e r c a s e o f a p h r a s e s t r u c t u r e grammar w i t h no t r a n s f o r m a t i o n s ( f o r example, t h e grammar o f a programming l a n g u a g e , o r e l e m e n t a r y a r i t h m e t i c , o r some s m a l l p a r t o f E n g l i s h t h a t might be d e s c r i b e d i n t h e s e t e r m s ) . I t w o uld c l e a r l y be a b s u r d t o s uppose t h a t t h e " s p e a k e r " o f s u c h a l a n g u a g e , i n f o r m u l a t i n g an " u t t e r a n c e , " f i r s t s e l e c t s t h e m a j o r c a t e g o r i e s , t h e n t h e c a t e g o r i e s i n t o w h i c h t h e s e a r e a n a l y z e d , and so f o r t h , f i n a l l y , a t t h e end o f the p r o c e s s , s e l e c t i n g t h e words o r symbols t h a t he i s g o i n g t o use ( d e c i d i n g what he i s g o i n g t o t a l k a b o u t ) . To t h i n k o f a g e n e r a t i v e grammar i n t h e s e terms i s t o t a k e i t t o be a model o f p e r f o r m a n c e r a t h e r t h a n a model o f competence, thus t o t a l l y m i s c o n c e i v i n g i t s n a t u r e . T h i s e x p l a n a t i o n s h o u l d h e l p c l e a r up any c o n f u s i o n among n o n - t r a n s f o r -m a t i o n a l l i n g u i s t s . However, Chomsky has a l s o c l a i m e d t h a t any p e r f o r -mance model would have t o i n c o r p o r a t e a g e n e r a t i v e grammar as an e s s e n t i a l component. How then would the t r a n s f o r m a t i o n a l r u l e s be i n t e r p r e t e d ? T h e r e i s no e a s y answer t o s u c h a q u e s t i o n and Chomsky's q u o t e sheds no l i g h t on the p r o b l e m o f t h e p s y c h o l o g i c a l r e a l i t y o f grammar. 20 1. G e n e t i c P s y c h o l o g y Chomsky's " i n n a t e " h y p o t h e s i s has a l s o been the c e n t r e o f c r i -t i c i s m by P i a g e t i n Le S t r u c t u r a l i s m e ( 1 9 6 8 ) . Chomsky had s u g g e s t e d t h a t t h e o r i g i n o f l i n g u i s t i c s t r u c t u r e s i n human b e i n g s c o u l d be e x p l a i n e d , by s o c i a l a c t i v i t y f o r m a t i o n , o r by h e r e d i t y . P i a g e t i n t e r p r e t s t h i s as a s y s t e m o f " a u t o - r u l e s " o r t h e i n t e r n a l - e q u i l i b r i u m o f s t r u c t u r e s , . . . l e s s t r u c t u r e s humaines ne p a r t e n t pas de r i e n e t s i t o u t e s t r u c t u r e e s t l e r e s u l t a t d'une gendse, i l f a u t re'solument a d m e t t r e , au vu des f a i t s , qu'une genese c o n s t i -t u e t o u j o u r s l e p a s s a g e d'une s t r u c t u r e p l u s s i m p l e a une s t r u c t u r e p l u s complexe . . . (1968:54) I t would seem t h a t l i n g u i s t i c s t r u c t u r e s a r e n o t i n n a t e ; t h e o n l y i n n a t e c h a r a c t e r s a r e t h e i n t e l l e c t u a l ones which p r o d u c e l i n g u i s t i c s t r u c t u r e s ; as P i a g e t (1968:76) s a y s , i t i s p o s s i b l e t o . . . r e n d r e i n u t i l e 1'hypothese de I ' i n n e i s t e t o u t en c o n s e r v a n t 1'ensemble du systeme e x p l i c a t i f de Chomsky . . . w h ich means t h a t t h e i n n a t e h y p o t h e s i s , t h e t y p o l o g y o f u n i v e r a l s hypo-t h e s i s , and even t h e f o r m o f t h e model, a r e b a s i c c o n c e p t s i n Chomsky's t h e o r y . C. Autonomous S y n t a x : s y n t a x and s e m a n t i c s A major c r i t i c i s m o f Chomsky's t h e o r y i s t h a t s y n t a x remains autonomous w i t h i n the s y s t e m . The F i r t h i a n s c h o o l p r o p o s e s b i n d i n g s y n t a x w i t h t h e c o n t e x t , t h e s i t u a t i o n , and w i t h the meaning o f t h e u t t e r a n c e , where each s e n t e n c e must be i n t e r p r e t e d by a l l t h e e x t r a -l i n g u i s t i c f a c t s . But B l o o m f i e l d (1933) o b j e c t e d t o t h i s a p p r o a c h 21 because i t p r e s u p p o s e s a c l a s s i f i c a t i o n o f a l l p o s s i b l e c o n t e x t s o f s i t u a t i o n s . Chomsky p r o p o s e s a more modest t a s k ; f i r s t , a s y n t a c t i c t h e o r y , f o l l o w e d by a s e m a n t i c t h e o r y . In S y n t a c t i c S t r u c t u r e s he c e n -t r e s t h e autonomy o f s y n t a x on the n o t i o n o f g r a m m a t i c a l i t y . The v a l i -d i t y o f g r a m m a t i c a l i t y has been e x t e n s i v e l y d e b a t e d by l i n g u i s t s . Some l i n g u i s t s t r i e d t o e s t a b l i s h the o p p o s i t e view, namely t h a t o f no s y n t a x w i t h o u t s e m a n t i c s . H i l l ( 1 9 6 1 ) , p a r t i c u l a r l y , makes up t e s t s w h i c h would f o r c e t h e i n f o r m a n t t o say " y e s " o r "no" t o Chomsky's s e n t e n c e s , t o v e r i f y a l l t h e s e n t e n c e s which Chomsky u s e s , and comes up w i t h d i f -f e r e n t c r i t e r i a f o r t h e g r a m m a t i c a l , s e m i - g r a m m a t i c a l and non-grammatical s e n t e n c e s , which makes him c o n c l u d e t h a t t h e n o t i o n o f g r a m m a t i c a l i t y i s t o t a l l y a r b i t r a r y and s u b j e c t i v e . H i l l seems u n a b l e t o a c c e p t a s y n t a x w i t h s e m a n t i c s . But t h e s e t e s t s a r e n o t o f a s c i e n t i f i c n a t u r e , and f o r c e t h e i n f o r m a n t s t o use s e m a n t i c s . J a k o b s o n (1963) t r i e s a l s o t o p o i n t o u t a c e r t a i n d e g r e e o f u n g r a m m a t i c a l l y i n Chomsky's s e n t e n c e s . In t h e s e s e n t e n c e s Chomsky h i m s e l f had a l r e a d y e s t a b l i s h e d t h e c o n c e p t o f d e g r e e s o f g r a m m a t i c a l n e s s , and had even e s t a b l i s h e d a h i e r a r c h y o f g r a m m a t i c a l i t y . Dixon (1963) c r i t i c i z e s t h e c o n c e p t o f " g r a m m a t i c a l i n t u i t i o n " o f t h e s p e a k e r which r e f l e c t s h i s c u l t u r a l e n v i r o n m e n t and i s p a r t o f h i s f o r m a l s c h o o l e d u c a t i o n . Chomsky's p r o p o s a l on the i n -dependence and autonomy o f s y n t a x has a r o u s e d a s e r i e s o f o b j e c t i o n s , because l i n g u i s t s i n t e r p r e t e d t h i s as a r e f u s a l t o t r e a t t h e v a r i o u s problems i n s e m a n t i c s , o r n o t t o t r e a t s e m a n t i c s a t a l l . H a l l i d a y , D i x o n , Lyons, U h l e n b e c k , and o t h e r s have a l s o c r i t i -5 c i z e d Chomsky's o m i s s i o n o f t h e t r e a t m e n t o f " l e x i s " i n h i s t h e o r y . 5 " L e x i s " i s a term f r o m t h e F i r t h i a n s c h o o l which c o v e r s a l l t h e a s p e c t s o f the i n t e r n a l s t r u c t u r e o f t h e l e x i c a l e l e m e n t s ; i t i s used i n o p p o s i t i o n t o 'grammatical u n i t . ' 22 Y e t , t h e l a c k o f s p e c i a l t r e a t m e n t o f s e m a n t i c s does n o t e x c l u d e seman-t i c s f r o m h i s t h e o r y . In S y n t a c t i c S t r u c t u r e s , he mentions a t s e v e r a l p o i n t s t h e need t o d e v e l o p a s e m a n t i c t h e o r y i n which s y n t a c t i c s t r u c t u r e s would p l a y the main r o l e ( L e e s , 1957:393). K a t z and Fod o r (1963) f o l l o w up S y n t a c t i c S t r u c t u r e s and t r y t o d e v e l o p a s e m a n t i c t h e o r y . D. Problems o f the S y n t a c t i c S t r u c t u r e s Model The t e c h n i q u e o f a n a l y s i s i s based on t h e c o n c e p t s o f t r a d i t i o n a l grammar and on A r i s t o t e l i a n l o g i c . Chomsky chooses an a n a l y s i s o f t y p e (a) because he can l a b e l t h e nodes w i t h t h e t r a d i t i o n a l c l a s s e s o f t h e noun-phrase (NP) and t h e v e r b p h r a s e ( V P ) , b u t not an a n a l y s i s o f t y p e (b) ( U h l e n b e c k , 1963). Chomsky, however, does n o t use t h e l a b e l s NP_ and VP_ t r a d i t i o n a l l y , i .e. VP^ e q u a l s p r e d i c a t e i n t r a d i t i o n a l grammar. a) 0 Manuel oompra oasas. (Manuel buys h o u s e s . ) \ 0 Manuel oompra oasas. a) S NP VP Det N V NP Det N Lyons (1958-1966) has s u g g e s t e d an improvement o v e r A r i s t o t e l i a n l o g i as a b a s i s f o r deep s t r u c t u r e a n a l y s i s w hich would be t o f o r m a l i z e t h e s y n t a c t i c s t r u c t u r e s on the s t r u c t u r e o f p r e d i c a t e c a l c u l u s , and would p r o d u c e a s y n t a c t i c grammar as f o l l o w s : a) A g r a p h i c r e p r e s e n t a t i o n : S • F (X, Y) F -* V X • NP Y v N b) A t r a n s f o r m a t i o n : F + X + Y >- X + F + Y S s V NP NP NP V NP compra Manuel cas as Manuel eompva casas T h i s a p p r o a c h has been t a k e n up by s e v e r a l t r a n s f o r m a t i o n a l i s t s and has p r o v i d e d t h e bases f o r a t l e a s t t h r e e v e r s i o n s o f l i n g u i s t i c a p p r o a c h e s : 24 1) The g e n e r a t i v e grammar o f Saumjan ( 1 9 6 5 ) ; 2) The c a s e grammar o f F i l l m o r e ( 1 9 6 8 ) ; 3) The g e n e r a t i v e s e m a n t i c s o f McCawley ( 1 9 6 8 ) . A b r i e f e x a m i n a t i o n o f Saumjan's t h e o r y i s p r e s e n t e d h e r e . E. Saumjan's A p p l i c a t i o n a l G e n e r a t i v e Model The most s e r i o u s a d a p t a t i o n o f Chomsky's model i s t h e one p r e -s e n t e d by Saumjan, w i t h i t s m o d i f i c a t i o n s : 1. The goal o f a g e n e r a t i v e grammar i s n o t t o g e n e r a t e t h e c o r -r e c t s e n t e n c e s o f a l a n g u a g e , b u t t o g e n e r a t e t h e " i d e a l s t r u c t u r e s " o f an " i d e a l l a n g u a g e , " o f a s o - c a l l e d "genotype l a n g u a g e . " The formu-l a t i o n o f the c o r r e s p o n d e n c e r u l e s would a l l o w t h e t r a n s f o r m a t i o n o f t h e o b j e c t s o f a genotype l a n g u a g e i n t o o b j e c t s o f a n a t u r a l l a n g u a g e , a "phenotype l a n g u a g e . " 2. The l o g i c a l s t r u c t u r e o f a grammar would f o l l o w t h e s t r u c t u r e o f t h e systems c h a r a c t e r i z e d by an u n i q u e b i n a r y o p e r a t i o n , c a l l e d an " a p p l i c a t i o n . " Thus, t h i s model t a k e s t h e name: " A p p l i c a t i o n a l G e n e r a -t i ve model." 3. The a p p l i c a t i o n i s d e f i n e d i n t h e f o l l o w i n g t e r m s : " I f X i s an o b j e c t and Y i s an o b j e c t , then XY i s an o b j e c t . " In the f o r m u l a t i o n o f my g r a m m a t i c a l model I have a c c e p t e d Saumjan's c o n c e p t i o n o f deep s t r u c t u r e and o r i g i n a l l y wanted t o use a deep s t r u c t u r e s i m i l a r t o p r e d i c a t e c a l c u l u s , b u t f o r p r a c t i c a l r e a s o n s I have r e c o g n i z e d , i n deep s t r u c t u r e , t h e t r a d i t i o n a l f u n c t i o n s o f s ub-j e c t and p r e d i c a t e . My c o n c e p t i o n o f deep s t r u c t u r e i s a compromise between the A r i s t o t e l i a n l o g i c and p r e d i c a t e c a l c u l u s . 25 4. Saumjan's model c o n s i s t s o f f o u r g e n e r a t o r s : a) The f i r s t i s an a b s t r a c t g e n e r a t o r , which g e n e r a t e s a b s t r a c t e l e m e n t s , t h e "semions" o r e l e m e n t a r y s e m i o t i c u n i t s , f o r m i n g " b u n d l e s " and " e p i s e m i o n s " o f s e m i o t i c t y p e t o which b e l o n g the " b u n d l e s o f s e m i o n s . " In a phenotype l a n g u a g e the b u n d l e o f semions c o r r e s p o n d s t o c a t e g o r i e s (noun, v e r b , e t c . ) which a r e t h e e l e m e n t s o f any o p e r a t i o n . T h e r e f o r e , t h e y a r e the " o p e r a t o r s " ; t h e " e p i s e m i o n s " a r e c l a s s e s o f c o n s t i t u e n t s ( n o u n - p h r a s e , v e r b - p h r a s e , e t c . ) . The b u n d l e s o f semions a r e g e n e r a t e d by axioms a c c o r d i n g t o t h e f o l l o w i n g f o u r o p e r a t i o n s : 1) i t e r a t i o n , 2) r e d u c t i o n , 3) c o n v e r s i o n , 4) c o n n e c t i o n . The a b s t r a c t s t r u c t u r e s a r e r e p r e s e n t e d a t two l e v e l s : 1) G e n e r a t o r o f words, 2) G e n e r a t o r o f s e n t e n c e s . The t r a n s f o r m a t i o n a l g e n e r a t o r g e n e r a t e s a t the s e n t e n c e l e v e l a l l t h e s y n t a c t i c c o r r e s p o n d e n c e s which can e x i s t f o r a g i v e n s e m i o t i c s t r u c -t u r e . Thus a t the l e v e l o f a phenotype l a n g u a g e we can o b t a i n a s e -quence s u c h as " m o u n t a i n - h i g h " and t r a n s f o r m a t i o n s y i e l d s t r i n g s l i k e " t h e h i g h mountain" and " t h e h e i g h t o f t h e m o u n t a i n . " The f o r m a l i -z a t i o n s o f t h e c o r r e s p o n d e n c e s between a genotype l a n g u a g e and t h o s e o f a n a t u r a l l a n g u a g e w i l l be r u l e s o f c o r r e s p o n d e n c e which w i l l p r o v i d e a t h e o r y o f t h e t y p o l o g y o f l a n g u a g e s . Saumjan's t h e o r y o f u n i v e r s a l s r e q u i r e s the f o r m a l i z a t i o n which he p r o p o s e s . The main d i f f e r e n c e s v v between Saumjan's s y s t e m and Chomsky's a r e t h a t Saumjan p r o p o s e s : 1) A more a b s t r a c t l e v e l o f deep s t r u c t u r e ; 2) A d i f f e r e n c e between morphology and s y n t a x . The o n l y o b j e c t i o n t o Saumjan's t h e o r y o f u n i v e r s a l s i s t h a t i t 26 p r e s u p p o s e s an a n a l y s i s o f Chomsky's t y p e . O t h e r w i s e i t would be im-p o s s i b l e t o compare the phenotype l a n g u a g e w i t h the genotype l a n g u a g e i n o r d e r t o i n f e r t h e c o r r e s p o n d e n c e r u l e s . Saumjan's deep s t r u c t u r e c o n c e p t i o n i s a u n i v e r s a l deep s t r u c t u r e . I t i s not i d e n t i f i e d w i t h any l a nguage i n p a r t i c u l a r , n o r w i t h any group o f l a n g u a g e s / F. C r i t i c i s m o f I n a d e q u a t e Grammars One o f t h e aims o f t r a n s f o r m a t i o n a l i s t s has been t o j u s t i f y t h e i r c o n t e n t i o n t h a t o t h e r g r ammatical t h e o r i e s a r e i n a d e q u a t e . Chomsky i n S y n t a c t i c S t r u c t u r e s has proven the i n s u f f i c i e n c y o f f i n i t e s t a t e models and immediate c o n s t i t u e n t grammars. F o r t h i s , he has used f o r m a l c r i t e r i a , s u c h t h a t a model w i t h f i n i t e s t a t e s c a n n o t g e n e r a t e c e r t a i n s t r u c t u r e s , w h i c h a r e f r e q u e n t i n n a t u r a l l a n g u a g e s , such as d i s c o n t i n u o u s e l e m e n t s , " o r . . . o r , " " i f . . . t h e n , " and o t h e r s . An IC grammar c a n n o t a c c o u n t f o r t h e s e s t r u c t u r e s e i t h e r , e x c e p t v e r y c l u m s i l y . The c r i t e r i o n o f s i m p l i c i t y o f t h e t r a n s f o r m a t i o n a l model makes e v i d e n t t h e f a i l u r e o f t h e s e grammars. P o s t a l c o n t i n u e s Chomsky's l i n e o f r e s e a r c h . In C o n s t i - t u e n t S t r u c t u r e (1964a) P o s t a l p o i n t s o u t e i g h t f a i l u r e s o f an IC t h e o r e -t i c a l grammar: In a d a p t i n g Saumjan's m o d i f i c a t i o n o f Chomsky's model t o t h e s y n t a c t i c d e s c r i p t i o n o f P o r t u g u e s e , I use p r e d i c a t e c a l c u l u s t o p o s t u -l a t e a q u a s i - u n i v e r s a l deep s t r u c t u r e , a l e v e l o f deep s t r u c t u r e which i s r e l e v a n t t o more than one p a r t i c u l a r l a n g u a g e o r group o f l a n g u a g e s . 27 1) An IC grammar o f t e n g i v e s an i n c o r r e c t s y n t a c t i c s t r u c t u r e ; as f o r example, W e l l s t r e a t m e n t o f c o o r d i n a t i o n ( 1 9 4 7 ) . 2) The s t r u c t u r a l d e s c r i p t i o n o f a s e n t e n c e o f t e n r e q u i r e s a s e r i e s o f s y n t a c t i c i n d i c e s , and the IC grammar i s o n l y a b l e t o p r o v i d e one. The c l a s s i c a l example o f d i s c o n t i n u o u s e l e m e n t s i s 'to p i c k up t h e p a r c e l ' and 'to p i c k the p a r c e l up.' 3) An IC grammar i n e f f i c i e n t l y meets the s i m p l i c i t y c r i t e r i o n ; f o r example, i t f a i l s t o t r e a t e f f i c i e n t l y the phenomenon o f agreement. 4) IC grammars do n o t a c c o u n t f o r the n o t i o n o f ' g r a m m a t i c a l i t y . ' 5) An IC grammar does n o t a c c o u n t f o r the s t r u c t u r a l r e l a t e d n e s s between s e n t e n c e s , s u c h as a c t i v e - p a s s i v e , d e c l a r a t i v e and i n t e r r o g a t i v e , a f f i r m a t i v e - n e g a t i v e . 6) An IC grammar does n o t c o n s t r u c t the s t r u c t u r e o f the s e n t e n c e . L o n g a c r e (1964) and Breud (1968) have t r i e d t o do t h i s , b u t end up i n systems f a r removed fro m the r e q u i r e d l e v e l . 7) The s t r u c t u r a l d e s c r i p t i o n s i n IC grammars do n o t c o r r e s p o n d t o the c r i t e r i o n o f s i m p l i c i t y o f the t h e o r y . (The d e s c r i p t i o n i s n o t always the most s i m p l e one.) 8) The c r o s s - c l a s s i f i c a t i o n t r e a t m e n t o f t h e g r a m m a t i c a l c a t e g o r i e s i s t o o complex. P o s t a l does n o t p r e s e n t any s o l u t i o n i n a t r a n s f o r m a -t i o n a l grammar. T h i s q u e s t i o n g i v e s r i s e t o v a r i o u s d i f f e r e n t models i n the frame o f the Chomskyan t h e o r y . An IC grammar p r e s e n t i n g o n l y r u l e s o f the f o r m X > Y c a n n o t a c c o u n t f o r t h e g r ammatical s t r u c t u r e s o f some l a n g u a g e s . Any u n i v e r s a l l i n g u i s -t i c t h e o r y must a c c o u n t f o r t h e c o m p l e x i t i e s o f any n a t u r a l l a n g u a g e , 28 and must t h e r e f o r e have more p o w e r f u l r u l e s than t h o s e i n d e p e n d e n t o f c o n t e x t . P o s t a l uses a u n i f o r m p r o c e d u r e t o show the i n a d e q u a c y o f a v a r i e t y o f t y p e s o f grammar i n two f o r m a l d e m o n s t r a t i o n s : a) A f o r m a l i z a t i o n o f a grammar g i v e s o n l y r u l e s o f t h e f o r m XAY • XZY where A i s a u n i q u e and non-nul s y m b o l , X, Y, Z a r e sequences o f s y m b o l s , Z i s n o n - n u l , A f Z. T h e i r p e r m u t a t i o n s a r e e x c l u s i v e . b) N a t u r a l l a n g u a g e s have some s t r u c t u r e s which c a n n o t be t r e a t e d by t h i s t y p e o f r u l e , and thus c a n n o t be d e s c r i b e d by s u c h a grammar. U s i n g t h e s e d e m o n s t r a t i o n s , P o s t a l and o t h e r s ( P o s t a l 1964a-64b, 66a, 6 6 b ) , Gross ( 1 9 6 2 ) , Chomsky (1955, 56, 57-1969, 1964), Gaifman ( 1 9 6 5 ) , Robinson ( 1 9 6 8 ) , have p o i n t e d o u t t h e f a i l u r e o f the grammars o f B l o c h ( 1 9 4 6 ) , W e l l s ( 1 9 4 7 ) , H a r r i s (1945, 46-51, 57, 6 2 ) , H o c k e t t (1954, 55, 58, 6 1 ) , P i k e ( 1 9 6 4 ) , B a r - H i l l e l (1953, 60a, 6 0 b ) , O e t t i n g e r ( 1 9 6 1 ) , Rhodes ( 1 9 5 9 ) , H a l l i d a y ( 1 9 6 1 ) , T e s n i e r e ( 1 9 5 9 ) , M a r t i n e t (1960) and Lamb ( 1 9 6 2 ) . I I I . AN INTEGRATED THEORY A. The Development o f the T h e o r y D u r i n g the p e r i o d t h a t f o l l o w s S y n t a c t i c S t r u c t u r e s ( 1 9 5 7 ) , up t o A s p e c t s ( 1 9 6 5 ) , t h e r e a r e two k i n d s o f d e v e l o p m e n t s : p r e c i s i o n on the t h e o r e t i c a l l e v e l , and an e x p a n s i o n o f the domain o f the a p p l i -c a t i o n o f the t h e o r y which l e a d s t o the c o n c r e t i z a t i o n o f t h e s e m a n t i c component and t o a r e v i s i o n o f the model. 29 1. The N o t i o n o f "Th e o r y " In S y n t a c t i c S t r u c t u r e s t h e d e f i n i t i o n o f " l i n g u i s t i c t h e o r y " l i m i t e d t h e l i n g u i s t i c t a s k t o the e v a l u a t i o n o f grammars. Grammatical t h e o r y i s f o r m a l i z e d f o r the f i r s t t i m e . Chomsky p r e s e n t s t h i s f o r -m a l i z e d t h e o r y and s p e c i f i e s t h e c r i t e r i a f o r the f o r m u l a t i o n o f a grammar. In t h e a r t i c l e "On t h e N o t i o n 'Rule o f Grammar" 1 ( 1 9 6 1 : 8 2 ) , he s t a t e s t h a t : . . . t h e t h e o r y o f grammar s h o u l d meet the r e q u i r e m e n t s o f the f o l l o w i n g k i n d . I t s h o u l d make a v a i l a b l e : a) a c l a s s o f p o s s i b l e grammars G l , G2 . . . , b) a c l a s s o f p o s s i b l e s e n t e n c e s S I , S2 . . . , c) a f u n c t i o n f su c h t h a t f ( i , j ) i s t h e s e t o f s t r u c t u r a l d e s c r i p t i o n s o f t h e s e n t e n c e S j t h a t a r e p r o v i d e d by t h e grammar G j , d) a f u n c t i o n m ( i ) which e v a l u a t e s G j , e) a f u n c t i o n g such t h a t g ( i , n) i s t h e d e s c r i p t i o n o f a f i n i t e automaton t h a t t a k e s s e n t e n c e s o f (b) as i n p u t and g i v e s s t r u c t u r a l d e s c r i p t i o n s a s s i g n e d t o t h e s e s e n -t e n c e s by Gj ( i . e . v a r i o u s , p e r h a p s a l l members o f f ( i , j ) ) as o u t p u t , where n i s a p a r a m e t e r d e t e r m i n i n g the c a p a c i t y o f t h e automaton. T h i s d e f i n i t i o n o f "gr a m m a t i c a l t h e o r y " p r e s c r i b e s t h e d i r e c t i o n s o f r e s e a r c h i n l i n g u i s t i c s : a) I t i m p l i e s an e x a c t t h e o r y o f t h e n o t i o n o f r u l e s i n a grammar, l e a d i n g t o f o r m a l l i n g u i s t i c r e s e a r c h . b) I t i m p l i e s the d e f i n i t i o n o f a g e n e r a l i z e d p h o n e t i c a l p h a b e t j w h i c h we can f i n d i n the d i s t i n c t i v e f e a t u r e t h e o r y o f J a k o b s o n . c) I t i m p l i e s t h e n o t i o n o f s i m p l i c i t y i n l i n g u i s t i c s . d) I t i m p l i e s t h e n o t i o n o f g r a m m a t i c a l i t y . e) I t i m p l i e s a gr a m m a t i c a l t h e o r y , i n d e p e n d e n t o f t h e a c q u i s i t i o n models o r p e r c e p t i o n models o f l a n g u a g e , t h a t w i l l t a k e t h e f o r m o f an a l g o r i t h m . 30 2. " L e v e l s o f S u c c e s s " Chomsky c a l l s t h e f o r m a l i z a t i o n o f t h e o r e t i c a l l e v e l s " l e v e l s o f s u c c e s s " i n t h e g e n e r a l framework, an i d e a l p a r a l l e l t o t h e n o t i o n o f " l e v e l s o f adequate grammars." In the t h e o r e t i c a l frame i t i s p o s s i b l e to p o s t u l a t e d i f f e r e n t l e v e l s f o r an a d e q u a t e d e s c r i p t i o n . The l e v e l s o f adequacy i n p h o n o l o g y , s y n t a x , s e m a n t i c s , a r e d e s c r i b e d i n C u r r e n t  I s s u e s i n L i n g u i s t i c s T h e o r y (1964:28-50). Chomsky c o n s i d e r s as a p r i n -c i p a l a t t r i b u t e f o r a grammar an adequate t h e o r y o f grammatical i t y . The b e s t grammar w i l l a l s o always be t h e most " s i m p l e . " The f o r m a l i -z a t i o n o f t h e s e " l e v e l s o f s u c c e s s " f o r a g r a m m a t i c a l d e s c r i p t i o n s u g g e s t s t h r e e a r e a s o f l i n g u i s t i c r e s e a r c h w i t h i n t h e g e n e r a l t h e o r y : g r a m m a t i c a l r u l e s , t h e p h o n e t i c a l p h a b e t , and the a l g o r i t h m . These a r e a l s o t h e t h r e e v a r i a b l e s i n a g e n e r a l l i n g u i s t i c t h e o r y . The t h r e e c o n s t a n t s i n t h i s t h e o r y a r e : grammatical i t y , s i m p l i c i t y , and c r e a t i v i t y , t he l a t t e r b e i n g a u n i v e r s a l c h a r a c t e r i s t i c o f n a t u r a l l a n g u a g e s . 3. Competence and P e r f o r m a n c e The d i s t i n c t i o n c o m p e t e n c e / performance i s a n o t h e r t h e o r e t i c a l n o t i o n which i s a r e f o r m u l a t i o n o f S a u s s u r e ' s d i s t i n c t i o n l a n g u e / p a r o l e (Chomsky, 1964:52). The d i f f e r e n t t e r m i n o l o g y i s e x p l a i n e d by t h e f a c t t h a t i n a d o p t i n g a S a u s s u r i a n p r i n c i p l e , Chomsky does n o t f o l l o w t h e methodology o f S a u s s u r e ( i b i d : 5 9 - 6 0 ; 1964:4). T h e r e i s , however, a d i f f e r e n c e between Chomsky's and S a u s s u r e ' s n o t i o n which goes beyond a s i m p l e d i f f e r e n c e i n t e r m i n o l o g y . T h e r e i s an i m p l i c i t dichotomy i n the o p p o s i t i o n l a n g u e / p a r o l e . F o r S a u s s u r e " l a n g u e " has a d o u b l e f u n c t i o n ; i t i s the s y s t e m o f any i n d i v i d u a l and a l s o t h e s o c i a l norm. And " p a r o l e " i s t he i n d i v i d u a l ' s r e a l i z a t i o n o f h i s " l a n g u e . " Chomsky's n o t i o n o f 31 competence/performance c o m p r i s e s t h r e e f u n c t i o n s : s y s t e m / n o r m / p a r o l e . The competence o f t h e s p e a k e r - h e a r e r c a n , i d e a l l y be ex-p r e s s e d as a s y s t e m o f r u l e s t h a t r e l a t e s i g n a l s t o seman-t i c i n t e r p r e t a t i o n s o f t h e s e s i g n a l s . The p r o b l e m f o r the grammarian i s t o d i s c o v e r t h i s s y s t e m o f r u l e s ; t h e p r o b l e m f o r l i n g u i s t i c t h e o r y i s t o d i s c o v e r g e n e r a l p r o p e r -t i e s o f any s y s t e m o f r u l e s t h a t may s e r v e as the b a s i s f o r a human l a n g u a g e , t h a t i s , t o e l a b o r a t e i n d e t a i l what we may c a l l , i n t r a d i t i o n a l t e r m s , t h e g e n e r a l f o r m o f l a n g u a g e t h a t u n d e r l i e s each p a r t i c u l a r r e a l i z a t i o n , each p a r t i c u l a r n a t u r a l l a n g u a g e . P e r f o r m a n c e p r o v i d e s e v i d e n c e f o r the i n v e s t i g a t i o n o f competence. A t t h e same t i m e , a p r i m a r y i n t e r e s t i n compe-t e n c e . A t the same t i m e , a p r i m a r y i n t e r e s t i n competence e n t a i l s no d i s r e g a r d f o r the f a c t s o f p e r f o r m a n c e and t h e p r o b l e m o f e x p l a i n i n g t h e s e f a c t s . On the c o n t r a r y , i t i s d i f f i c u l t t o s e e how p e r f o r m a n c e can be s e r i o u s l y s t u d i e d e x c e p t on t h e b a s i s o f an e x p l i c i t t h e o r y o f t h e competence t h a t u n d e r l i e s i t , and, i n f a c t , c o n t r i b u t i o n s t o t h e under-s t a n d i n g o f p e r f o r m a n c e have l a r g e l y been b y - p r o d u c t s o f the s t u d y o f grammars t h a t r e p r e s e n t competence. (Chomsky, 1966:10) The r e a l d i f f e r e n c e , however, between de S a u s s u r e and Chomsky i s t h a t de S a u s s u r e s a y s e x p l i c i t l y t h a t l a n g u e i s t h e s y s t e m o f any i n d i v i d u a l and a l s o t h e s o c i a l norm (which i s m a n i f e s t l y i m p o s s i b l e ) and Chomsky n e v e r t a l k s about e i t h e r b u t a b o u t the s y s t e m o f an i d e a l i z e d s p e a k e r - h e a r e r , which i s n o t h e l p f u l i n s t u d y i n g t h e s y s t e m o f a r e a l i n d i v i d u a l o r r e a l s o c i a l norms. B. F u r t h e r Development o f t h e T h e o r y The major d e v e l o p m e n t i n t r a n s f o r m a t i o n a l t h e o r y (1964) i s t o i n c o r p o r a t e t h e p h o n o l o g i c a l and the s e m a n t i c components w i t h i n a l i n -g u i s t i c d e s c r i p t i o n . T hese two components were b r i e f l y m e n t i o n e d i n S y n t a c t i c S t r u c t u r e s , b u t n o t s p e c i f i e d . F i r s t , Chomsky c o n s i d e r e d t h e s t u d y o f s e m a n t i c s t o be i n d e p e n d e n t o f the s t u d y o f grammar, b u t he d i d n o t e x c l u d e a s e m a n t i c component from h i s c o n c e p t i o n o f a g e n e r a -t i v e grammar. He c o n s i d e r e d t h e mechanisms o f the s y n t a c t i c component as b a s i c t h e o r e t i c a l p r i n c i p l e s w h i c h c o n s t i t u t e d the p r e l i m i n a r y f o u n d -d a t i o n s f o r the d e v e l o p m e n t o f a g e n e r a l t h e o r y o f s e m a n t i c s . 32 K a t z and F o d o r (1963-1966) f o l l o w up Chomsky's r e s e a r c h on s y n -t a x . They c o n s i d e r S y n t a c t i c S t r u c t u r e s as t h e b a c k g r o u n d f o r t h e i r s k e t c h on a t h e o r y o f s e m a n t i c s , i n an a t t e m p t t o f o r m u l a t e t h e s e m a n t i c component f o r t h e g e n e r a l t r a n s f o r m a t i o n a l t h e o r y . 1. The S e m a n t i c Component K a t z and Fodor (1963-1964) p r e s e n t the t h e o r e t i c a l p r i n c i p l e s i n t h e i r a r t i c l e , "The S t r u c t u r e o f a S e m a n t i c T h e o r y . " T h i s work p r e s e n t s the f i r s t c o n t r i b u t i o n t o s e m a n t i c s i n the g e n e r a t i v e t r a n s f o r m a t i o n a l framework. The a u t h o r s p r o p o s e t o i n t e g r a t e a s e m a n t i c t h e o r y i n t o a g e n e r a t i v e grammar. The r e s u l t i n g i n t e g r a t e d t h e o r y i n c o r p o r a t e s t h e p h i l o s o p h e r s ' a p p r o a c h , on one hand, and the p s y c h o l o g i s t s ' and t h e l i n g u i s t s ' , on the o t h e r , and a t t e m p t s t o l o c a t e t h e l i m i t s o f s e m a n t i c s . The u p p e r l i m i t o f s e m a n t i c s i s the c o n t e x t o f s i t u a t i o n . T h i s d e t e r -m i n a t i o n makes e x p l i c i t t h a t s e m a n t i c s i s n o t c o n c e r n e d w i t h t h e change o f meaning from s o u r c e s beyond t h e s e n t e n c e l e v e l i n a l i n g u i s t i c e n v i r o n -ment, o r beyond the word i n a s i t u a t i o n a l e n v i r o n m e n t . T h i s l i m i t a t i o n has the p u r p o s e o f a v o i d i n g the p r o b l e m t h a t r i s e s f r o m c o n n o t a t i o n and r e f e r e n c e phenomena. The l o w e r l i m i t o f s e m a n t i c s i s grammar, as s t a t e d i n t h e c o n t r o v e r s i a l s u b - t i t l e o f t h e a r t i c l e , " l i n g u i s t i c d e s c r i p t i o n minus grammar e q u a l s s e m a n t i c s . " The s e m a n t i c component c o m p r i s e s a d i c t i o n a r y w h i c h p r o v i d e s s e v e r a l k i n d s o f i n f o r m a t i o n : a) the g r a m m a t i c a l c a t e g o r i e s (noun, v e r b . . . ) ; b) t h e s e m a n t i c f e a t u r e s o r markers ( i n p a r e n t h e s e s ) ; c) t h e d i s t i n c t i v e f e a t u r e s o r d i s t i n g u i s h e s ( i n b r a c k e t s ) ; d) the c o n t e x t u a l f e a t u r e s . 33 The famous example o f Katz and Fodor (ibid.:500) i s r e p r o d u c e d h e r e f o r c o n v e n i e n c e . B a c h e l o r Noun ( A n i m a l ) ( M a l e ) [who has the f i r s t o r 1 owest a c a d e m i c d e g r e e ] (Male) [who has n e v e r m a r r i e d ] (young) [young k n i g h t s e r v i n g under t h e s t a n d a r d o f a n o t h e r k n i g h t ] (young) [young f u r s e a l when w i t h o u t a mate d u r i n g t h e b r e e d i n g t i m e ] T h i s example does n o t show t h e c o n t e x t u a l f e a t u r e s . They a r e added when a word has a s p e c i a l i z e d meaning i n a c e r t a i n c o n t e x t o f s e m a n t i c f e a t u r e s . One example i s h o n e s t , which i n t h e e n v i r o n m e n t [+ f e m a l e ] t a k e s t he g e n e r a l meaning o f v i r t u o u s p l u s t h e s e n s e o f c h a s t e . The c h o i c e o f f e a t u r e s f r o m t h e d i c t i o n a r y i s o n l y one s t a g e f o r t h e meaning o f t h e s e n t e n c e . The p r o b l e m i s how t o s e l e c t among t h e p o s s i b l e com-b i n a t i o n s o f f e a t u r e s and how t o r e j e c t t h e c o m b i n a t i o n s w h i c h l a c k meaning. To s o l v e t h i s p r o b l e m K a t z and Fodo r i n c l u d e i n t h e s e m a n t i c component a s y s t e m o f two P r o j e c t i o n R u l e s . Type one i n t e r p r e t s b a s i c 34 s e n t e n c e s . Type two t r e a t s s e n t e n c e s embedded by t r a n s f o r m a t i o n a l r u l e s . The q u e s t i o n now i s t o e s t a b l i s h i f t h e s e n t e n c e s r e s u l t i n g f r o m t r a n s -f o r m a t i o n s c a r r y the same meaning as b e f o r e the t r a n s f o r m a t i o n , t h a t i s , w h e t her t h e t r a n s f o r m a t i o n s p r e s e r v e meaning o r w h e ther t h e y add some-t h i n g t o t h e s e n t e n c e . The works o f Lees and K l i m a (1963) and t o a Q c e r t a i n e x t e n t Chomsky (1957 ) , s u g g e s t t h a t t r a n s f o r m a t i o n s a r e r e s p o n s i b l e f o r t h e r e c u r s i v e n e s s i n n a t u r a l l a n g u a g e s , and a l s o f o r o t h e r phenomena, suc h as n e g a t i o n , i n t e r r o g a t i o n , and the l i k e . K a t z and F o d o r a r e f o r c e d t o admit t h a t t r a n s f o r m a t i o n s a f f e c t i n an impor-t a n t way the meaning o f the s e n t e n c e . The P r o j e c t i o n - r u l e s o f type-two work on t h e t y p e - o n e , t o p r e s e r v e t h e meaning o f t r a n s f o r m e d c o n s t r u c t i o n s , w o r k i n g on the o u t p u t o f a s y n t a c t i c d e s c r i p t i o n ( K a t z and Fodor, 1964:506). S e n t e n c e NPc VP PI P2 P3 NPc PI Nc P4 P5 °In Chomsky ( 1 9 5 7 ) , T - r u l e s d i d n o t n e c e s s a r i l y p r e s e r v e meaning. But by 1965 he had a d o p t e d t h e K a t z and P o s t a l p o s i t i o n and h i s r u l e s then d i d p r e s e r v e meaning. 35 Where PI P5 a r e s y n t a c t i c c a t e g o r i e s , the P r o j e c t i o n - r u l e s com-b i n e t h e groups o f p o s s i b l e f e a t u r e s a c c o r d i n g t o the s y n t a c t i c s t r u c -t u r e . Then, i n the above example, PI + P2 and P4 + P5 become PI + (P4 + P5) and P3 + (PI + (P4 + P5)) as the p o s s i b l e i n t e r p r e t a t i o n s o f t h e s e n t e n c e o f t h e form (PI + P2) + (P3 + (PI + (P4 + P 5 ) ) ) . The o n l y s e m a n t i c f e a t u r e s r e t a i n e d a r e t h o s e c o m b i n a t i o n s which do n o t show mutual e x c l u s i o n o f the k i n d m a l e / f e m a l e , c o n c r e t e / a b s t r a c t . A n o t h e r a s p e c t o f t h a t work i s t o e l a b o r a t e a s e m a n t i c "meta-t h e o r y , " w h i c h can be p l a c e d i n t h e framework o f Chomsky's l i n g u i s t i c t h e o r y . The immediate g o a l s o f K a t z and F o d o r a r e t o d i s c o v e r t h e u n i -v e r s a l s o f a s e m a n t i c t h e o r y , f o l l o w e d by some e v a l u a t i o n c r i t e r i a w h ich w i l l a l l o w us t o choose between two o r s e v e r a l t h e o r i e s o f meaning f o r n a t u r a l l a n g u a g e s . K a t z and Fodor do n o t i n t e n d t o d e s c r i b e how t h e l i s t e n e r u n d e r s t a n d s t h e meaning o f a g i v e n s e n t e n c e i n a g i v e n l a n g u a g e . The s h o r t c o m i n g s o f K a t z and F o d o r ' s work a r e w e l l known and have e l i c i t e d c o n s i d e r a b l e c r i t i c i s m s , i n p a r t i c u l a r by B a r - H i l l e l ( 1 9 6 9 ) , and W e i n r e i c h ( 1 9 6 6 ) . K a t z and F o d o r ' s b a s i c m i s t a k e i s t h e i r i n s i s t a n c e on c a l c u l a t i n g t h e meaning o f a s e m a n t i c u t t e r a n c e based on B o o l e a n c o n d i t i o n s o f a n a l y s a b i l i t y . K a t z and F o d o r ' s s e m a n t i c t h e o r y p r e s u p p o s e s the s y n t a c t i c component o f S y n t a c t i c S t r u c t u r e s , w h i c h i s i n d e p e n d e n t o f t h e s e m a n t i c component, b u t which s u b o r d i n a t e s the s e m a n t i c s t o t h e s y n t a x o u t p u t . Then they t r y t o r e l a t e s y n t a c t i c t h e o r y t o s e m a n t i c t h e o r y . T h i s i s a l s o the goal o f K a t z and P o s t a l (1964) i n d e v e l o p i n g 9 an " i n t e g r a t e d t h e o r y o f l i n g u i s t i c d e s c r i p t i o n . " Chomsky s t a t e s t h a t g A s i m i l a r c o r r e l a t i o n t a k e s p l a c e between s y n t a x and p h o n o l o g y ( H a l l e and Chomsky, 1968). 36 p r e v i o u s s e m a n t i c s c h o o l s have n o t t a k e n i n t o a c c o u n t t h e i n f e r e n c e o f s y n t a x a t the l e v e l o f meaning and have c o v e r e d t o o l a r g e a domain, t r y i n g t o a c c o u n t f o r a l l c o n t e x t s and a l l s i t u a t i o n s . C. The I n t e g r a t e d T h e o r y K a t z and P o s t a l (1964) make the f i r s t a t t e m p t i n t r a n s f o r m a t i o n a l grammar t h e o r y t o p r e s e n t a model w h i c h c o n s i d e r s t h e t h r e e t r a d i t i o n a l domains o f l i n g u i s t i c s , t he i n t e g r a t i o n o f t h e p h o n o l o g i c a l , s y n t a c t i c and s e m a n t i c components. T h i s model w i l l be t h e f o c u s f o r t h e c o m p a r i s o n w i t h p o s t - 1 9 6 4 t r a n s f o r m a t i o n a l d e v e l o p m e n t s . The main c h a r a c t e r i s t i c s o f t h e model a r e : t h e s y n t a c t i c component s u p p l i e s f o r each s t r i n g one o r more s y n t a c t i c d e s c r i p t i o n s g i v e n by a p h r a s e - m a r k e r , t o w h i c h a r e a p p l i e d t h e t r a n s f o r m a t i o n r u l e s . The p h r a s e - m a r k e r , w h i c h i s p r o d u c e d by the base r u l e s , c o n t a i n s g r ammatical c a t e g o r i e s . I t s t e r m i n a l symbols a r e t h e morphemes o f t h e l a n g u a g e . The t r a n s f o r m a t i o n a l component c o n -t a i n s t r a n s f o r m a t i o n r u l e s . These w i l l p r o d u c e a s e r i e s o f new, d e r i v e d p h r a s e - m a r k e r s . The t e r m i n a l symbols a r e the f o r m a t i v e s . ^ Each t r a n s -f o r m a t i o n i s a s e r i e s o f f o r m a l o p e r a t i o n s b e l o n g i n g t o one o f t h e f o u r c l a s s e s o f p r o c e s s e s : s u b s t i t u t i o n , e l l i p s e , a d j u n c t i o n , and p e r m u t a t i o n . The u n d e r l y i n g p h r a s e - m a r k e r s a r e f i n i t e i n number, b u t the d e r i v e d s t r u c t u r e s a r e i n f i n i t e . T h i s means t h a t t h e r e c u r s i v e o r c r e a t i v e p r i n c i p l e s o f n a t u r a l l a n g u a g e s a r e a s c r i b e d t o t h e r o l e o f t r a n s f o r -m a t i o n s , i n p a r t i c u l a r t o t h e g e n e r a l i z e d t r a n s f o r m a t i o n s . The f u n c t i o n ^ ° T h i s t e r m i s borrowed f r o m B o l i n g e r (1948) ( c f . Chomsky, 1964). 37 o f the g e n e r a l i z e d t r a n s f o r m a t i o n s i s t o embed one p h r a s e - m a r k e r i n a n o t h e r . The s e m a n t i c component has an i n t e r p r e t a t i v e f u n c t i o n . I t con-t a i n s one d i c t i o n a r y and two t y p e s o f p r o j e c t i o n - r u l e s . The f u n c t i o n o f t h e s e p r o j e c t i o n r u l e s i s t o e l i m i n a t e a l l t h e i n c o m p a t i b l e combina-t i o n s o f f e a t u r e s . The f i r s t t y p e e l i m i n a t e s the i n c o m p a t i b i l i t i e s o f the u n d e r l y i n g p h r a s e - m a r k e r s , w h i l e the s e c o n d t r e a t s t h e p r o d u c t s o f the g e n e r a l i z e d t r a n s f o r m a t i o n s . The p h o n o l o g i c a l component has t h r e e groups o f r u l e s w hich a r e a p p l i e d t o t h e p h r a s e - m a r k e r , w h i c h i s t he o u t p u t o f the s y n t a c t i c component, t o g i v e i t a p h o n e t i c r e a l i z a -t i o n . The e s s e n t i a l m o d i f i c a t i o n i n K a t z and P o s t a l ' s model i s t o d i s -c a r d t h e d i s t i n c t i o n between e l e m e n t a r y t r a n s f o r m a t i o n s and g e n e r a l i z e d t r a n s f o r m a t i o n s . The t r a n s f o r m a t i o n s w h i c h a f f e c t t h e meaning o f t h e s e n t e n c e such as the p a s s i v e , t h e n e g a t i v e , t h e i m p e r a t i v e , the i n t e r r o -g a t i v e and embedded p h r a s e - m a r k e r s p r o v e t h a t t h e g e n e r a t i v e t r a n s f o r -mation o f t h e s e elements c a u s e s n e e d l e s s c o m p l i c a t i o n s . A s i m p l e r grammar would t r e a t them as l a n g u a g e u n i v e r s a l s - t h e y would be e q u i v a l e n t t o g r a m m a t i c a l c a t e g o r i e s . T h i s i s a m e t h o d o l o g i c a l d e c i s i o n w h i c h b r i n g s out c e r t a i n i m p l i c a t i o n s : 1) The r e c u r s i v e n e s s o f the l a n g u a g e i s no l o n g e r i n the t r a n s -f o r m a t i o n a l r u l e s ; t h e embeddings o f p h r a s e - m a r k e r s a r e r e a l i z e d by one o r s e v e r a l s y n t a c t i c r u l e s o f t h e f o l l o w i n g t y p e : where # . . . . # a r e t h e b o u n d a r i e s o f t h e embedded s e n t e n c e . 38 The sequence o f u n d e r l y i n g p h r a s e - m a r k e r s i s c o n s i d e r e d i n f i n i t e . 2) The T-marker n o t i o n d i s a p p e a r s ; a l l t r a n s f o r m a t i o n s a r e c o n -s i d e r e d s i n g u l a r l y and made up o f one o r s e v e r a l o p e r a t i o n s o f a d j u n c -t i o n , e l l i p s e , s u b s t i t u t i o n o r p e r m u t a t i o n . K a t z and P o s t a l c o n s i d e r e d t h e f i r s t p o s s i b i l i t y b u t c o n c l u d e d i n f a v o r o f the s e c o n d . With a l l t h e s e m o d i f i c a t i o n s K a t z and P o s t a l ' s model p r e s e n t s t h i s de-f i n i t i v e schema ( i b i d : 161). The a d v a n t a g e o f t h i s model i s t h a t i t a l l o w s f o r t h e c l a r i -f i c a t i o n o f the n o t i o n o f l a n g u a g e u n i v e r s a l s . K a t z and P o s t a l d i s t i n -g u i s h between " f o r m a l u n i v e r s a l s , " o r t h e u n i v e r s a l s which d e c i d e on the f o r m o f a grammar ( i . e . t r a n s f o r m a t i o n r u l e s ) and " s u b s t a n t i v e u n i -v e r s a l s , " o r the u n i v e r s a l s w hich d e c i d e on the s u b s t a n c e o f a grammar ( i . e . t h e p h o n e t i c o r s e m a n t i c f e a t u r e s and t h e t e r m i n a l c a t e g o r i e s o f t h e s y n t a c t i c r u l e s : i n t e r r o g a t i o n , n e g a t i o n , wh, s y n t a c t i c c a t e g o r i e s ) . W ith t h e i n t e g r a t e d t h e o r y , K a t z and P o s t a l s u g g e s t a r e f o r m u l a t i o n o f the t r a n s f o r m a t i o n a l subcomponent o f a grammar. T h i s p r o p o s a l aims t o • D e s c r i p t i o n o f Language L S y n t a c t i c Component P h o n o l o g i c a l Component ± P h o n o l o g i c a l r u l e s S y n t a c t i c R ules and L e x i con S e m a n t i c Component 39 i n c o r p o r a t e i n t o the framework o f t r a n s f o r m a t i o n a l grammar a s e m a n t i c component which w i l l p r o v i d e a s e t o f r e a d i n g s f o r t h e s e n t e n c e s g e n e r a t e d by the s y n t a c t i c component. They p r o p o s e t h a t the t r a n s f o r m a t i o n a l sub-component s h o u l d n o t i n v o l v e any changes i n meaning. In t h a t c a s e , the deep s t r u c t u r e and a l l t h e meaning c o n t e n t comes from t h e p h r a s e s t r u c t u r e r u l e s , and t h e t r a n s f o r m a t i o n s s e r v e t o c o n v e r t the deep s t r u c -t u r e i n t o the s u r f a c e s t r u c t u r e . In o r d e r t h a t the t r a n s f o r m a t i o n a l subcomponent n o t change meaning, however, two b a s i c changes a r e n e c e s s a r y . F i r s t , o p t i o n a l t r a n s f o r m a t i o n s must n o t a l t e r meaning o f the deep s t r u c -t u r e . S e c ond, g e n e r a l i z e d t r a n s f o r m a t i o n s must be e l i m i n a t e d c o m p l e t e l y . S i n c e s u c h f o r m a t i o n s as q u e s t i o n s , i m p e r a t i v e s , and p a s s i v e s were e a r l i e r o b t a i n e d by t h e use o f o p t i o n a l t r a n s f o r m a t i o n s and were meaning c h a n g i n g , t h e s e f o r m u l a t i o n s must be r e v i s e d . I f t h e e l i m i n a t i o n o f g e n e r a l i z e d t r a n s f o r m a t i o n s i s r e a l i z e d , a n o t h e r change must o c c u r i n t h e p h r a s e s t r u c t u r e r u l e s . S i n c e one r e a s o n f o r h a v i n g g e n e r a l i z e d t r a n s f o r m a t i o n s was t o p r o v i d e f o r em-b e d d i n g s which l e d t o r e l a t i v e c l a u s e s , t h e r e c u r s i v e d e v i c e now has t o be i n s e r t e d i n the p h r a s e - s t r u c t u r e t o g e n e r a t e s u c h s t r u c t u r e s . Then, t h e o b l i g a t o r y t r a n s f o r m a t i o n r u l e s can use t h e r e c u r s i v e S t o p r o v i d e t h e n e c e s s a r y changes t o a c c o u n t f o r t h e embeddings. The r e s u l -t i n g o b l i g a t o r y t r a n s f o r m a t i o n s a r e i n f a c t n o t t o o d i f f e r e n t i n f o r m from the e a r l i e r g e n e r a l i z e d t r a n s f o r m a t i o n s . With t h e s e c h a n g e s , t h e s e m a n t i c component t a k e s as i t s i n p u t the o u t p u t o f t h e p h r a s e s t r u c -t u r e r u l e s . In t h i s way t h e r e i s no need f o r the s e m a n t i c component t o be c o n c e r n e d w i t h the t r a n s f o r m a t i o n s . 40 The s e m a n t i c component p r o p o s e d by K a t z and P o s t a l (1964) i s an e x t e n s i o n o f t h a t p r o p o s e d by Katz and Fodor, i n "The S t r u c t u r e o f a S e m a n t i c T h e o r y " ( 1 9 6 3 ) . D. A s p e c t s o f the T h e o r y o f S y n t a x (1965) The A s p e c t s model p r e s e n t s some t e r m i n o l o g i c a l i n n o v a t i o n s and s o l i d i f i e s t h e n o t i o n o f t h e b a s e ; i t d e f i n e s more c l e a r l y t h e l i m i t s o f p e r f o r m a n c e and competence. Chomsky c l a i m s t h a t h i s g e n e r a t i v e grammar i s based on competence, and a t t e m p t s t o c o r r e c t t h e d e f i c i e n c i e s o f t h e t r a d i t i o n a l grammar, c o n s i d e r i n g t h e r e c u r s i v e p r i n c i p l e as t h e c r e a t i v e a s p e c t o f l a n g u a g e . The m e t a t h e o r y p r e s e n t e d i n A s p e c t s makes an ex-p l i c i t f o r m a l i z a t i o n o f t h e f o l l o w i n g n o t i o n s : 1) t h e l e v e l o f adequate grammars (ib i d : § 4 : 1 8 - 2 7 ; § 6 : 3 0 - 3 7 ) ; 2) the u n i v e r s a l t h e o r y ( § 5 : 2 7 - 3 0 ) ; 3) t h e e v a l u a t i o n o f p r o c e d u r e s ( § 7 : 3 7 - 4 7 ) ; 4) t h e b e h a v i o n " s t / r a t i o n a l i s t a c q u i s i t i o n models ( § 8 : 4 7 - 5 9 ) ; 5) t h e s t r o n g / w e a k g e n e r a t i o n power ( § 9 : 6 0 - 6 2 ) . 11 T h i s work a l s o i n c l u d e s an i n n o v a t i o n : s u r f a c e / d e e p s t r u c t u r e s . These c o n c e p t s a r e u s e f u l i n the two l e v e l s w hich c h a r a c t e r i z e t h e model, b u t i n t h e o p i n i o n o f some c r i t i c s t h e two c o n c e p t s do n o t T h i s t e r m i n o l o g y i s borrowed f r o m H o c k e t t (1958) a c c o r d i n g t o Chomsky (1964:84). 41 p r o v i d e any t h e o r e t i c a l changes. The c o n c e p t s o f deep and s u r f a c e s t r u c -t u r e s do n o t a f f e c t the f u n c t i o n n o r the p o s i t i o n o f t h e i n t e r p r e t a t i v e components o f the g e n e r a l model. The two l e v e l s o f s t r u c t u r a l i z a t i o n a r e n o t c o n n e c t e d to any h y p o t h e s i s o f p s y c h o l o g i c a l p r o c e s s e s l e a d i n g t o the a c t o f s p e e c h . Chomsky has i n s i s t e d on t h e " n e u t r a l " s t a t u s o f h i s model i n r e g a r d t o the s p e a k e r and the l i s t e n e r . In p o s t u l a t i n g the s u r f a c e and deep l e v e l s o f s t r u c t u r e Chomsky f o r m u l a t e s a h y p o t h e s i s r e l a t i n g t o the s t r u c t u r e . The f u n c t i o n o f t h i s s t r u c t u r e d i f f e r s w i t h the a s p e c t s o f l a n g u a g e t h a t i t has t o a c c o u n t f o r . The A s p e c t s model p r e s e n t s f o u r d i s t i n c t i v e n o t i o n s : 1) R e c u r s i v e n e s s - r e c u r s i v e n e s s i s an e x c l u s i v e p r o p e r t y o f the base r u l e s and i s d i s t i n c t f r o m the r u l e s w h i c h a r e a p p l i c a b l e t o t h e deep s t r u c t u r e s ; 2) R u l e t y p e - the deep s t r u c t u r e r u l e s do n o t have any t r a n s -f o r m a t i o n s ; 3) S e m a n t i c s - the p r i n c i p l e t h a t t r a n s f o r m a t i o n s do n o t a f f e c t the meaning o f the s e n t e n c e c o n f i n e s s e m a n t i c s t o t h e deep s t r u c t u r e ; 4) L e x i c o n - s i n c e s e m a n t i c s i s c o n f i n e d t o the b a s e , t h e l e x i c o n must be i n t r o d u c e d i n t h e deep s t r u c t u r e . In A s p e c t s o f t h e T h e o r y o f S y n t a x Chomsky has a d o p t e d and expanded t h e p r o p o s a l s o f K a t z and Fodor ( 1 9 6 3 ) , and K a t z and P o s t a l ( 1 9 6 4 ) . He f u r t h e r s u g g e s t s the i n t r o d u c t i o n o f s y n t a c t i c d i s t i n c t i v e f e a t u r e s , and p r o p o s e s t h a t the p h r a s e s t r u c t u r e component be r e p l a c e d by a base component w h i c h has two t y p e s o f r u l e s , the b r a n c h i n g and 42 the s u b c a t e g o r y z a t i o n r u l e s . The b r a n c h i n g r u l e s a r e l i k e t h e e a r l i e r PS r u l e s . The s u b c a t e g o r i z a t i o n r u l e s s e r v e t o r e w r i t e a l e x i c a l o r grammatical c a t e g o r y as a s e t o f f e a t u r e s by means o f t h e n o t i o n o f a complex symbol ( C S ) . When an e l e m e n t i s r e w r i t t e n as a CS i t i s a s s i g n e d the s e t o f c o n t e x t u a l f e a t u r e s which c o - o c c u r w i t h t h a t e l e m e n t under the dominance o f the i m m e d i a t e l y p r e c e d i n g node. With t h e A s p e c t s model Chomsky a t t a c k s t h e c o m p l i c a t e d problems o f c r o s s - c l a s s i f i c a t i o n , b u t does n o t s o l v e them. The f o r m u l a t i o n o f t h i s model p r o v i d e s a much s h o r t e r s e t o f base r u l e s than t h e e a r l i e r PS r u l e s , s i n c e w i t h i n the new s y s t e m , t h e l e x i c o n i s a s p e a r a t e p a r t o f t h e b a s e , r a t h e r than a s e t o f l o w - l e v e l p h r a s e s t r u c t u r e r u l e s . The l e x i c o n i s c o n s i d e r e d t o be an u n o r d e r e d s e t o f e n t r i e s . Each e n t r y c o n t a i n s p h o n o l o g i c a l , s y n t a c t i c , and s e m a n t i c f e a t u r e s . 1. The N o t i o n o f Grammatical i t y The r e a l g o a l o f A s p e c t s i s the p r e s e n t a t i o n o f the m o d a l i t i e s o f g r a m m a t i c a l i t y . Based on a f r a g m e n t o f a t r a n s f o r m a t i o n a l grammar o f E n g l i s h , Chomsky wants t o g e n e r a l i z e c e r t a i n n o t i o n s w h i c h would b r i n g changes t o t h e u n i v e r s a l model. A grammar such as the one p r e s e n t i n S y n t a c t i c S t r u c t u r e s , o r c o n s t r u c t e d a f t e r t h e K a t z and P o s t a l model, would g e n e r a t e c o r r e c t s e n t e n c e s (1965:76): " S i n c e r i t y may f r i g h t e n t h e boy," b u t would a l s o g e n e r a t e i n c o r r e c t s e n t e n c e s such a s : " S i n c e r i t y admires the boy." Y e t a grammar must a v o i d t h e g e n e r a t i o n o f s e n t e n c e s o f t h e second t y p e . 43 Chomsky p r o p o s e s two l e v e l s o f g r a m m a t i c a l i t y b e s i d e s t h a t o f the c a t e g o r i e s a l r e a d y e s t a b l i s h e d by the base r u l e s o f s y n t a c t i c s t r u c -t u r e s . The f i r s t l e v e l o f g r a m m a t i c a l i t y i s a l r e a d y w e l l d e f i n e d i n t h e t r a d i t i o n a l grammars; Chomsky names i t t h e l e v e l o f " s u b c a t e g o r i e s , " i . e . , t h e s u b c l a s s e s o f nouns: a n i m a t e , c o u n t a b l e , a b s t r a c t , e t c . , and the v e r b s : t r a n s i t i v e and i n t r a n s i t i v e . The secon d l e v e l o f grammati-c a l i t y r e f e r s t o some p r e d i c a t e s , e s p e c i a l l y t h o s e v e r b s r e q u i r i n g an argument t o b e l o n g t o a g i v e n s u b - c a t e g o r y , such as t h e v e r b s i n g which needs an animate s u b j e c t , and t h e ve r b i n v e n t which needs an i n a n i m a t e complement. T h i s r e s t r i c t i o n i s c a l l e d " s e l e c t i o n a l . " H a v i n g d e f i n e d t h e s e two l e v e l s o f g r a m m a t i c a l i t y , Chomsky p r o p o s e s s e v e r a l ways t o i n c o r p o r a t e them i n the grammar. He a l s o examines the i m p l i c a t i o n s o f t h e t h r e e p r o p o s e d s o l u t i o n s , showing the adv a n t a g e s o f each one. He thus opens up s e v e r a l ways t o p u r s u e r e s e a r c h , b ut a t t h e same time he has c r e a t e d c o n s i d e r a b l e c o n f u s i o n among l i n g u i s t s . He p r e s e n t s the f o l l o w i n g f r a g m e n t o f grammar ( A s p e c t s : 1 0 6 - 1 0 7 ) : 2. An I l l u s t r a t i v e Fragment o f t h e Base Component 1) S • N P P r e d i c a t e - P h r a s e 2) P r e d i c a t e - P h r a s e >• AuxVP ( P l a c e ) (Time) C o p u l a P r e d i c a t e ( ( N P ) ( P r e p - P h r a s e ) ( P r e p - P h r a s e ) (Manner) 3) P r e d i c a t e 4) P r e d i c a t e 5) P r e p - P h r a s e ( A d j e c t i v e ? * } ( l i k e ) P r e d i c a t e - N o m i n a l J — > D i r e c t i o n , D u r a t i o n , P l a c e , F r e q u e n c y , e t c . 44 6) V *- CS where CS = a Complex Symbol 7) NP >• (Det) N (S') 8) N • CS 9) [+ Det ] • [+ Count] 10) [+ Count] — [+_ A n i m a t e ] 11) [+ N, + ] > [+ Animate] 12) [+ A n i m a t e ] • [+ Human] 13) [- Count] • [+ a b s t r a c t ] 14) + V] >• CS/aAux ( D e t ) 3 , where a i s an N and 3 i s an N 15) A d j e c t i v e > CS/a 16) Aux >• Tense (M) ( A s p e c t ) 17) Det *• ( P r e - A r t i c l e of) A r t i c l e ( p o s t - A r t i c l e ) 18) A r t i c l e • [+ D e f i n i t e ] The l e x i c a l e n t r i e s a r e marked by a s e r i e s o f s u b c a t e g o r y f e a t u r e s , as f o l l o w s ( i b i d : 1 0 7 ) : S i n c e r i t y [+ N, + Det , - Count, A b s t r a c t , ...] Boy [+ N, + Det , + Count, + Animate, + Human, ...] F r i g h t e n [+ V, + NP, + [+ A b s t r a c t ] Aux Det [+. A n i m a t e ] , + O b j e c t - d e l e t i o n , ...] May [+ M ] a) S o l u t i o n I ( A s p e c t s : 8 4 - 1 0 6 ) T h i s s o l u t i o n has the p u r p o s e o f i n t r o d u c i n g s u b c a t e g o r i z a t i o n and s e l e c t i o n a l r u l e s by means o f r e w r i t i n g t h e r u l e s o f t h e ba s e . The 45 base-rules will generate a sequence of elements, among which there will be CS, composed of bundles of subcategory features. A lexical rule, illustrated below, allows the insertion of lexical entries only where the features of the entry agree with those of the generated Complex Symbol. If Q is a Complex Symbol of a preterminal string, and (D,C) an entry in the lexicon, where C is not different from Q, then C may replace Q. b) Solution II (Aspects:120-123) This hypothesis places the subcategory rules in the lexicon. The base component will be composed only of rules of categorization, whose function will be to determine the primary grammatical relations and to attribute to these grammatical relations a linear order. Thus, component will be completed by a complex lexicon, where each entry will be of the form: (D,CS), where D is a matrix of phonological features and CS, a complex symbol, i .e . , a sequence of semantic and syntactic features. The syntactic features will be of two kinds: 1) Subcategorical rules, simplied by redundancy rules; 2) Selectional rules, expressed in terms of subcategorical or categorical contexts. A lexical entry such as boy will contain the feature [+ human], and -implied by a redundancy rule -the following sequence of features: |[+ animate], + [count], + N|. The lexical entry may by means of lexi-cal rule replace a preterminal symbol |+ N|. In this way, the entry frighten will contain the features | [+ abstract] Aux Det [+ animate]j , implying |+ N| [+ animate]. This verb can only appear in the context 46 |+ N Det + N|, where N's c o n t a i n s t h e f e a t u r e s [- a b s t r a c t ] and [+ animate]- r e s p e c t i v e l y . c ) S o l u t i o n I I I ( A s p e c t s : 1 5 6 - 1 6 0 ) In e x a m i n i n g t h e f o l l o w i n g s e n t e n c e s : 1. " I t i s nonsense t o speak o f ( t h e r e i s no s u c h a c t i v i t y as) f r i g h t e n i n g s i n c e r i t y , " 2. " S i n c e r i t y i s n o t the s o r t o f t h i n g t h a t can be f r i g h t e n e d , " 3. "One c a n ( n o t ) f r i g h t e n s i n c e r i t y , " Chomsky p r o p o s e s t o i n c o r p o r a t e t h e s e l e c t i o n a l r u l e s ( w h i c h c o n t a i n f e a t u r e s o f s u b c a t e g o r i z a t i o n ) i n t o the s e m a n t i c component. I t i s e v i -d e n t t h a t t h e p r e s e n c e o f s e m a n t i c e l e m e n t s su c h as " i t i s n o n s e n s e " a l l o w s one t o a c c e p t as grammatical some s e n t e n c e s w hich would be r e -j e c t e d by s o l u t i o n s I and I I . A c c o r d i n g t o Chomsky, i t i s t h e r e f o r e p o s s i -b l e t o a l l o w f o r t h e g e n e r a t i o n o f t h e s e s t r i n g s d i r e c t l y i n t h e s y n t a c t i c component, w h i c h i s n o t v e r y c o n v i n c i n g . I b e l i e v e t h a t i t w o u l d be p o s s i b l e t o keep t h e s e s e n t e n c e s , though they would have t o be marked as i n c o r r e c t a t the s e m a n t i c l e v e l . T h i s i s a s t r a n g e argument be c a u s e the r e t e n t i o n o f e v e r y grammatical s e n t e n c e , even on t h e l e v e l o f t h e r u l e s o f s u b -c a t e g o r i z a t i o n , adds an u n n e c e s s a r y awkwardness to the grammar. I t seems e v i d e n t t h a t the h y p o t h e s i s o f s u b c a t e g o r i z a t i o n p r e s e n t s a f l u c -t u a t i o n on the d e m a r c a t i o n o f t h e l i m i t s between s e m a n t i c s / s y n t a x . T h i s i m p r e c i s i o n o f l i m i t s i s a s e r i o u s weakness o f t h e t h e o r y . Chomsky l e a v e s t h i s s o l u t i o n w i t h o u t t r e a t i n g i t any f u r t h e r . 47 3. The R e l a t i o n Between Components Chomsky seems t o a c c e p t t h e c o n c l u s i o n s o f K a t z and P o s t a l (1964) t h a t t r a n s f o r m a t i o n s do n o t change t h e meaning o f s e n t e n c e s . Combining t h i s h y p o t h e s i s w i t h t h e one u n d e r l y i n g the o r g a n i z a t i o n o f t h e base i n s o l u t i o n I I , Chomsky p r o p o s e s t h e f o l l o w i n g model, which i s r e p r o d u c e d h e r e i n a g r a p h i c form ( A s p e c t s : 1 4 1 - 1 4 2 ) : C a t e g o r i c a l Component L e x i con Semanti c Component T r a n s f o r m a t i o n s P h o n o l o g i c a l Component The c a t e g o r i c a l subcomponent o f the base c o n s i s t s o f a sequ e n c e o f c o n t e x t - f r e e r e w r i t i n g r u l e s . The f u n c t i o n o f t h e s e r u l e s i s , i n e s s e n c e , t o d e f i n e a c e r t a i n s y s t e m o f g r a m m a t i c a l r e l a t i o n s t h a t d e t e r m i n e s e m a n t i c i n t e r -p r e t a t i o n , and t o s p e c i f y an a b s t r a c t u n d e r l y i n g o r d e r o f elem e n t s t h a t makes p o s s i b l e t h e f u n c t i o n i n g o f t h e t r a n s -f o r m a t i o n a l r u l e s . . . . The i n f i n i t e g e n e r a t i v e c a p a c i t y o f t h e grammar a r i s e s f r o m a p a r t i c u l a r f o r m a l p r o p e r t y o f t h e s e c a t e g o r i c a l r u l e s , namely t h a t t h e y may i n t r o d u c e t h e i n i t i a l symbol S i n t o a l i n e o f a d e r i v a t i o n . In t h i s way the r e w r i t i n g r u l e s c a n , i n e f f e c t , i n s e r t base P h r a s e -markers i n t o o t h e r P h r a s e - m a r k e r s , . . . The l e x i c o n c o n -s i s t s o f an u n o r d e r e d s e t o f l e x i c a l e n t r i e s and c e r t a i n redundancy r u l e s . Each l e x i c a l e n t r y i s a s e t o f f e a t u r e s . . . . Some o f t h e s e a r e p h o n o l o g i c a l f e a t u r e s , drawn from a p a r t i c u l a r u n i v e r s a l s e t o f p h o n o l o g i c a l f e a t u r e s ( t h e d i s t i n c t i v e - f e a t u r e s y s t e m ) . . . . Some o f t h e f e a t u r e s a r e s e m a n t i c f e a t u r e s . T h e s e , t o o , a r e presumably drawn from a u n i v e r s a l " a l p h a b e t . " ... We c a l l a f e a t u r e "seman-t i c " i f i t i s not mentioned i n any s y n t a c t i c r u l e , thus b e g g i n g t h e q u e s t i o n o f w h e t h e r s e m a n t i c s i s i n v o l v e d i n s y n t a x . The redundancy r u l e s o f t h e l e x i c o n add and s p e c i f y f e a t u r e s w h e r e v e r t h i s can be p r e d i c t e d by g e n e r a l r u l e . 48 The s e m a n t i c i n t e r p r e t a t i v e component may be c o n s t r u c t e d and c o n s i s t s o f P r o j e c t i o n - r u l e s o f t y p e I ( K a t z and P o s t a l , 1964). These p r o j e c t i o n -r u l e s g i v e t o the deep s t r u c t u r e a s e m a n t i c i n t e r p r e t a t i o n on the b a s i s o f t h e i n t e r p r e t a t i o n s g i v e n t o t h e c o n s t i t u e n t e l e m e n t s . The t r a n s -f o r m a t i o n a l component c o n s i s t s o f a s e r i e s o f s i n g u l a r y t r a n s f o r m a t i o n s , where each one i s d e f i n e d i n terms o f a s t r u c t u r a l d e s c r i p t i o n and a s e quence o f e l e m e n t a r y t r a n s f o r m a t i o n s . The p h o n o l o g i c a l component i s a l s o p u r e l y i n t e r p r e t a t i v e . I t c o n s i s t s o f a s e r i e s o f r u l e s w h i c h a r e a p p l i e d c y c l i c a l l y t o t h e s u r f a c e s t r u c t u r e , b e g i n n i n g w i t h t h e t e r m i n a l e l e m e n t s o f t h e t r e e r e p r e s e n t a t i o n . a) "Grammati c a l T r a n s f o r m a t i ons" In the t h i r d c h a p t e r o f A s p e c t s , Chomsky p r e s e n t s some s u g -g e s t i o n s on the t h e o r y o f t r a n s f o r m a t i o n . H i s h y p o t h e s e s o f t r a n s f o r -m a t i o n s a r e i n d e p e n d e n t o f t h e c h o i c e o f any s o l u t i o n f o r t h e base form. Chomsky p r o p o s e s t o d e l e t e f r o m the e l e m e n t a r y t r a n s f o r m a t i o n s t h e c l a s s o f o p e r a t i o n s c a l l e d " p e r m u t a t i o n s . " He d e m o n s t r a t e s t h a t any permu-t a t i o n must be f o r m u l a t e d i n terms o f a d j u n c t i o n , e l l i p s e , o r s u b s t i -t u t i o n . ^ A s e c o n d p r o p o s i t i o n d e t e r m i n e s t h e c o n d i t i o n s o f the e l l i p s e w h i ch seems t o be r e p r o d u c e d i n t h e absence o f d i f f e r e n c e s between f e a t u r e s r a t h e r than i n the c a s e o f a b s o l u t e i d e n t i t y . The most i m p o r t a n t i n n o -v a t i o n c o n c e r n i n g t r a n s f o r m a t i o n s i s t h e f u n c t i o n o f f i l t e r i n g p r o c e s s e s 1? T h i s t y p e o f m o d i f i c a t i o n emerges from t h e r e s e a r c h on t h e use o f t h e computer t o v e r i f y the v a l i d i t y o f t h e s y n t a c t i c r u l e s . T h i s r e s e a r c h has s o u g h t t o e s t a b l i s h a more r e a l i s t i c and s t a b l e n o t a t i o n t h a n t h e one used i n t h e f i r s t works on t r a n s f o r m a t i o n a l t h e o r y ( Z w i c k y , 1965). 49 (though Chomsky s t a t e s t h a t t h i s n o t i o n had always been i m p l i c i t i n h i s t h e o r y , A s p e c t s : 1 3 9 ) . Any deep s t r u c u t r e c a n n o t be r e a l i z e d d i r e c t l y i n s u r f a c e s t r u c t u r e , but must undergo t r a n s f o r m a t i o n s . I f a p h r a s e -marker does n o t c o r r e s p o n d t o the s t r u c t u r a l d e s c r i p t i o n o f any t r a n s -f o r m a t i o n , then t h e r e c a n n o t be any d e r i v a t i o n , and the s y s t e m i s t h e r e -f o r e " b l o c k e d . " T h i s means t h a t the p r o d u c t s o f the grammar a r e o f two k i n d s : 1) A s e r i e s o f w e l l formed s u r f a c e s t r u c t u r e s enumerated as g r a m m a t i c a l s e n t e n c e s o f t h e l a n g u a g e , and d e r i v e d by s i m p l e t r a n s f o r m a t i o n s ( S y n t a c t i c S t r u c t u r e s : 5 7 ) ; 2) A s e r i e s o f s t e r i l e deep s t r u c t u r e s , w hich do n o t meet the s t r u c t u r a l d e s c r i p t i o n o f any t r a n s f o r m a t i o n . The p r e s e n c e o f t h i s s e c o n d s e r i e s i s s u p e r f l u o u s and a s e r i o u s p r o b l e m i n the A s p e c t s model. b) The L e x i c o n In "The S t r u c t u r e o f t h e L e x i c o n " (§2, S e c t i o n 4:164-192), Chomsky p o i n t s o u t c e r t a i n i m p l i c a t i o n s i f we a d o p t s o l u t i o n I . T h i s s o l u t i o n does n o t a f f e c t t h e g e n e r a l f o r m o f the model d e s c r i b e d i n t h e p r e c e d i n g s e c t i o n even though t h e a u t h o r does n o t mention i t , b u t i t a l l o w s the use o f some r u l e s i n the l e x i c o n w h i c h r e d u c e t h e number o f f e a t u r e s r e p r e s e n t e d f o r each l e x i c a l e n t r y . T hese r u l e s would have, t h e r e f o r e , t h e same f u n c t i o n as t h e r u l e s o f morphophono-l o g i c a l s t r u c t u r e p r e s e n t e d by H a l l e (1959) f o r t h e p h o n o l o g i c a l com-po n e n t . Chomsky, i n h i s s y s t e m , c a l l s them " p h o n o l o g i c a l redundancy r u l e s . " In the above s e c t i o n , Chomsky o u t l i n e s t h e e x i s t e n c e o f p a r a l l e l 50 r u l e s , c a l l e d " s y n t a c t i c redundancy r u l e s . " They would a l l o w one t o d i s t i n g u i s h between " p o s s i b l e l e x i c a l forms b u t n o n - e x i s t e n t " and "im-p o s s i b l e l e x i c a l f o r m s . " They would a l s o have t h e g e n e r a l p u r p o s e o f r e d u c i n g t o a minimum the n e c e s s a r y d e s c r i p t i v e f e a t u r e s o f a l e x i c a l e n t r y . Chomsky does n o t e x p l a i n , however, how t h e s e r u l e s c o u l d be i n c o r p o r a t e d i n t o a model which adopts s o l u t i o n I I , w i t h a more complex l e x i c o n . In t h i s c h a p t e r I have p r e s e n t e d the b e g i n n i n g s o f the new g e n e r a -t i v e - t r a n s f o r m a t i o n a l l i n g u i s t i c s c h o o l and an e x a m i n a t i o n o f the f u n d a -mental p r i n c i p l e s and c o n c e p t s o f t h i s s c h o o l . The development o f t h e t r a n s f o r m a t i o n t h e o r y which i s c r y s t a l i z e d i n Chomsky's A s p e c t o f t h e  T h e o r y o f S y n t a x was a n a l y s e d i n o r d e r t o s e r v e as an i n t r o d u c t i o n t o my f o r m u l a t i o n , i n C h a p t e r 4, o f a d e s c r i p t i v e grammatical model. CHAPTER 2 "POST-ASPECTS" DEVELOPMENTS INTRODUCTION T h i s c h a p t e r , which f o c u s e s on the c o n c r e t i z a t i o n o f c e r t a i n p a r t i c u l a r l y i m p o r t a n t n o t i o n s d e v e l o p e d a f t e r Chomsky's A s p e c t s , i s o r -g a n i z e d i n two main p a r t s : 1) the p o s t - A s p e c t s d e v e l o p m e n t s , and 2) changes i n t r a n s f o r m a t i o n a l t h e o r y . The d i s c u s s i o n w i l l be i m p a r t i a l and ex-p l i c i t even though some o f t h e t h e o r e t i c a l n o t i o n s seem c o n t r a d i c t o r y . C r i t i c i s m s and p e r s o n a l i n t e r p r e t a t i o n s o f t h e s e developments w i l l be r e v e a l e d i n C h a p t e r s 4 and 5 i n c o n n e c t i o n w i t h my own grammar o f P o r -t u g u e s e . T h i s s e c t i o n , however, does n o t d i s c u s s any i n d i v i d u a l grammars. I. RECENT INNOVATIONS IN LINGUISTIC THEORY A. P r i n c i p a l Developments The most r e m a r k a b l e c h a r a c t e r i s t i c o f t h e p o s t - A s p e c t s p e r i o d o f l i n g u i s t i c s t u d y i s t h a t the Chomskyan s c h o o l i s no l o n g e r d o m i n a t e d by i t s o r i g i n a t o r ' s t h i n k i n g . D u r i n g t h e f i f t e e n y e a r s a f t e r h i s f i r s t c o n c e p t i o n o f t h e t h e o r y , Chomsky has p r e p a r e d a whole g e n e r a t i o n o f l i n g u i s t s and has i n f l u e n c e d a f a i r number o f h i s c o n t e m p o r a r i e s . S i n c e t h e n , he seems t o have become i n t e r e s t e d i n o t h e r a s p e c t s o f l i n g u i s t i c s . The d i v e r s i f i c a t i o n o f h i s i n t e r e s t s i s r e f l e c t e d i n h i s p u b l i c a t i o n s . 51 52 It is understandable, therefore, that the development of his theory has brought the new linguists to the diverse results. It should be noted also that generative-transformational grammar theory is still a North American development. Although Saumjam has given an important place to the theory in Russia, it has had only a slow and limited ex-pansion elsewhere outside this continent; for example, in England, Holland, East Germany, Romania and Japan. Except for these countries, Chomsky's theory has impressed philosophers and psychologists more than linguists. The following discussion explores some important notions in Chomsky's theory. 1. The Transformational Cycle The notion of cycle, developed in phonology and used success-fully for the first time in an article by Chomsky, Halle and Lakoff (1956), illustrates the complex system of rules for stress and vowel reduction. The principle of the transformational cycle consists of ordering the rules and giving them a recursive mechanism by which they reapply again and again in a cyclic way, first to the minimal consti-tuents of a structure, next to the upper elements of a given structure, i and finally to the highest domain of processes affected by the rules. Chomsky suggested (1965) that the transformational rules of the syn-tactic component be organized in a cycle by analogy to the rules of the phonological component. The post-Aspects research centres on t h e 53 o r d e r i n g o f c y c l i c t r a n s f o r m a t i o n s . L a k o f f and Ross (1966) d e m o n s t r a t e the n e c e s s i t y o f o r d e r i n g some r u l e s i n r e l a t i o n t o o t h e r s i n a c y c l e , and L a k o f f (1966a) s u g g e s t s the e x i s t e n c e o f : a) P r e - c y c l i c t r a n s f o r m a t i o n s ; some t r a n s f o r m a t i o n s w hich must p r e c e d e the a p p l i c a t i o n o f o t h e r r u l e s . These can be a p p l i e d i n d e p e n d e n t l y . b) C y c l i c t r a n s f o r m a t i o n s ; t h e s e t r a n s f o r m a t i o n s can o n l y be a p p l i e d i n o r d e r . c) P o s t - c y c l e t r a n s f o r m a t i o n s ; t h e s e t r a n s f o r m a t i o n s a r e a p p l i e d i n d e p e n d e n t l y . The i m p o r t a n c e o f t h e s e q u e n c e i n w h i c h the t r a n s f o r m a t i o n s a r e a p p l i e d i s d e m o n s t r a t e d by F i l l m o r e (1962-1965) i n t h e s o l u t i o n o f t h e p r o b l e m o f p r e p o s i t i o n a l v a r i a n t s a s s o c i a t e d w i t h t h e i n d i r e c t -complement E n g l i s h c o n s t r u c t i o n s w hich show d i f f e r e n t s y n t a c t i c p r o p -r i e t i e s . Here a r e two s t r u c t u r e s : 1) John bought a book f o r me, 2) John gave a book t o me. These have a common v a r i a n t : / b o u g h t \ 3) John i i me a book. (g a v e J The f i r s t and s e c o n d s e n t e n c e s have a s i m i l a r s u r f a c e s t r u c t u r e , b u t o n l y (2) may become a p a s s i v e s e n t e n c e : * 4) A book was bought me, 5) A book was g i v e n m e J Vhis s e n t e n c e i s p a r t l y g r a m m a t i c a l . 54 F i l l m o r e s u g g e s t s the e x i s t e n c e o f two d i f f e r e n t t r a n s f o r m a t i o n s t o g e n e r a t e the two forms o f (3) f r o m (1) and ( 2 ) , u s i n g t h e f i r s t t r a n s -f o r m a t i o n a f t e r t h e p a s s i v e t r a n s f o r m a t i o n , and the s e c o n d b e f o r e . Then the model w i l l g e n e r a t e s e n t e n c e s ( 1 ) , ( 2 ) , ( 3 ) , ( 5 ) , but n o t ( 4 ) . For E n g l i s h , s e v e r a l sequences o f t r a n s f o r m a t i o n s have been p r o p o s e d (Rosenbaum and Lochak, 1968; L a k o f f and Ross, UESP, 1969); f o r F r e n c h ( L a n g a c k e r , 1966, and Q u e r i d o , 1969). 2. The N o t i o n o f C o n s t r a i n t The n o t i o n o f c o n s t r a i n t i n g e n e r a t i v e t r a n s f o r m a t i o n a l grammar comes f r o m t h e i n t e r p r e t a t i o n o f one o f Chomsky's t h e o r i e s , e x p l a i n e d by P o s t a l d u r i n g a c o u r s e i n s y n t a x a t MIT (1964-65). In h i s i n t e r -p r e t a t i o n the f i l t e r i n g o f the e x c e p t i o n s t o the r u l e s i s c o n s i d e r e d a u s e l e s s c o m p l i c a t i o n i n t h e grammar. Ungrammatical s e n t e n c e s w i l l be g e n e r a t e d by the grammar due t o c e r t a i n i n e f f i c i e n c i e s o f t h e model. T h i s grammar must have a mechanism t o c h a r a c t e r i z e t h e i r r e g u l a r i t i e s g e n e r a t e d by t h e s y n t a c t i c r u l e s . The c o n s t r u c t i o n o f s u c h a mechanism i s d i s c u s s e d i n L a k o f f ' s d i s s e r t a t i o n , On the N a t u r e o f S y n t a c t i c I r r e g u - l a r i t y ( 1 9 6 5 ) . The i n g e n i o u s s y s t e m o f " m e t a r u l e s " p r o p o s e d by L a k o f f has as i t s main aim t o p o i n t o u t some r e g u l a r c h a r a c t e r i s t i c s o f t h e s y s t e m o f t r a n s f o r m a t i o n a l r u l e s . T hese r e g u l a r i t i e s seem t o go beyond the t y p e o f g e n e r a t i o n c o n t a i n e d i n a t r a n s f o r m a t i o n r u l e . T h e r e a r e , however, two p o i n t s o f view on t h i s a s p e c t o f l i n g u i s t i c t h e o r y . F i r s t , Chomsky i n h i s p a p e r a t the 9 t h I n t e r n a t i o n a l Congress (1962-1964:930), p r o p o s e s t h e "A o v e r A" p r i n c i p l e . T h i s p r i n c i p l e 55 c o n s i s t s i n a p h r a s e X o f c a t e g o r y A embedded w i t h i n a l a r g e r p h r a s e ZXW which i s a l s o o f c a t e g o r y A, then no r u l e s a p p l y i n g t o t h e c a t e g o r y A a p p l i e s t o X b u t o n l y t o ZXW. The s e c o n d p o i n t o f view, s t a t e d by P o s t a l , c l a i m s t h a t t r a n s f o r m a t i o n s s h o u l d n o t i n c l u d e i n d i v i d u a l l e x i c a l e l e m e n t s . T h i s g e n e r a l i z a t i o n i s expanded by Ross (1967) i n h i s d o c t o r a l t h e s i s , which i s a t r e a t m e n t o f c o n s t r a i n t s i n the usage o f v a r i a b l e s i n t r a n s f o r m a t i o n a l r u l e s . Ross r e s t r i c t s h i s s t u d y t o "movement t r a n s -f o r m a t i o n s . " These t r a n s f o r m a t i o n s i n s u r f a c e s t r u c t u r e make a s y n t a c t i c e l e m e n t t a k e t h e p l a c e i n the l i n e a r sequence w h i c h would n o t have t h e same p l a c e i n deep s t r u c t u r e . Ross's c o n c l u s i o n s a r e i n t e r e s t i n g f o r a t h e o r y o f u n i v e r s a l s . He c l a s s i f i e s t h r e e t y p e s o f c o n s t r a i n t s , A, B, C, a c c o r d i n g t o t h e v a r i a b l e s used i n t h e t r a n s f o r m a t i o n a l r u l e s . A) U n i v e r s a l C o n s t r a i n t s , w hich b e l o n g t o t h e s t r u c t u r e o f any n a t u r a l l a n g u a g e . T h e r e a r e two t y p e s o f u n i v e r s a l c o n s t r a i n t s : 1) C o n s t r a i n t s on t h e complex n o u n - p h r a s e , 2) C o n s t r a i n t s on t h e c o o r d i n a t e s t r u c t u r e s . Ross c o n c l u d e s t h a t i n t h e movement r u l e s o f t h e c o n s t i t u e n t s , t h e v a r i -a b l e s must be c o n s t r a i n e d . These c o n s t r a i n t s a r e c h a r a c t e r i s t i c o f s e v e r a l t r a n s f o r m a t i o n s and a r e i m p o r t a n t g e n e r a l i z a t i o n s o f t h e l a n -guage, and, p e r h a p s , o f a l l n a t u r a l l a n g u a g e s . B) O b l i g a t o r y C o n s t r a i n t s - These c o n s t r a i n t s have an a p p l i c a t i o n i n some l a n g u a g e s o r language g r o u p s . The c o n s t r a i n t s need o b l i g a t o r y c o n d i t i o n s f o r a p p l i c a t i o n t o l a n g u a g e s . U n l i k e the u n i v e r s a l c on-s t r a i n t s w h i c h a r e r e a l g e n e r a l i z a t i o n s , t h e s e c o n s t r a i n t s a r e more s p e c i f i c , and may l e a d t o f a l s e a n a l y s i s i n the b a s e - r u l e s . 56 C) Deep C o n s t r a i n t s - T h i s t y p e o f c o n s t r a i n t i s t a k e n up by P e r l m u t t e r ( 1 9 6 8 ) , and L a k o f f ( 1 9 6 8 ) , w i t h an a p p l i c a t i o n t o S p a n i s h by R i v e r o ( 1 9 7 0 ) . P e r l m u t t e r expands t h i s t y p e o f c o n s t r a i n t w h i c h w i l l be d i s c u s s e d i n d e t a i l i n the f o l l o w i n g c h a p t e r . B. G e n e r a t i v e S e m a n t i c s G e n e r a t i v e s e m a n t i c s i s an outgrowth o f t r a n s f o r m a t i o n a l grammar and p l a y s a c e n t r a l r o l e i n s y n t a x . The g e n e r a t i v e s e m a n t i c s p o s i t i o n i s , i n e s s e n c e , t h a t s y n t a x and s e m a n t i c s c a n n o t be s e p a r a t e d f r o m each o t h e r and t h a t the r o l e o f t r a n s f o r m a t i o n s and d e r i v a t i o n a l c o n s t r a i n t s i n g e n e r a l i s t o r e l a t e s e m a n t i c r e p r e s e n t a t i o n s and s u r f a c e s t r u c t u r e s . The term " g e n e r a t i v e " s h o u l d be taken t o mean "complete and p r e c i s e " ( L a k o f f , 1969:77). 1. W e i n r e i c h ' s T h e o r y The i n t e g r a t i o n o f t h e s e m a n t i c t h e o r y o f K a t z and F o d o r i n t o a g e n e r a t i v e t h e o r y o f l i n g u i s t i c d e s c r i p t i o n t h a t f o l l o w s up Chomsky's s y n t a c t i c t h e o r y c o n s t i t u t e s t h e f i r s t s e m a n t i c component, but i s n o t t h e f i r s t s e m a n t i c t h e o r y t o be f o r m a l i z e d i n t h e c o n c e p t i o n o f t h e g e n e r a t i v e - t r a n s f o r m a t i o n a l s c h o o l . A l r e a d y i n 1961, a t t h e C o n g r e s s on Language U n i v e r s a l s , W e i n r e i c h (1961-1963) p r o p o s e d a t h e o r y o f seman-t i c s t h a t combines Chomsky's n o t i o n o f g r a m m a t i c a l i t y w i t h a l o g i c a l 57 s y s t e m o f a n a l y s i s p r o p o s e d by R e i c h e n b a c h ( 1 9 4 8 ) . The main p o i n t s o f W e i n r e i c h ' s t h e o r y a r e as f o l l o w s : 1) The autonomy o f s y n t a x v s . s e m a n t i c s , 2) A l e x i c a l s e m a n t i c s and " c o m b i n a t o r y s e m a n t i c s , " 3) The d e s c r i p t i o n o f the l e x i c a l e l e m e n t by d i s t i n c t i v e f e a t u r e s , 4) The l o g i c a l n a t u r e o f t h e s e m a n t i c c o m b i n a t i o n . W e i n r e i c h f o r m u l a t e s a c l a s s o f u n i v e r s a l s (1963:167) w i t h r e s p e c t t o c o m b i n a t i v e s e m a n t i c s and i t s r e l a t i o n s w i t h s y n t a x . In a l l l a n g u a g e s a c o m b i n a t i o n o f s i g n s t a k e s the form o f e i t h e r l i n k i n g o r n e s t i n g , and a l l l a n g u a g e s use both p a t t e r n s i n k e r n e l s e n t e n c e s . No f u r t h e r p a t t e r n s a r e i n t r o d u c e d by t r a n s f o r m a t i o n s . W h i l e t h e number o f l e v e l s i s n o t t h e o r e t i c a l l y l i m i t e d , l i n k i n g on more th a n t h r e e and n e s t i n g on more than f o u r i s v e r y r a r e . The m i s i n t e r p r e t a t i o n o f some p o i n t s i n W e i n r e i c h ' s t h e o r y and t h e c l a s h w i t h K a t z and Fodor's t h e o r y i n two i r r e c o n c i l a b l e p o i n t s o f view have c r e a t e d many p o l e m i c s . T h e s e a r e based on W e i n r e i c h ' s (1966:402-405), r e j e c t i o n o f a d i s t i n c t i o n between s e m a n t i c and s y n t a c t i c f e a t u r e s . He b a s e s t h i s d e c i s i o n on t h e f o l l o w i n g argument: ". . . a s u b c a t e g o r i z a t i o n s t e p i s t a k e n i f f a i l u r e t o do so makes t h e grammar g e n e r a t e (a) i l l -formed e x p r e s s i o n s o r (b) ambiguous s e n t e n c e s - t h e r e a s o n s o f s u b c a t e -g o r i z a t i o n i n s y n t a x t u r n o u t t o be p r e c i s e l y t h e same f o r s e m a n t i c s " (1966:403). W e i n r e i c h ' s argument q u e s t i o n s the n o t i o n o f g r a m m a t i c a l i t y i n t h e i m p l i c i t s e n s e o f t h e s o l u t i o n s I and II p r e s e n t e d i n A s p e c t s . He s h a r e s Q u i n e ' s p o i n t o f view (1953) which i s e x p l i c i t l y r e j e c t e d by Chomsky, t h a t t h e grammarian s h o u l d o n l y be c o n c e r n e d w i t h t h e two n o t i o n s 58 o f i n t e r p r e t a b i l i t y and synonymy. W e i n r e i c h chooses the c r i t e r i o n o f s i m p l i c i t y i n the symmetry o f s e m a n t i c and s y n t a c t i c f e a t u r e s ("they c o r r e s p o n d i n form and m o t i v a t i o n " ) and p r o p o s e s a model f o r l i n g u i s t i c d e s c r i p t i o n which d i f f e r s f r o m t h e A s p e c t s ' model i n t h e f o l l o w i n g p o i n t s : 1) L e x i c a l r e p r e s e n t a t i o n by two s e t s o f f e a t u r e s ; one s e t o f s e m a n t i c - s y n t a c t i c f e a t u r e s and one m a t r i x o f phono-l o g i c a l f e a t u r e s ; 2) The base s t r u c t u r e may be e x p l i c i t l y f o r m a l i z e d u s i n g a t e c h n i q u e s i m i l a r t o R e i c h e n b a c h ' s p r e d i c a t e l o g i c ; 3) The need t o i n t e r r e l a t e s e m a n t i c r u l e s w i t h s y n t a c t i c r u l e s a t the l e v e l o f deep s t r u c t u r e , and the need t o r e c o g n i z e c e r t a i n s e m a n t i c f e a t u r e s b e f o r e the l e x i c a l i n s e r t i o n ; 4) A S e m a n t i c Component has two c o n s t i t u e n t s : a) A " c a l c u l a t o r , " w hich i s a more complex v e r s i o n o f the K a t z and Fodor p r o j e c t i o n r u l e s , b) An " e v a l u a t o r , " w h i c h g i v e s a q u a l i t a t i v e v a l u e t o the meaning o f the s e n t e n c e ( t h i s s y s t e m i s c l o s e t o L a k o f f s m e t a r u l e s s y s t e m , 1965). W e i n r e i c h ' s p o s i t i o n i s b a s e d on a s e m a n t i c c r i t e r i o n as opposed t o K a t z and F o d o r 1 s p o s i t i o n which i s b a s e d on a p h o n o l o g i c a l c r i t e r i o n . H i s c o n c e p t o f " l e x i c a l i t e m " i s one f o r each s e m a n t i c r e a d i n g , o r a one-to-one c o r r e s p o n d e n c e . The word b a c h e l o r would have f o u r l e x i c a l i t e m s " b a c h e l o r , " f o r t h e f o u r d i f f e r e n t s e m a n t i c r e a d i n g s . W e i n r e i c h ' s d i s a m b i g u a t i o n t h e o r y a p p l i e s t o t h e e x a m i n a t i o n o f the s e m a n t i c 59 representation of the whole deep structure. This theory requires the factual knowledge, i.e. the knowledge of the outside world, of the lan-guage users. Weinreich's formulation of a semantic theory is an impor-tant step towards Generative Semantics. 2. Gruber's Theory Gruber's work is based on the concept of utterance synonymy. He wants to account for our intuition which relates such sentences as: 1) John sold the car to Peter, 2) Peter bought the car from John. Gruber proposes a deep structure which gives a similar representation to these sentences. Different rules will then account for the different lexical and syntactic interpretation. It is a system close to a so-called generative semantic theory, as opposed to an interpretative theoryI! Unlike Weinreich, Gruber does not want to modify the semantic component of Katz and Fodor, but to state that the semantic component is responsible for only one part of the semantics of the sentence. The other part is not a dictionary with its lexical entries and semantic features, but a system of rules generating semantic structures at a level deeper than Chomsky's deep structure. These structures from a semantic base are then interpreted by Projection rules of the Katz and Fodor type, and by those transformation rules which give to the lexical elements of the sentence a realization corresponding to the lexical entries of a dictionary. The semantic structure receives a phonological form and reaches the level of deep structure proposed by Chomsky. From this level 60 on, Gruber's model is identical to Aspects and is completed by means of a transformational and morphological component as described by Chomsky. Gruber's base rules are of a context-free, rewriting type. Gruber's theory differs from Chomsky's theories in the following three points, the fourth is common to both. 1) The concept of grammaticality occurs at the level of an adequate utterance interpretability; 2) A syntactic structure is not the central part in the model: the syntagmatic syntactic rules are eliminated and all the syntax is interpretative in relation to the deep semantic structure of the sentence; 3) The lexical level is not meaningful in the semantic struc-ture, but only as syntactic and phonological interpretative levels; 4) The type of syntactic and transformational rules used in a Chomskyan grammar may account for the semantic structure of the sentence. 3. McCawley's Theory In a series of articles published since 1967, McCawley has been exploring some of the hypotheses postulated by Weinreich and Gruber. In one of his first articles, "The Role of Semantics in a Grammar" (1968), he adopts for his theory the type of lexicon such as the lexical item approach, proposed by Weinreich, one lexical entry for each different semantic interpretation opposed to the type of polysemic dictionary 61 e n t r i e s o f K a t z and Fodor, who use t h e d i c t i o n a r y a p p r o a c h , one l e x i c a l e n t r y with- m u l t i - s e m a n t i c r e a d i n g s . McCawley, however, a t t e m p t s t o f o r m a l i z e t h e r u l e s t o d e r i v e some l e x i c a l i tems from o t h e r s (as i n Gr u b e r ' s c o n c e p t ) . He adds t o W e i n r e i c h ' s d i c t i o n a r y a s e r i e s o f d e r i v a t i o n a l r u l e s w hich g e n e r a t e some l e x i c a l i t e m s from o t h e r s . T h e r e f o r e , t h e word "warm" i n s e n t e n c e 2 can be d e r i v e d from "warm" i n one: 1) The c o f f e e i s warm, 2) The c o a t i s warm. McCawley c l a i m s t h a t the l e x i c a l i t e m warm has i t s i m p l i c a t i o n a l r e l a t i o n -s h i p s , where t h e p r e s e n c e o f one l e x i c a l i t e m i s p r e d i c t a b l e f r o m a n o t h e r . He a l s o f a v o u r s L a k o f f ' s c o n c e p t o f t h e " r e i f i c a t i o n p r o c e s s " (1968) and W i e r z b i c k a ' s f o r m u l a ( 1 9 6 7 ) , where John i n s e n t e n c e one may be t h e s o u r c e f o r John i n s e n t e n c e two: 1) John t h i n k s t h a t t h e w o r l d i s f l a t , 2) John weighs two hundred pounds. In a p o s t s c r i p t o f t h i s a r t i c l e , McCawley adds t o t h i s c o n c e p t i o n o f l e x i c o n the r e s u l t s o f Gr u b e r ' s work. Then he q u e s t i o n s t he v a l u e o f deep s t r u c t u r e and r e j e c t s t h e n o t i o n o f deep s t r u c t u r e i n t h e s e n s e o f th e A s p e c t s model. He c l a i m s t h a t Chomsky's s y n t a c t i c f e a t u r e s do n o t have any f u n c t i o n i n t h e s e l e c t i o n o f l e x i c a l i t e m s , and p r o p o s e s an e q u i v a l e n c e between Chomsky's deep s t r u c t u r e and t h e s e m a n t i c s t r u c t u r e o f t h e s e n t e n c e . McCawley's model becomes, t h e n , a c o m b i n a t i o n o f Wein-r e i c h ' s and Gr u b e r ' s p r o p o s a l s . I t s base s t r u c t u r e i s s i m i l a r t o Gr u b e r ' s and i t s t r a n s f o r m a t i o n a l component i s p r e d i c t e d by W e i n r e i c h ' s c o n c e p t i o n . The t r a n s f o r m a t i o n a l component i s an amalgamation o f s y n t a c t i c and s e m a n t i c 62 r u l e s , w i t h d e r i v a t i o n a l g e n e r a t i v e s e m a n t i c r u l e s , o f McCawley's own t y p e . The t r a n s f o r m a t i o n s a r e c h a r a c t e r i z e d by s e m a n t i c - s y n t a c t i c f e a t u r e s ( W e i n r e i c h ' s t y p e ) , and r u l e s f o r i n t r o d u c t i o n and i n c o r p o r a t i o n o f l e x i c a l e l e m e n t s ( G r u b e r ' s t y p e ) . The t r a n s f o r m a t i o n a l component has a l l t h e f u n c t i o n s o f a s e m a n t i c component o f W e i n r e i c h ' s t y p e " c a l c u l a t o r -e v a l u a t o r " and G r u b e r ' s i n t e r p r e t a t i v e o r K a t z and Fodor's t y p e . McCawley c o n s i d e r s a l l s e m a n t i c s t o be o f a g e n e r a t i v e n a t u r e . In a n o t h e r s e r i e s o f a r t i c l e s (1967:55) McCawley d e f e n d s h i s c l a i m t h a t s y n t a x as an autonomous mechanism does n o t e x i s t . He wants t o d e m o n s t r a t e t h a t s y m b o l i c l o g i c , w i t h s l i g h t m o d i f i c a t i o n , i s an a d e q u a t e s y s t e m f o r t h e d e s c r i p t i o n o f t h e s e m a n t i c s t r u c t u r e o f n a t u r a l l a n g u a g e s and he does show t h a t some t r a n s f o r m a t i o n s a r e dependent on an a n a l o g o u s r e p r e s e n t a t i o n o f t h e i r c o r r e c t f o r m a l i z a t i o n and t h a t t h e same mechanism may a c c o u n t f o r b o t h s y n t a c t i c and s e m a n t i c o p e r a t i o n s . A t t he same t i m e t h e t r a d i t i o n a l argument f o r t h e dichotomy d i f f e r e n -t i a t i n g s y n t a x and s e m a n t i c s i s r e j e c t e d on t h e f o l l o w i n g b a s i s : 1) S e m a n t i c s p o s s e s s e s , l i k e s y n t a x , a s y n t a g m a t i c s t r u c t u r e ; 2) T h e r e i s n o t a c l e a r d i v i s i o n between t r a n s f o r m a t i o n s o f s e m a n t i c and l e x i c a l f e a t u r e s ; 3) The c a t e g o r i e s r e c o g n i z e d i n s y n t a x do n o t p l a y any f u n c t i o n i n t h e s e m a n t i c r e p r e s e n t a t i o n . T h e r e f o r e , t h e s e c a t e g o r i e s a r e u s e l e s s ; 4) I n d i c e s o f r e f e r e n c e a r e t r e a t e d i n a grammar o f s e m a n t i c s b e t t e r than i n a grammar o f s y n t a x ; 5) S e l e c t i o n a l r e s t r i c t i o n s a r e d e f i n a b l e s o l e l y i n terms o f p r o p e r t i e s o f s e m a n t i c r e p r e s e n t a t i o n . T h e r e f o r e , t h e i r p o s i t i o n i s i n t h e s e m a n t i c component. 63 McCawley c o n s i d e r s t h a t the most r e f i n e d s e l e c t i o n a l r e s t r i c t i o n p r o c e s s must be met i n t h e s e m a n t i c component and be a c c o u n t e d f o r by the s p e a k e r ' s t o t a l f a c t u a l knowledge o f t h e w o r l d . He g i v e s t o s e m a n t i c s a l l t h e c h a r a c t e r i s t i c s o f s y n t a x . 4. L a k o f f ' s T h e o r y L a k o f f ' s d o c t o r a l t h e s i s (1965) g i v e s a s y n t a c t i c e x p l a n a t i o n o f t h e two v e r b s h a r d e n , which a r e e q u i v a l e n t on the s e m a n t i c l e v e l : 1) The metal h a r d e n e d , 2) John hardened t h e m e t a l . L a k o f f ' s a n a l y s i s o f t h e s e c o n d s e n t e n c e i s : John c a u s a t i v e S NP VP I I metal harden T h i s a n a l y s i s i s s i m i l a r t o Gruber's and p o i n t s o u t a deep s t r u c t u r e a t a d e e p e r l e v e l t h a n A s p e c t s . G r u b e r c a l l s t h i s s t r u c t u r e " p r e -l e x i c a l , " where the c a u s a t i v e e l e m e n t must undergo an " i n c o r p o r a t i o n p r o c e s s " b.efore i t can p r o d u c e the c o r r e c t s u r f a c e s t r u c t u r e - "John 64 hardened t h e m e t a l . " L a k o f f d e m o n s t r a t e s t h a t t h i s p r o c e s s i s p a r t o f t h e t r a n s f o r m a t i o n a l c y c l e . In h i s a r t i c l e " I n s t r u m e n t a l Adverbs and the Concept o f Deep S t r u c t u r e " ( 1 9 6 8 ) , L a k o f f renounces t he c o n c e p t o f deep s t r u c t u r e . He d e m o n s t r a t e s t h a t t he t h e o r y l a c k s g e n e r a l i z a t i o n when g i v i n g a d i f f e r e n t deep s t r u c t u r e t o two synonymous s e n t e n c e s , s u c h a s : 1) John c u t s t h e sa u s a g e w i t h a k n i f e , 2) John uses a k n i f e t o c u t t h e s a u s a g e . He p o s t u l a t e s a s e r i e s o f t e s t s t o show t h a t t h e two s t r u c t u r e s a r e i d e n t i c a l and he p r o p o s e s t o c o n n e c t them w i t h one t r a n s f o r m a t i o n . L a k o f f ' s " r e i f i c a t i o n p r o c e s s " d e m o n s t r a t e s t h a t n o t e v e r y i t e m o f the l a n g u a g e ( W e i n r e i c h ' s c o n c e p t ) has t o a p p e a r i n t h e l e x i c o n o f t h e l a n g u a g e ; a l l l a n g u a g e s have " i m p l i c a t i o n a l r e l a t i o n s h i p s " among t h e i r l e x i c a l i t e m s , i n which t he e x i s t e n c e o f one i m p l i e s t h e e x i s t e n c e o f a n o t h e r . He c i t e s , f o r example, words r e p r e s e n t i n g t h e t e m p e r a t u r e r a n g e , and t e m p e r a t u r e s e n s a t i o n , as i n t h e s e n t e n c e s : 1) The c o f f e e i s warm, 2 2) The c o a t i s warm, where t h e r e i s o n l y one p h o n o l o g i c a l shape f o r t h e l e x i c a l i t e m warm. The l e x i c a l i t e m warm i n s e n t e n c e (2) would be d e r i v e d from t h e l e x i c a l i t e m warm i n s e n t e n c e ( 1 ) . W e i n r e i c h and McCawley c a l l t h i s p r o c e s s o f t h e l e x i c a l i t e m warm, the " i m p l i c a t i o n a l r e l a t i o n s h i p " and L a k o f f c a l l s i t t h e " r e i f i c a t i o n p r o c e s s , " where the p r e s e n c e o f a l e x i c a l i t e m i s p r e d i c t e d o r d e r i v e d f r o m a n o t h e r . S e n t e n c e 2 may be ambiguous: "warm 1" meaning " t h i c k and heavy" and "warm 2" meaning " t e m p e r a t u r e warm" (warm from a r a d i a t o r ) . In t h i s c a s e t h e r e would be 3 l e x i c a l i t e m s "warm," where "warm 1" and "warm 2" i n s e n t e n c e 2 would be d e r i v e d from l e x i c a l i t e m "warm" i n s e n t e n c e 1. 65 L a k o f f d e f i n e s meaning as b e i n g t h e most i m p o r t a n t p a r t o f the grammar. H i s b a s i c t h e o r y i s " g e n e r a t i v e s e m a n t i c s , " which c l a i m s t h a t s e m a n t i c s can be h a n d l e d as s y n t a x . G e n e r a t i v e s e m a n t i c s r e f u t e s a u t o -nomous and a r b i t r a r y s y n t a x . He c o n s i d e r s autonomous s y n t a x as u s i n g ad hoc methods f o r a n a l y s i s , and he a l s o r e j e c t s the K a t z and Fodor t h e o r y . Autonomous s y n t a x assumes t h a t grammatical r e g u l a r i t i e s a r e c o m p l e t e l y c h a r a c t e r i z e d w i t h o u t r e c o u r s e t o meaning. L a k o f f , i n h i s a r t i c l e "On G e n e r a t i v e S e m a n t i c s , " r e j e c t s t h e c o n c e p t s o f i n t e r m e d i a t e l e v e l s o f s t r u c t u r e and deep s t r u c t u r e . He p o s i t s two k i n d s o f t r a n s f o r m a t i o n s : 1) L o c a l d e r i v a t i o n a l c o n s t r a i n t s , which a r e s i m i l a r t o Chomsky's t r a n s f o r m a t i o n t y p e and have the. f u n c t i o n o f r e l a t i n g s e n t e n c e s ; 2) G l o b a l d e r i v a t i o n a l c o n s t r a i n t s , w h i c h a r e a l s o s i m i l a r t o t r a n s f o r m a t i o n s but a r e f o r m a l i z e d o r d e r e d r u l e s and can o n l y a p p l y i n c e r t a i n c i r c u m s t a n c e s . These g l o b a l d e r i v a t i o n a l c o n s t r a i n t s may be o f two k i n d s : a) O b l i g a t o r y , when i n d e v e l o p i n g a s e q u e n c e one wants t o r e a c h a n o t h e r s e q u e n c e and has t o adopt t h e t r a n s -f o r m a t i o n t o r e a c h t h e end, b) O p t i o n a l , one o r more t r a n s f o r m a t i o n s o f s e m a n t i c c o n t e n t which a l l o w the d e s i r e d s e n t e n c e t o be a c h i e v e d . L a k o f f r e c o g n i z e s a " s h a l l o w s t r u c t u r e , " which i s a l a b e l f o r a p a r t i c u l a r P-marker. I t i s an i n - b e t w e e n l e v e l o f s t r u c t u r e , a s y n t a c t i c s t a t e which a p p l i e s i n between 66 some g l o b a l c o n s t r a i n t s . L a k o f f ' s argument i s t h a t i f we c a n show t h a t some t r a n s f o r m a t i o n s must a p p l y b e f o r e the i n s e r t i o n o f l e x i c a l i t e m s , then l e x i c a l i n s e r t i o n does n o t a p p l y a t a s i n g l e l e v e l , and thus deep s t r u c t u r e does n o t e x i s t . S ummarizing the g e n e r a t i v e s e m a n t i c s c h o o l whose l e a d e r s a r e McCawley and L a k o f f , we p o i n t o u t the main a s p e c t s o f the t h e o r y : 1) Complete r e j e c t i o n o f the l e v e l o f "deep s t r u c t u r e , " j u s t i f i e d on t h e s e g r o u n d s : a) C o - o c c u r r e n c e , w hich i s p u r e l y a s e m a n t i c p r o b l e m ; b) L e x i c a l e n t r i e s may appear a t any l e v e l o f t h e d e r i v a t i o n b u t n o t a l l a t o n c e ; c ) The grammatical r e l a t i o n s show up o n l y on the s u r f a c e l e v e l . 2) The e q u i v a l e n c e o f f u n c t i o n o f t r a n s f o r m a t i o n s and s e m a n t i c i n t e r p r e t a t i v e r u l e s . 3) The e q u i v a l e n c e between the s e m a n t i c s and t h e l o g i c a l forms o f t h e s e n t e n c e , where t h e p o s s i b i l i t y o f r e p r e s e n t i n g s e m a n t i c s t r u c t u r e i n terms o f a s y s t e m o f l o g i c i s p o s t u l a t e d . McCawley (1968b) has s u g g e s t e d a m o d i f i e d f o r m o f P r e d i c a t e C a l c u l u s t o r e p r e s e n t s e m a n t i c s t r u c t u r e s . L a k o f f (1970) i n a more r e c e n t a r t i c l e p r o p o s e s a new f o r m o f l o g i c , w h ich i s a d e v e l o p m e n t from Modal L o g i c , i n c o r p o r a t i n g n o t i o n s o f " p r e s u p p o s i t i o n , " " t o p i c " and " f o c u s , " as w e l l as t h e t r a d i t i o n a l p r e d i c a t e a n a l y s i s . 67 4) The p r e s e n c e o f " g l o b a l c o n s t r a i n t s " on the d e r i v a t i o n , w h i c h , a c c o r d i n g t o L a k o f f , i s the g r e a t c o n t r i b u t i o n o f P r o p o s i t i o n a l L o g i c t o L i n g u i s t i c s , i n the above c o n c e p t s . C. The L e x i c a l i s t H y p o t h e s i s In an a r t i c l e (1967) Chomsky p r o p o s e s a new way t o t r e a t 'nomi-n a l i z a t i o n , ' w h i c h he c a l l s " t h e l e x i c a l i s t h y p o t h e s i s , " based on t h e o r i g i n o f d e r i v e d n o m i n a l i z a t i o n s . In the l e x i c o n model p r e s e n t i n A s p e c t s t h e use o f c o n t e x t u a l f e a t u r e s a l l o w s f o r t h e i n s e r t i o n o f o n l y one e n t r y f o r the v e r b o r noun s l o t , i n a c c o r d a n c e w i t h c e r t a i n morpho-phonemic r u l e s . Chomsky (1967:12) p r o p o s e s t h e f o l l o w i n g base r u l e s : NP y N COMP VP =—»• v COMP AP • y A COMP COMP • NP, P, NP P, NP PP, PP PP, e t c . P »• P r e p o s i t i o n PP »• P r e p o s i t i o n a l P h r a s e N o t i n g t h e s i m i l a r i t y o f the f i r s t t h r e e r u l e s and the awkwardness o f the Complement c a t e g o r y , Chomsky (1967:27) p r o p o s e s a new n o t a t i o n c a l l e d "The X-Bar C o n v e n t i o n . " T h i s n o t a t i o n a l l o w s one t o show t h e p a r a l l e l i s m o f d e r i v a t i o n o f the d i f f e r e n t t y p e s o f p h r a s e s . The symbol X^  d e s i g n a t e s a node dominated by the e l e m e n t X, such t h a t t h e base r u l e s i n t r o d u c e N, A, and V (as a b o v e ) , which a r e r e p l a c e d by the r u l e X" >- X... F o l l o w i n g the same n o t a t i o n , t h e nodes dominated by N", A and V a r e 68 d e s i g n a t e d as N", A, and V" r e s p e c t i v e l y ; the p h r a s e s a s s o c i a t e d w i t h N, A, and Y i n the base a r e the "speci t i e r s . " The i n t r o d u c t i o n o f t h e e l e -ments i n the base can be done by t h e f o l l o w i n g schema: X • s p e c i f y J.J where s p e c i f i e d N - D e t e r m i n a n t " V - A u x i l i a r y A - A d j e c t i v a l AP The d e f i n i t i v e base r u l e s p r o p o s e d by the l e x i c a l i s t h y p o t h e s i s a r e as f o l l o w s : P > N V X • S p e c i f y X X X • X ... By means o f t h i s c o n v e n t i o n Chomsky wants t o a c c o u n t f o r s y n t a c t i c g e n e r -a l i z a t i o n s c o n c e r n i n g t h e s t r u c t u r e o f t h e complements N, A and V w h i c h b e l o n g t o t h e same d e r i v a t i o n a l f a m i l y , and t r y t o a c c o u n t a t t h e same t i m e f o r t h e l e x i c a l d e r i v a t i o n a l i r r e g u l a r i t i e s . A l t h o u g h we a g r e e w i t h t h i s new a n a l y s i s i n i t s p r i n c i p l e , we t h i n k t h i s s o l u t i o n i s n o t e n t i r e l y a c c e p t a b l e . In the base r u l e s f o r m u l a t e d , i t shows n e i t h e r r e p r e s e n t a t i o n o f s y n t a c t i c f u n c t i o n s , nor any s t r u c t u r a t i o n w hich d i s -t i n g u i s h e s between a N S u b j e c t and a NComplement. Chomsky r e c o g n i z e s i n A s p e c t s the need o f t h e s e f u n c t i o n s i n the f o r m u l a t i o n o f t h e s y n t a c t i c r u l e s . The l e x i c a l i s t h y p o t h e s i s has been ado p t e d i n the UCLA E n g l i s h S y n t a x P r o j e c t (UESP, 1968:69). The r e s e a r c h e r s o f t h i s i n v e s t i g a t i o n have i n t e g r a t e d t h e t h e o r y o f the l e x i c a l i s t h y p o t h e s i s w i t h F i l l m o r e ' s t h e o r y o f Case Grammar i n o r d e r t o remove t h e d e f i c i e n c i e s o f t h e new Chomskyan a n a l y s i s . 69 D. I n t e r p r e t a t i v e S e m a n t i c s I n t e r p r e t a t i v e s e m a n t i c s i s one s c h o o l o f s e m a n t i c s which f o l l o w s up the A s p e c t s model. I t p o s t u l a t e s a "deep s t r u c t u r e " g e n e r a t e d by a s y s t e m o f r u l e s i n d e p e n d e n t o f c o n t e x t a t which l e v e l the l e x i c a l f e a t u r e s a r e i n t r o d u c e d en b l o c . Chomsky (1968a, 1970) s a y s t h a t s i n c e i n a model " n e u t r a l " by d e f i n i t i o n , i n terms o f p e r f o r m a n c e , the n o t i o n s o f a p o s i -t i o n o f a component - b e f o r e o r a f t e r - i n r e l a t i o n t o a n o t h e r component, a r e a r b i t r a r y , t he s e m a n t i c component may come b e f o r e o r a f t e r t h e s y n -t a c t i c component i n the o r g a n i z a t i o n o f the model. He c o n c l u d e s t h a t the two p o s i t i o n s a r e e q u i v a l e n t ( 1 9 6 8 : 5 ) . K a t z , i n h i s r e c e n t work ( 1 9 7 0 ) , has a d o p t e d t h e same a t t i t u d e as Chomsky towards g e n e r a t i v e s e m a n t i c s , and has e l a b o r a t e d more e x t e n -s i v e l y on some o f t h e o b j e c t i o n s . T h e r e a r e t h r e e p o s i t i o n s on i n t e r p r e t a t i v e s e m a n t i c s . These p o s i t i o n s a r e Chomsky's new p r o p o s a l o f the b a s i c t h e o r y and K a t z ' s and F i l l m o r e ' s m o d i f i c a t i o n o f t h a t p r o p o s a l . 1. Chomsky's P o s i t i o n K a t z and P o s t a l (1964) and Chomsky (1965) a g r e e on t h e n e u t r a l i t y o f t r a n s f o r m a t i o n a l r u l e s i n r e l a t i o n to t h e s e m a n t i c s o f t h e s e n t e n c e . The K a t z and P o s t a l t h e o r e t i c a l p r i n c i p l e p l a c e s t h e s e m a n t i c s o f t h e s e n t e n c e i n the base. But Chomsky (1968a) p r e s e n t s a number o f arguments a g a i n s t t h i s p r i n c i p l e , showing t h a t i n s e v e r a l d i f f e r e n t bases the t r a n s -f o r m a t i o n s add t o the meaning o f t h e s e n t e n c e . To a s s u r e a c o r r e c t s e m a n t i c 70 f o r m and t o e l i m i n a t e i m p o s s i b l e i n t e r p r e t a t i o n s , Chomsky s u p p l i e s exam-p l e s based on ' f o c u s ' and ' p r e s u p p o s i t i o n s ' phenomena. J a c k e n d o f f (1969) g i v e s examples o f q u a n t i f i e r s and n e g a t i o n c a s e s . Kuroda (1969) p o i n t s out c o n d i t i o n s c o n s t r a i n i n g t h e o c c u r r e n c e o f some forms s u c h as "even," and " o n l y . " In t h e f o l l o w i n g s e n t e n c e s 1) Did John g i v e t h e book t o B i l l ? 2) D i d John g i v e B i l l t h e book? we do n o t t a k e i n t o c o n s i d e r a t i o n t h e a p p r o p r i a t e i n t o n a t i o n p a t t e r n w h ich would g i v e t h e r i g h t answer t o t h e s e two q u e s t i o n s . Chomsky s t a t e s t h a t t h e r e i s one p a t t e r n o f normal i n t o n a t i o n t o each one o f t h e s e s e n -t e n c e s , but t h a t i n t h e o r d e r o f t h e c o n s t i t u e n t s , o n l y t h e s y n t a c t i c form d e t e r m i n e s an adequate answer. The f i n a l p o s i t i o n o f t h e i n t e r -r o g a t i v e f o r m d e t e r m i n e s t h e " F o c u s " and the o t h e r e l e m e n t s , t h e p r e -s u p p o s i t i o n o f t h e s e n t e n c e . Thus t h e f i r s t q u e s t i o n p r e s u p p o s e s t h a t "John gave t h e book t o someone," and i t does n o t a l l o w f o r an answer o f t h e k i n d : 3) No, he gave George the p h o t o g r a p h , because t h e answer would c o n t r a d i c t the p r e s u p p o s i t i o n . In an a n a l o g o u s way, q u e s t i o n (2) c a r r i e s t h e p r e s u p p o s i t i o n t h a t "John gave s o m e t h i n g t o B i l l , " and e x c l u d e s answers such a s : 4) He gave the book t o Mary. Chomsky's c o n c l u s i o n i s t h a t i n t e r p r e t a t i v e s e m a n t i c r u l e s must f o l l o w t h e t r a n s f o r m a t i o n a l and p h o n o l o g i c a l components, b e c a u s e t h e s e q u e n c e and the i n t o n a t i o n p a t t e r n s may c o n t r i b u t e t o the meaning o f the u t t e r a n c e . 71 Chomsky (1968:35) p r o p o s e s t h e f o l l o w i n g model o f i n t e r p r e t a t i v e seman-t i c s : 1) The base has a n a l o g o u s r u l e s t o t h o s e f o r m u l a t e d i n t h e l e x i c a l i s t h y p o t h e s i s ; 2) The t r a n s f o r m a t i o n component i s o f the t y p e p o s t u l a t e d i n A s p e c t s (Ch. I l l ) ; 3) The p h o n o l o g i c a l component c o v e r s a s y s t e m o f r u l e s as f o u n d i n Chomsky and H a l l e ( 1 9 6 8 ) ; ' 4) The s e m a n t i c component i s i n t e r p r e t a t i v e , as p r o p o s e d by K a t z and P o s t a l ( 1 9 6 4 ) . 2. K a t z ' s P o s i t i o n K a t z , i n h i s o p p o s i t i o n t o Chomsky's i n t e r p r e t a t i v e s e m a n t i c s , and a l s o as an a t t e m p t t o d e f e n d h i s own model ( K a t z and P o s t a l , 1964), c o n f i n e s s e m a n t i c s t o the l e v e l o f deep s t r u c t u r e . He p r o p o s e s t h a t a l l t h e f a c t s , " f o c u s , " " p r e s u p p o s i t i o n , " " n e g a t i o n , " and " q u a n t i f i e r c a s e s " t h a t Chomsky wanted t o e x p l a i n by i n t e r p r e t a t i v e r u l e s , s h o u l d be e x p l a i n e d n o t a t t h e s e m a n t i c l e v e l b ut a t t h e s t y l i s t i c l e v e l . The f o l l o w i n g s e n t e n c e s which c a r r y t h e a c c e n t i n the u n d e r l i n e d word, r e v e a l t h e s u r p r i s e o f the s p e a k e r : 1) John i s r e a d i n g t h e newspaper, 2) John i s r e a d i n g the newspaper, 3) John i s r e a d i n g the newspaper. These t h r e e s e n t e n c e s have the same s y n t a c t i c c o n t e n t b u t the d i f f e r e n t emphasis i s a s t y l i s t i c f a c t . A l l Chomsky's s u r f a c e i n t e r p r e t a t i v e r u l e s 72 a r e c a l l e d by Ka t z " s t y l i s t i c f a c t s . " To a c c o u n t f o r them he p o s t u l a t e s a s t y l i s t i c component, which a p p l i e s t o the d e r i v a t i o n a f t e r t h e a p p l i -c a t i o n o f the p h o n o l o g i c a l component. 3. F i l l m o r e ' s P o s i t i o n The t h i r d p o i n t o f view on I n t e r p r e t a t i v e S e m a n t i c s i s p r e s e n t e d by F i l l m o r e (1969) who i s i n s p i r e d by " o r d i n a r y l a nguage p h i l o s o p h e r s " such as A u s t i n (1962a, 1962b-1963), Strawson (1960-1963), A l s t o n (1964) and R y l e (1953-1964). He b e l i e v e s t h a t t h e i r methods a r e n o t d i r e c t l y a p p l i c a b l e t o l i n g u i s t i c s , b u t t h e i r e x p l a n a t i o n s c o u l d a c c o u n t f o r t h e c o - o c c u r r e n c e o f e l e m e n t s i n s e n t e n c e s . A u s t i n ' s a t t e m p t t o d e f i n e " f e l i c i t y c o n d i t i o n s " ( u s a g e c o n d i t i o n s ) may c o n t r i b u t e t o a s e m a n t i c d e s c r i p t i o n o f meaning, on l a r g e r u n i t s than t h e word. T h u s , t h e u t t e r -ance " c l o s e t h e d o o r " needs t h e f o l l o w i n g c o n d i t i o n s t o be u t t e r e d : 1) A r e l a t i o n between t he s p e a k e r and t h e l i s t e n e r ; 2) The l i s t e n e r must be i n a p o s i t i o n t o p e r f o r m t h e command; 3) The d o o r must e x i s t , and be i d e n t i f i e d as t h e same d o o r by both t h e s p e a k e r and t h e l i s t e n e r ; 4) T h i s door s h o u l d be open a t t h e moment o f u t t e r a n c e ; 5) The s p e a k e r must have t h e d e s i r e t o s e e the d o o r c l o s e d . A c c o r d i n g t o F i l l m o r e , t h e p h i l o s o p h e r s have n e g l e c t e d t h e r e l a t i o n s between t he 'usage c o n d i t i o n s ' and the grammatical f a c t s which c h a r a c -t e r i z e t h e s e n t e n c e . As an example, t he i m p e r a t i v e i m p l i e s c o n d i t i o n ( 1 ) , and the d e f i n i t e a r t i c l e i m p l i e s c o n d i t i o n ( 3 ) . He p o i n t s o u t t h a t t h e s e c o n d i t i o n s a r e o f two t y p e s : 73 a) P r e c o n d i t i o n s o r p r e s u p p o s i t i o n s . These a r e n o t a f f e c t e d by grammatical t r a n s f o r m a t i o n s . b) I l l o c u t i o n a r y ( e x t r a l i n g u i s t i c ) . These a r e e x c l u s i v e l y a f f e c t e d by the t r a n s f o r m a t i o n s ( n e g a t i o n o n l y a f f e c t s the f o u r t h c o n d i t i o n ) . F i l l m o r e p o s t u l a t e s the h y p o t h e s i s o f " s e m a n t i c p a t h s , " w hich s a y s t h a t from an e x h a u s t i v e grammatical d e s c r i p t i o n , i t would be p o s s i b l e t o c a l c u l a t e t h e p r e s u p p o s i t i o n s t h a t a r e i m p l i c i t . T h i s would be t h e f u n c t i o n o f t h e i n t e r p r e t a t i v e s e m a n t i c component. But i n o r d e r t o a c c o u n t f o r the i m p l i c i t p r e s u p p o s i t i o n s t h e s e f i r s t would have t o be i n c l u d e d i n t h e d e s c r i p t i o n o f each l e x i c a l e l e m e n t . In h i s a r t i c l e "Verbs o f J u d g i n g : An E x e r c i s e i n S e m a n t i c D e s c r i p t i o n " ( 1 9 6 9 ) , F i l l m o r e g i v e s an i l l u s t r a t i o n o f t h i s t y p e o f d e s c r i p t i o n , g i v i n g a d e s c r i p t i o n o f a " s e m a n t i c p a t h " o f the v e r b s a s s o c i a t e d w i t h t h e a c t o f j u d g i n g o r t h e " p r o c e s s o f j u d g i n g . " As an example we r e p r o d u c e h e r e t h e two v e r b s a c c u s e and c r i t i c i z e w i t h t h e i r l e x i c a l d e s c r i p t i o n s . In t h e d e s c r i p t i o n o f t h e s e two v e r b s we n o t i c e f i v e l e x i c a l d i f f e r e n c e s between them: 1) A c c u s e - i s a p e r f o r m a t i v e v e r b ( i n A u s t i n ' s (1962) s e n s e ) , a v e r b w hich has an i n f o r m a t i v e v a l u e and may a l s o c o n -s t i t u t e a n . a c t o f a c c u s a t i o n . C r i t i c i z e does n o t c o n s t i -t u t e an a c t . a) I a c c u s e y o u o f b e a t i n g y o u r w i f e , b) I c r i t i c i z e y o u f o r b e a t i n g y o u r w i f e . 2) A c c u s e - r e q u i r e s t h e p r o p o s i t i o n o f b e f o r e a t h i r d a r g u -ment; c r i t i c i z e r e q u i r e s i n the same e n v i r o n m e n t t h e p r e -p o s i t i o n f o r . 74 3) A c c u s e - p r e s u p p o s e s t h a t t h e s i t u a t i o n i s "bad"; c r i t i c i z e announces t h a t the s i t u a t i o n i s "bad." 4) A c c u s e - says t h a t t h e ' a c c u s e e ' i s r e s p o n s i b l e f o r the s i t u a t i o n ; c r i t i c i z e p r e s u p p o s e s the s i t u a t i o n . 5) C r i t i c i ze - p r e s u p p o s e s t h a t the s i t u a t i o n i s a g r a n t e d f a c t , w h i l e a c c u s e does n o t i n d i c a t e i t a t a l l . F o r F i l l m o r e a l l t h i s i n f o r m a t i o n i s n e c e s s a r y as p a r t o f t h e s e m a n t i c s t r u c t u r e i n h e r e n t i n the meaning o f the s e n t e n c e . The i n f o r -m a tion must be i n c l u d e d i n t h e i n t e r p r e t a t i v e r u l e s which w i l l d e t e r m i n e i f a s e n t e n c e i s w e l l - f o r m e d o r i l l - f o r m e d . He does n o t , however, d e s -c r i b e t h e f o r m o f t h e s e i n t e r p r e t a t i v e r u l e s , s o we can o n l y s u p p o s e t h a t t h ey would t a k e the f o r m o f t h e Katz and Fodor t y p e o f p r o j e c t i o n r u l e s , o r the s e l e c t i o n a l r u l e s o f Chomsky. E. Case Grammar The o r y F i l l m o r e ' s work on " I n d i r e c t Complement C o n s t r u c t i o n s " (1962-1965) d i v e r g e s f r o m Chomsky's A s p e c t s model. The p r o b l e m o f t h e p r e -p o s i t i o n a l f o r m o f the i n d i r e c t complement i s p a r t o f t h e g e n e r a l p r o b l e m o f p r e p o s i t i o n s ( 1 9 6 6 a ) . Note the f o l l o w i n g examples (1966b-1968): 1) The key opened t h e d o o r , 2) The man opened t h e d o o r . A f t e r h a v i n g a p p l i e d a p a s s i v e t r a n s f o r m a t i o n , t h e s e two s e n t e n c e s show d i f f e r e n t s u r f a c e s t r u c t u r e forms: 3) The d o o r was opened wi th a key, 4) The door was opened by_ the man. 75 F i l l m o r e p r o p o s e s t h e c o n c e p t o f "deep c a s e s " ( 1 9 6 6 a ) . T h i s h y p o t h e s i s would be a p p l i c a b l e t o l a n g u a g e s l i k e R u s s i a n , German, L a t i n , w hich p r e s e n t s u r f a c e c a s e s , and a l s o f o r l a n g u a g e s w i t h a s u p e r f i c i a l r e a l i z a t i o n o f c a s e such as E n g l i s h , F r e n c h , P o r t u g u e s e , w i t h a p r e p o s i t i o n a l s t r u c t u r e , and even f o r T u r k i s h w i t h an a g g l u t i n a t i o n o r d e r i n g . F i l l m o r e n o t e s t h a t t h i s h y p o t h e s i s a c c o u n t s f o r a g r e a t e r number o f f a c t s t h a n t h e A s p e c t s t y p e o f grammar. In a s e r i e s o f a r t i c l e s (1966a, 1966b-1968, 1967, 1968a, 1968b, 1968c-1969, 1970), he e x p l a i n s and j u s t i f i e s t h e p r o p e r t i e s o f h i s model. T h i s model (1968a:21-22) examines f i r s t t h e r e l a t i o n s between some s e m a n t i c a l l y s i m i l a r , b ut p h o n o l o g i c a l l y d i f f e r e n t f o r m s , such as the v e r b s " r o b " and " s t e a l . " The d i f f e r e n c e between t h e s e two v e r b s may be r e p r e s e n t e d as a f u n c t i o n o f t h e number and the permu-t a t i o n o f c a s e s : 1) George s t o l e ; George s t o l e a f o r t u n e . 2) George s t o l e f r o m t h e bank. 3) George s t o l e a f o r t u n e from the bank, l a ) George r o b b e d the bank. 2a) George robbed t h e bank o f a f o r t u n e . These v e r b s have the f o l l o w i n g c a s e s : S t e a l [ A g e n t , ( O b j e c t ) , ( P a t i e n t ) ] Rob [ A g e n t , P a t i e n t , ( O b j e c t ) ] By t h e same c r i t e r i a we can e x p l a i n the d i f f e r e n c e s between t h e s e m a n t i c v a r i a t i o n s o f t h e same p h o n o l o g i c a l f o r m (1967, 1968). 1. Break - [ O b j e c t ] The window b r o k e 76 2. Break [ I n s t r u m e n t , O b j e c t ] The b a l l b r oke the window 3. Break [ A g e n t , O b j e c t ] The man b r o k e the window 4. Break [ A g e n t , I n s t r u m e n t , O b j e c t ] The man b r o k e t h e window w i t h t h e b a l l The v e r b Break r e q u i r e s o n l y one e n t r y i n the l e x i c o n : 3 Break [ ( A g e n t ) , ( I n s t r u m e n t ) , O b j e c t ] . . The "deep c a s e s h y p o t h e s i s " a c c o u n t s a l s o f o r t h e n o t i o n o f grammatical r e l a t i o n s w h i c h , a c c o r d i n g t o F i l l m o r e , a r e an e x c l u s i v e l y s u r f a c e phenomenon. In t h e f o l l o w i n g s e n t e n c e s : the n o t i o n o f " s u b j e c t o f " comes f r o m two deep s t r u c t u r e s . The d i f f e r -ence i s d e m o n s t r a t e d by t h e c a s e s t h a t t a k e t he arguments o f t h e v e r b s : The s u r f a c e s t r u c t u r e i s g i v e n by t h e t r a n s f o r m a t i o n s and does n o t ex-p r e s s any s e m a n t i c r e l a t i o n . The same c r i t e r i o n can a p p l y t o the n o t i o n " o b j e c t o f . " In the f o l l o w i n g s e n t e n c e s ( 1 9 7 0 : 3 8 ) , t h e word 'pumpkin' p l a y s a d i f f e r e n t r o l e i n each deep c a s e , b u t i t s p o s i t i o n a t the s u r f a c e l e v e l i s always o f an o b j e c t . 1) The boy s l a p p e d t h e g i r l , 2) The boy r e c e i v e d a blow, S l a p [ A g e n t , P a t i e n t ] R e c e i v e [ P a t i e n t , O b j e c t ] Where [ 1 r e q u i r e s an o b l i g a t o r y p r e s e n c e o f the argument. ( ) r e q u i r e s o n l y an o p t i o n a l argument. 77 1) I smashed t h e pumpkin. 2) I grew the pumpkin. 3) I l i k e the pumpkin. 4) I i m a g i n e d the pumpkin. Smash - [ A g e n t , O b j e c t ] Grow - [ A g e n t , P a t i e n t ] L i k e - [ P a t i e n t , I n s t r u m e n t ] Imagine - [ P a t i e n t , O b j e c t ] F i l l m o r e ' s model has many a d v a n t a g e s . B e s i d e s t h e ones a l r e a d y p o i n t e d o u t , i t a l l o w s f o r the e l i m i n a t i o n i n t h e grammar o f noun-phrases and p r e p o s i t i o n a l and a d v e r b i a l p h r a s e s c a t e g o r i e s . E v e r y argument o f t h e v e r b t a k e s t h e f o r m o f a u n i q u e nominal c a t e g o r y , d o m i n a t e d by a deep c a s e ; t h i s c a t e g o r y may be r e a l i z e d a t the s u r f a c e l e v e l by a p r e -p o s i t i o n o r a noun-phrase s u b j e c t o r o b j e c t (1966b, 1968:362). A c o m p a r i s o n w i t h Chomsky's model shows t h a t the deep c a s e t h e o r y p r o v i d e s a s i m p l e r e x p l a n a t i o n f o r s e l e c t i o n a l f e a t u r e s p roblems and l e x i c a l e n t r i e s . The f o l l o w i n g remarks summarize the most i m p o r t a n t a s p e c t s o f c a s e grammar. Case grammar t h e o r y p r o p o s e s t h a t a l l t h e s e n t e n c e s o f a g i v e n n a t u r a l l a n g u a g e may be d e r i v e d from t h e a p p l i c a t i o n o f t r a n s -f o r m a t i o n a l r u l e s t o a p r o p o s i t i o n o r t o a s e r i e s o f c o - o r d i n a t e d o r embedded p r o p o s i t i o n s . The r u l e s w hich d e t e r m i n e t h e f o r m o f t h e i n i t i a l p r o p o s i t i o n s t r u c t u r e s a r e o f t h e t y p e : 1) z > (M) P 2) P • V (0) (D) (A) ( I ) (...) 78 3) 0 D A I ... • K NP Where z = S e n t e n c e M = M o d a l i t y ( t i m e , a s p e c t , a d v e r b , e t c . . ) P = P r o p o s i t i o n V = Verb D = D a t i v e A = Agent 0 = O b j e c t 1 = I n s t r u m e n t (...) = Any o t h e r p o s s i b l e c a s e s n o t e x p l i c i t l y f o r m u l a t e d by t h e t h e o r y a t the p r e s e n t K = A c o n s t a n t : c a s e , p r e p o s i t i o n , o r word o r d e r , d e p e n d i n g on the l a n g u a g e . A s e n t e n c e c o n s i s t s o f a p r o p o s i t i o n formed w i t h a v e r b and i t s c a s e frame. The c a s e frame has the i n h e r e n t p r o p e r t i e s o f the l e x i c o n o f t h a t v e r b . F i l l m o r e d e f i n e s " c a s e frame" as a f i n i t e number o f o b l i g a t o r y o r o p t i o n a l r o l e s , w h i c h a r e d e t e r m i n e d by t h e terms o f t h e ensemble: O b j e c t , D a t i v e , e t c . The l e x i c o n c o n s i s t s o f t h e e x h a u s t i v e l i s t o f t h e v e r b s d e f i n e d by t h e i r " c a s e f r a m e s , " and perhaps a l s o o f o t h e r i n h e r e n t s y n t a c t i c p r o p e r t i e s . ( F i l l m o r e i s n o t e x p l i c i t a b o u t t h i s . ) We suppose t h a t nouns and o t h e r c a t e g o r i e s a r e marked as i n h e r e n t i n the c a s e c a t e g o r i e s t o which t h e y b e l o n g . The t r a n s f o r m a t i o n s r e a l i z e t he same t y p e o f o p e r a -t i o n as any o t h e r t r a n s f o r m a t i o n s y s t e m , s u c h as e l l i p s e , a d j u n c t i o n and s u b s t i t u t i o n o f e l e m e n t s . The f u n c t i o n o f t h e t r a n s f o r m a t i o n i s t h e o b j e c t o f an i m p o r t a n t m o d i f i c a t i o n . The g r a m m a t i c a l f u n c t i o n s o f t h e s e n t e n c e a r e c r e a t e d by a t r a n s f o r m a t i o n . A t r a n s f o r m a t i o n , t h e n , has 79 the f u n c t i o n o f c r e a t i n g t h e g r a m m a t i c a l c a t e g o r y o f s u b j e c t and comple-ment. F i l l m o r e ' s c a s e grammar model has p r e s e n t e d d i f f e r e n t v e r s i o n s , o u t l i n e d i n h i s a r t i c l e s . I t s g e n e r a l form has been a d a p t e d f o r t h e d e s c r i p t i o n o f s e v e r a l n a t u r a l l a n g u a g e s , such as E n g l i s h (UESP,1968-1969), S p a n i s h ( G o l d i n , 1968), L a t i n ( B i n k e r t , 1970), and R u s s i a n (Chan-non, 1971). F. Montague's T h e o r y o f Grammar Montague's a p p r o a c h i s d i f f e r e n t f r o m any v e r s i o n o f t r a n s f o r -m a t i o n a l grammar. T h i s t h e o r y p r e s e n t s some r e m i n i s c e n c e s o f t h e e a r l y K a t z - F o d o r t h e o r y where b o t h P S - r u l e s and t r a n s f o r m a t i o n s had c o r r e s -p o n d i n g p r o j e c t i o n r u l e s . Montague's a p p r o a c h t o s y n t a x i s t o have r u l e s l i k e P S - r u l e s and r u l e s l i k e t r a n s f o r m a t i o n s which may a p p l y i n mixed and v a r i a b l e o r d e r s . The o r d e r o f o p e r a t i o n s i s o f t e n o f c r u c i a l seman-t i c s i g n i f i c a n c e . T h e r e i s a l s o a n o t i o n o f noun-phrases s u b s t i t u t i n g f o r v a r i a b l e s . Montague's grammar would a n a l y s e the f o l l o w i n g ambiguous s e n t e n c e : 1) John i s l o o k i n g f o r a l i t t l e g i r l w i t h r e d h a i r , w i t h one d e r i v a t i o n i n which t h e noun-phrase "a l i t t l e g i r l w i t h r e d h a i r " i s s u b s t i t u t e d f o r x, i n " l o o k i n g f o r x" b e f o r e t h e p h r a s e - s t r u c t u r e r u l e s a t t a c h the v e r b - p h r a s e t o t h e s u b j e c t t o make a s e n t e n c e . On a f i r s t i n t e r p r e t a t i o n , "John" i s d e s c r i b e d as h a v i n g t h e p r o p e r t y o f " l o o k i n g f o r a l i t t l e g i r l w i t h r e d h a i r , " o r as c a l l e d by l i n g u i s t s 80 as the n o n - s p e c i f i c r e a d i n g . On a s e c o n d i n t e r p r e t a t i o n t h e r e w i l l be a d e r i v a t i o n w hich b u i l d s up a s e n t e n c e "John i s l o o k i n g f o r x," and then s u b s t i t u t e s t h e noun-phrase f o r x. Montague f o r m a l i z e d o n l y a s m a l l f r a g m e n t o f E n g l i s h , b u t t h i s f o r m a l i z a t i o n was c o m p l e t e , which means t h a t the s e m a n t i c s , i n c l u d i n g the' l o g i c , was c o m p l e t e l y s p e c i f i e d . Montague's s y s t e m o f a l o g i c a l f o r m a l i z a t i o n o f s e m a n t i c s e n c o u r a g e s l i n g u i s t s and l o g i c i a n s t o f u r t h e r i n v e s t i g a t i o n s t o see whether t h e t r e a t m e n t can be e x t e n d e d t o l a r g e r f r agments o f n a t u r a l l a n g u a g e s . I I . SEMANTICS A. An Overview o f S e m a n t i c s A g r e a t d e a l o f i m p o r t a n t r e s e a r c h i n s e m a n t i c s i s b e i n g c a r r i e d o u t t o d a y by l i n g u i s t s , p h i l o s o p h e r s , p s y c h o l o g i s t s , a n t h r o p o l o g i s t s and computer s c i e n t i s t s , w o r k i n g on a v a r i e t y o f t o p i c s i n d i f f e r e n t ways. The change o f a t t i t u d e t o "meaning" i n American l i n g u i s t i c s i s more s t r i k i n g than e l s e w h e r e , s i n c e f o r so l o n g t h r e e a s s u m p t i o n s were h e l d which s e v e r e l y d i s c o u r a g e d r e s e a r c h i n s e m a n t i c s : 1) Meaning i s i n a c c e s s i b l e t o o b s e r v a t i o n and hence i t i s u n s c i e n t i f i c t o s t u d y i t ; 2) A sound s e m a n t i c a n a l y s i s must be based on a r e l a t i v e l y c o m p l e t e s y n t a c t i c a n a l y s i s ; 3) S e m a n t i c s i n l i n g u i s t i c s i s an autonomous d i s c i p l i n e , a b s t r a c t e d f r o m m a t t e r s o f b e l i e f , custom, c o n t e x t , and o t h e r f a c t o r s y e t t o be d e t e r m i n e d . 81 The f i r s t p o i n t i s c o n t r a d i c t e d by the f a c t t h a t s p e a k e r s a r e much b e t t e r a t t a l k i n g a b o u t t h e meaning o f words and s e n t e n c e s t h a n about any o t h e r a s p e c t o f l a n g u a g e , because meaning i s more a c c e s s i b l e t o i n t r o s p e c t i o n than p h o n o l o g y and grammar. As C h a f e s t a t e s (1970: 75-78): T h i s u n w i l l i n g n e s s t o r e c o g n i z e t h e r e a l i t y o f c o n c e p t s , as w e l l as the p h o n e t i c b i a s from w h i c h so much o f l i n g u i s -t i c s has s u f f e r e d , a r e b o t h t r a c e a b l e t o t h e v e r y r e a l problems which a r e i n h e r e n t i n a t t e m p t s t o approach c o n -c e p t s t h r o u g h o b s e r v a b l e d a t a . . . . The o b s e r v a t i o n o f meanings and t h e e s t a b l i s h m e n t o f an adequate way o f r e p r e -s e n t i n g them c a n n o t h e l p b u t be more d i f f i c u l t by a c o n -s i d e r a b l e m a r g i n . To say t h a t c o n c e p t s e x i s t , t h e n , i s not t o s a y we a r e a b l e t o i s o l a t e them i n o u r c o n s c i o u s n e s s a t a moment's n o t i c e o r we have s a t i s f a c t o r y ways o f r e p r e s e n t i n g o r d i s c u s s i n g them. A p r o p e r c o n c e r n f o r meanings s h o u l d l e a d t o a s i t u a t i o n where, i n t h e t r a i n i n g o f l i n g u i s t s , p r a c t i c e i n t h e d i s c r i m i n a t i o n o f c o n c e p t s w i l l be g i v e n a t l e a s t as much time i n c u r r i c u l u m as p r a c t i c e i n the d i s c r i m i n a t i o n o f sounds. The s e c o n d p o i n t , b a s i n g s e m a n t i c a n a l y s i s on s y n t a x , was c h a l l e n g e d when Katz and P o s t a l (1964) s u g g e s t e d t h a t i f the base component o f a grammar c o n t a i n s a l l t h e m e a n i n g f u l e l e m e n t s s o t h a t t r a n s f o r m a t i o n s w i l l n o t change meaning, the whole grammar w i l l be s i m p l i f i e d . Sub-s e q u e n t work, s u c h as C a r o l and P a u l K i p a r s k y ' s p a p e r on f a c t i v e v e r b s ( 1 9 7 0 ) , shows t h a t by t a k i n g i n t o a c c o u n t s e m a n t i c f a c t s , t h e s y n t a x i s g r e a t l y s i m p l i f i e d . McCawley (1968) p o i n t e d o u t t h a t many f e a t u r e s t h a t a r e b e i n g c a l l e d s y n t a c t i c ( A n i m a t e , Human, C o n c r e t e ) a r e r e a l l y s e m a n t i c f e a t u r e s . With r e s p e c t t o t h e autonomy o f l i n g u i s t i c s , t h e r e l e v a n c e o f l o g i c , b e l i e f s , and c o n t e n t i s r e c o g n i z e d . P r e s u p p o s i t i o n s have t u r n e d o u t t o be i m p o r t a n t a t a l l l e v e l s o f s e m a n t i c a n a l y s i s ; words, s e n t e n c e s , 82 and u t t e r a n c e s i n c o n t e x t . A s e n t e n c e P i s p r e s u p p o s e d by S i n c a s e S i m p l i e s P and t h e s e n t e n c e formed by n e g a t i n g t h e main v e r b o f S a l s o im-p l i e s P. For example, b o t h (1) and (2) p r e s u p p o s e ( 3 ) : 1) J o h n knows t h a t t h e w o r l d i s r o u n d , 2) John d o e s n ' t know t h a t t h e w o r l d i s r o u n d , 3) The w o r l d i s r o u n d . 1. Word Meaning The n o t i o n o f s e m a n t i c f i e l d s i s a c o n c e p t d e v e l o p e d by T r i e r and P o r z i g and f u r t h e r d e v e l o p e d and combined w i t h g e n e r a t i v e grammar by Lyons (1963-1968). The f i e l d t h e o r y assumes t h a t t h e way t o under-s t a n d what words mean i s t o s t u d y a l l t h e words i n a f i e l d t o g e t h e r and see how they d i v i d e up c o n c e p t u a l s p a c e , how t h e words i n each f i e l d a r e r e l a t e d t o each o t h e r . The f i e l d t h e o r y i s most u s e f u l f o r s e t s o f words w i t h c o n s i d e r a b l e c o n t e n t - nouns, v e r b s , a d j e c t i v e s , some p r e -p o s i t i o n s , a d v e r b s , and some d e r i v a t i o n a l a f f i x e s ; l e a s t u s e f u l f o r gram-m a t i c a l t e r m s , l i k e modals, i n f l e x i o n a l a f f i x e s , and a d v e r b s l i k e "even" and " y e t . " One o f t h e advantages o f f i e l d a n a l y s i s i s t h a t we can b e t t e r u n d e r s t a n d t h e ways i n which words can be s y s t e m a t i c a l l y e x t e n d e d i n meaning. S e t s o f l e x i c a l i t e m s t e n d t o b e a r t h e same r e l a t i o n s h i p t o each o t h e r i n a v a r i e t y o f d i s c o u r s e c o n t e x t s . T h e r e a r e , however, problems i n d e t e r m i n i n g the domain o f a f i e l d and d e c i d i n g w h i c h l e x i c a l i t e m s a r e i n c l u d e d i n i t . C o m p o n e n t i a l a n a l y s i s , the t e c h n i q u e o f decomposing the meaning o f words i n t o s e m a n t i c components comes from H j e l m s l e v and f r o m s t u d i e s 83 i n e t h n o s c i e n c e , e s p e c i a l l y i n the s t u d y o f k i n s h i p terms and p r o n o u n s . Componential a n a l y s i s p r e s u p p o s e s a s p e c t s o f the f i e l d t h e o r y i n t h a t the i n v e s t i g a t o r l o o k s a t a s e t o f words i n a c a r e f u l l y d e l i n e a t e d a r e a which has b a s i c s e m a n t i c f e a t u r e s i n common b u t whose meanings c o n t r a s t w i t h each o t h e r by v i r t u e o f one o r more d i f f e r e n c e s i n r e s p e c t t o s e v e r a l o t h e r k i n d s o f f e a t u r e s . The s e m a n t i c t h e o r i e s o f K a t z and Fodor ( 1 9 6 3 ) , K a t z and P o s t a l ( 1 9 6 4 ) , and W e i n r e i c h (1966) a r e based on decomposing words i n t o f e a t u r e s o r s e m a n t i c m a r k e r s . Y e t , i t i s n o t v e r y c l e a r what a s e m a n t i c component i s supposed t o be,whether i t i s j u s t a s e m a n t i c p r i m i t i v e , a s e t o f b a s i c words, a p s y c h o l o g i c a l p r i m e , o r a c o n c e p t o f some s o r t . Some components can be e x p r e s s e d by a word o r two ( A n i m a t e ) , ( M a l e ) , w h i l e o t h e r s r e q u i r e a t l e a s t a whole s e n t e n c e . By c o m b i n i n g t he f i e l d t h e o r y w i t h c o m p o n e n t i a l a n a l y s i s - t h a t i s , by l o o k i n g a t t h e way i n which a s e m a n t i c f i e l d i s d i v i d e d up by the words i n i t and u s i n g t h a t as a b a s i s f o r d e c i d i n g what t h e i r seman-t i c f e a t u r e s a r e -we can g a i n i m p o r t a n t i n s i g h t s i n t o word meaning. F i l l -more has d e s c r i b e d t h e s e m a n t i c s t r u c t u r e o f v e r b s o f ' j u d g i n g ' ( a c c u s e , c r i t i c i z e , c r e d i t , p r a i s e , s c o l d , c o n f e s s , a p o l o g i z e , f o r g i v e , j u s t i f y and e x c u s e ) : 1) John a c c u s e d H a r r y o f w r i t i n g t h e l e t t e r , 2) J o h n c r i t i c i z e d H a r r y f o r w r i t i n g t h e l e t t e r , 3) John c r e d i t e d H a r r y w i t h w r i t i n g t he l e t t e r , 4) John p r a i s e d H a r r y f o r w r i t i n g t he l e t t e r . In (1) John p r e s u p p o s e s t h a t H a r r y i s bad and s a y s t h a t H a r r y i s r e s p o n -s i b l e . In (2) John p r e s u p p o s e s t h a t H a r r y i s r e s p o n s i b l e and p r e s u p p o s e s 84 t h a t the a c t i s bad. In (3) John p r e s u p p o s e s t h a t w r i t i n g the l e t t e r i s good and s a y s t h a t H a r r y i s r e s p o n s i b l e , w h i l e i n (4) John p r e s u p p o s e s t h a t H a r r y i s r e s p o n s i b l e and s a y s t h a t w r i t i n g the l e t t e r i s good. The use o f b i n a r y f e a t u r e s a l o n g w i t h [+] n o t a t i o n i s w i d e l y used i n s e m a n t i c a n a l y s i s . D i s t i n c t i v e f e a t u r e a n a l y s i s was so s u c c e s s f u l i n p h onology t h a t i t has been a p p l i e d t o s y n t a x and s e m a n t i c s as w e l l . A n i m a t e - I n a n i m a t e , Count-Mass, S i n g u l a r - P l u r a l , M a s c u l i n e - F e m i n i n e , Proper-Common, d i s t i n c t i o n s have been s y m b o l i z e d as [+] o r [-] by u s i n g o n l y one t e r m o f each p a i r . The advantage o f t h i s n o t a t i o n i s t h a t i t makes e x p l i c i t t h a t b o t h f e a t u r e s o f d i f f e r e n t s e t s b e l o n g t o t h e same s y s t e m , i . e . Count and Mass. The d i s a d v a n t a g e o f t h i s n o t a t i o n i s t h e t r e a t m e n t o f unmarked i t e m s , such as c h i l d . 2. The L e x i c o n and t h e Grammar The d i v i s i o n o f s e m a n t i c s i n t o the meaning o f words and t h e meaning o f p h r a s e s i s a r b i t r a r y and even o f m e t h o d o l o g i c a l l y l i m i t e d use, s i n c e many words a r e p a r a p h r a s e s o f p h r a s e s o r c l a u s e s . The m a j o r s e m a n t i c t h e o r i e s have a l l s t r e s s e d t h i s p o i n t . ' D e n t i s t ' i s r o u g h l y e q u i v a l e n t t o 'one who f i x e s t e e t h ' and 'sadden' i s a n a l y s e d as 'make (someone) s a d . ' A c o n s i d e r a b l e amount o f r e s e a r c h has been done on t h e s y s t e m a t i c r e l a t i o n s h i p s between c e r t a i n c l a s s e s o f v e r b s and p r e p o s i t i o n s o f l o c a t i o n and m otion ( G r u b e r , 1965), and t h e r e l a t i o n s h i p s between s t a t i v e , i n c h o a t i v e , and c a u s a t i v e c o n s t r u c t i o n s , 'be dead,' ' d i e - k i l l ' ( L a k o f f , 1970; B i n n i c k , 1970). In a d d i t i o n t o the p r o b l e m o f how t o r e p r e s e n t t h e s e f a c t s , t h e r e a r e g e n u i n e d i f f e r e n c e s o f s u b s t a n c e c o n c e r n i n g the e q u i v a l e n c e o f meaning. 85 Chafe i s somewhat a p p a l l e d by a " r e m a r k a b l e i n s e n s i t i v i t y t o meaning d i f f e r e n c e s e x h i b i t i n g any d egree o f s u b t l e t y " (1971:11). C h a f e argues t h a t s e n t e n c e s l i k e (1) and ( 2 ) : 1) The o l d l a d y k i c k e d the b u c k e t , 2) The o l d l a d y d i e d , a r e p a r a p h r a s e s i n o n l y vague t e r m s , and the two s e n t e n c e s have a d i f -f e r e n t s e m a n t i c s t r u c t u r e . Even i n s e n t e n c e s t h a t a r e t r a n s f o r m a t i o n a l l y r e l a t e d , s u c h as a c t i v e s and p a s s i v e s , the meaning i s d i f f e r e n t i n v a r i o u s s u b t l e ways. P o s t a l ' s a n a l y s i s o f Remind ( 1 9 7 0 ) , i n w h i c h "remind" i s d e r i v e d from an u n d e r l y i n g p h r a s e l i k e " p e r c e i v e as s i m i l a r , " r e s t s u l t i m a t e l y on w h e t her the two a r e synonymous. P o s t a l a r g ues t h a t 1) Larry reminds me o f W i n s t o n C h u r c h i l l a l t h o u g h I p e r c e i v e t h a t L a r r y i s n o t s i m i l a r t o W i n s t o n C h u r c h i l l , i s c o n t r a d i c t o r y . But t h e s e n t e n c e 2) F o r some r e a s o n L a r r y reminds me o f W inston C h u r c h i l l a l t h o u g h I p e r c e i v e t h a t L a r r y i s n o t r e a l l y s i m i l a r t o him a t a l l , e x p r e s s e s a m e a n i n g f u l and n o n c o n t r a d i c t o r y r e p o r t on t h e p a r t o f t h e s p e a k e r o f some s u b j e c t i v e e x p e r i e n c e o f h i s . P o s t a l a r g u e s t h a t t h e u n d e r l y i n g v e r b " p e r c e i v e " i s n o t e q u i v a l e n t t o the s u r f a c e v e r b p e r c e i v e , and " s i m i l a r " i s n o t e q u i v a l e n t t o s i m i l a r . So, s e n t e n c e (2) might n o t be c o n t r a d i c t o r y . Even i f " remind" i s synonymous w i t h " p e r c e i v e as s i m i -l a r " on one r e a d i n g , t h e r e remains the p r o b l e m o f t h e o t h e r r e a d i n g s . In c o n n e c t i o n w i t h t h e p r o b l e m o f the r e l a t i o n s h i p between words and c o n s t r u c t i o n s , t h e r e i s t h e d i f f i c u l t y o f p o s s i b l e and i m p o s s i b l e 86 l e x i c a l i t e m s . Morgan (1968, 1969), P o s t a l (1968) and McCawley (1970) have done i n t e r e s t i n g work on the t h i n g s t h a t can be i n c o r p o r a t e d i n t o a l e x i c a l i t e m and c a n n o t . Morgan (1969) argues t h a t o n l y c e r t a i n k i n d s o f c o n s t i t u e n t s t r u c t u r e s may be encoded i n a s i n g l e word, though i t i s n e c e s s a r y t o s p e c i f y what k i n d s o f c o n s t i t u e n t s t r u c t u r e s a r e i n v o l v e d . The n o t i o n o f l e x i c a l gap i s r e l a t e d t o t h e p r o b l e m o f p o s s i b l e l e x i c a l i t e m s , b u t i s somehow i n c o h e r e n t . Not e v e r y p o s s i b l e b u t non-e x i s t i n g l e x i c a l i t e m c o n s t i t u t e s a gap. McCawley has d i s t i n g u i s h e d between l e x i c a l i t e m s t h a t a r e im-p o s s i b l e i n a l l l a n g u a g e s and t h o s e t h a t a r e i m p o s s i b l e t o a s p e c i f i c c u l t u r e . F o r example, t h e r e c a n n o t be a l e x i c a l i t e m i n E n g l i s h " d o t t e r " meaning " f e m a l e c h i l d o f a f e m a l e p a r e n t " s u c h t h a t x i s t h e d o t t e r o f y o n l y i f y i s the mother o f x. O t h e r l a n g u a g e s , however, have words f o r such c o n c e p t s . The a b s e n c e o f " d o t t e r " i n E n g l i s h i s a s p e c i a l c a s e o f a much more g e n e r a l phenomenon, namely t h a t no E n g l i s h k i n -s h i p t e r m makes r e f e r e n c e t o t h e sex o f t h e "ego" o r any o f t h e " l i n k i n g r e l a t i v e s , " e.g. i n "x i s y ' s u n c l e , " x's s e x i s r e l e v a n t t o the c h o i c e o f u n c l e r a t h e r t h a n a u n t , b u t y ' s s e x i s n o t . . . (1971:13) C e n t r a l t o McCawley's n o t i o n o f " p o s s i b l e l e x i c a l i t e m i n a c u l t u r e " i s a l e x i c a l f i e l d w i t h a c l e a r l y d e l i m i t e d domain, t h a t can be d e s c r i b e d by a s m a l l c l o s e d s e t o f components, s u c h as k i n s h i p t e r m i n o l o g y . How-e v e r , i n a domain d e a l i n g w i t h a r t i f a c t s , m o t i o n , o r e m o t i o n i n w h i c h the membership o f words i s open, i n w hich t h e b o u n d a r i e s o f t h e domain a r e amorphous, and i n w h i c h i t i s n o t a t a l l c l e a r what t o i n c l u d e o r o m i t f r o m l e x i c a l s t r u c t u r e , the m a t t e r i s o b s c u r e . 87 3. Language and L o g i c T h e r e a r e words i n e v e r y n a t u r a l language t h a t c a n n o t be a n a l y s e d a d e q u a t e l y by a s s i g n i n g components. These words a r e l o g i c a l c o n j u n c t o r s such a s : not, and, or; q u a n t i f i e r s , such a s : all, some, only; and o t h e r words l i k e even and yet. These words a f f e c t the meaning o f the whole s e n t e n c e , by b r i n g i n g i n e n t a i l m e n t s and p r e s u p p o s i t i o n s t h a t would be l a c k i n g w i t h o u t them. A s e n t e n c e l i k e 1) Even C h a r l e s t r i e d on t h e j a c k e t , e n t a i l s t h r e e o t h e r s t a t e m e n t s , 2) C h a r l e s t r i e d on t h e j a c k e t , 3) O t h e r p e o p l e t r i e d on t h e j a c k e t , 4) The s p e a k e r would n o t e x p e c t o r would n o t e x p e c t the h e a r e r t o e x p e c t C h a r l e s t o t r y on t h e j a c k e t . S e n t e n c e (2) i s the main a s s e r t i o n and would remain i f "even" d i d n o t a p p e a r i n s e n t e n c e ( 1 ) . When "even" o c c u r s i n c o n d i t i o n a l s e n t e n c e s , i t has the e f f e c t o f n e u t r a l i z i n g t h e c o n d i t i o n a l c l a u s e ( F r a s e r , 1969: 6 8 ) . G. L a k o f f has done i n t e r e s t i n g work on l o g i c and n a t u r a l l a n -guage. He s t a t e s t h a t i n o r d e r t o u n d e r s t a n d t h e s e n t e n c e 5) The mayor i s a R e p u b l i c a n and the used c a r d e a l e r i s h o n e s t , t o o , c e r t a i n p r e s u p p o s i t i o n s a r e r e q u i r e d f o r t h e s e n t e n c e t o be g r a m m a t i c a l namely, t h a t 8) A l l R e p u b l i c a n s a r e h o n e s t , 9) The mayor i s the used c a r d e a l e r . 88 However, s e n t e n c e (10) 10) John i s a R e p u b l i c a n , b u t he i s h o n e s t , i s g r a m m a t i c a l o n l y i f one e x p e c t s t h a t R e p u b l i c a n s a r e n o t h o n e s t . 4. Language i n C o n t e x t Many p h i l o s o p h e r s have been a n a l y s i n g s p e e c h a c t s . A u s t i n d i s -c u s s e s p e r f o r m a t i v e s e n t e n c e s , o r u t t e r a n c e s , i n which t h e " i s s u i n g o f the u t t e r a n c e i s the p e r f o r m i n g o f an a c t i o n " ( 1 9 6 2 : 6 ) . Some p e r f o r -m a t i v e s a r e e x p l i c i t , s u c h as 1) I p r o m i s e t o buy the r e c o r d tomorrow, which c o n s t i t u t e s a p r o m i s e , and 2) I am i n v i t i n g y o u f o r d i n n e r tomorrow, which i s an i n v i t a t i o n . Most p e r f o r m a t i v e s a r e , however, i m p l i c i t . Ross (1970) has i n c o r p o r a t e d p e r f o r m a t i v e v e r b s i n t o t h e s e m a n t i c s t r u c -t u r e o f s e n t e n c e s , s o t h a t s e n t e n c e (3) would be d e r i v e d f r o m s e n t e n c e ( 4 ) , 3) Go home now, 4) I o r d e r y o u t o go home now, and s e n t e n c e (5) would be d e r i v e d f r o m s e n t e n c e ( 6 ) , 5) What time i s i t ? 6) I ask y o u ( o r I r e q u e s t t h a t y o u t e l l me) what t i m e i t i s . Many l i n g u i s t s have worked o u t many o f t h e c o n v e n t i o n s o f c o n v e r s a t i o n and p o i n t o u t t h a t c o n v e r s a t i o n does n o t c o n s i s t o f d i s c o n n e c t e d f r a g -ments o f d i s c o u r s e , b u t r a t h e r t h a t t h e r e a r e c o o p e r a t i v e e f f o r t s w h i c h p a r t i c i p a n t s r e c o g n i z e . G. L a k o f f has a t t e m p t e d t o f o r m a l i z e some o f 89 t h e s e n o t i o n s , and R. L a k o f f (1970) has a n a l y s e d s e n t e n c e s i n the l i g h t o f d i s c o u r s e c o n v e n t i o n s . She p o i n t s o u t t h a t a p p r o p r i a t e answers t o the q u e s t i o n "what time i s i t ? " might be 7) T h r e e o ' c l o c k , 8) I j u s t t o l d B i l l i t was noon, 9) The sun j u s t came up, 10) None o f y o u r b u s i n e s s , 11) Why? 12) Ask t h e p o l i c e m a n . The f o l l o w i n g answers would be i n a p p r o p r i a t e : 13) T h e r e a r e t h i r t y - s i x i n c h e s i n a y a r d , 14) In 1962. R. L a k o f f a n a l y s e s t he c o n v e r s a t i o n a l p r i n c i p l e s and the l o g i c a l deduc-t i o n s t h a t s p e a k e r s make when c o n f r o n t e d w i t h i n d i r e c t answers l i k e t h o s e i n s e n t e n c e s 8-12. c B. C u r r e n t C o n t r o v e r s i e s T h e r e a r e a few c o n t r a d i c t o r y p o s i t i o n s i n the d i s p u t e between the g e n e r a t i v e and the i n t e r p r e t a t i v e s e m a n t i c i s t s . K a t z i s i n c l u d e d w i t h Chomsky as a p r o p o n e n t o f i n t e r p r e t a t i v e s e m a n t i c s . J a c k e n d o f f d i f f e r s f r o m t he i n t e r p r e t a t i v e s e m a n t i c i s t s as much as he d i f f e r s f r o m the g e n e r a t i v e s e m a n t i c i s t s . Chafe c l a s s i f i e s h i m s e l f as a g e n e r a t i v e s e m a n t i c i s t , b u t i n some ways h i s s y s t e m i s u n i q u e . The i s s u e s on w h i c h t h e r e i s d i s a g r e e m e n t a r e d i r e c t i o n a l i t y , t h e k i n d s o f r u l e s needed, t h e o r d e r o f t h e r u l e s , and whether t r a n s f o r m a t i o n s change meaning. 90 C h afe has a r g u e d t h a t a l a n g u a g e has d i r e c t i o n a l i t y and t h a t a grammar s h o u l d r e f l e c t t h i s . T h e r e i s , t h e n , a k i n d o f d i r e c t i o n a l i t y i n language which might be r e f e r r e d t o as t h e d i r e c t i o n a l i t y o f w e l l - f o r m e d n e s s . What t h i s means i s t h a t t h e w e l l -formedness o f s e n t e n c e s i s d e t e r m i n e d i n one d i r e c t i o n from deep ( o r s e m a n t i c ) s t r u c t u r e t o s u r f a c e s t r u c t u r e t o ( e v e n t u a l l y ) p h o n e t i c s t r u c t u r e - and n o t i n t h e r e v e r s e d i r e c t i o n . (1971:7) Chomsky ( 1 9 7 0 ) , K a t z ( 1 9 7 0 ) , and G. L a k o f f (1969) t r e a t t h e r e l a t i o n -s h i p between sound and meaning as one o f mapping, i n t h e m a t h e m a t i c a l s e n s e , and they d i s a g r e e w i t h C h a f e ' s c l a i m t h a t mapping fro m s e m a n t i c s t o p h o n e t i c s i s more i n f o r m a t i v e than some o t h e r p o s s i b i l i t y . S i n c e t h e g e n e r a t i v e s e m a n t i c i s t s s t a r t w i t h s e m a n t i c s t r u c t u r e and g e t e v e n t u a l l y t o s u r f a c e s t r u c t u r e by means o f t r a n s f o r m a t i o n s , p r o j e c t i o n r u l e s r e l a t i n g deep s t r u c t u r e s t o s e m a n t i c s t r u c t u r e a r e u n n e c e s s a r y . K a t z a g r e e s w i t h t h e g e n e r a t i v e s e m a n t i c i s t s t h a t a l l m e a n i n g f u l e l e m e n t s a r e i n s e m a n t i c o r deep s t r u c t u r e , h e n ce t r a n s f o r -m ations a r e n o t a l l o w e d t o change meaning. Chomsky and J a c k e n d o f f h o l d t h e view t h a t s u r f a c e s t r u c t u r e c o n t r i b u t e s t o meaning, and s o s u r f a c e s t r u c t u r e i n t e r p r e t a t i o n r u l e s a r e needed i n a d d i t i o n t o base r u l e s , t r a n s f o r m a t i o n s , and o u t p u t c o n d i t i o n s . K a t z needs p r o j e c t i o n r u l e s , w h i l e t h e g e n e r a t i v e s e m a n t i c i s t s need, i n a d d i t i o n t o base r u l e s , t r a n s -f o r m a t i o n a l r u l e s , and o u t p u t c o n d i t i o n s , g l o b a l r u l e s o r c o n s t r a i n t s t h a t can r e t r i e v e t h e d e r i v a t i o n a l h i s t o r y o f a s e n t e n c e . T h e r e a r e a number o f i s s u e s i n the c o n t r o v e r s y t h a t a p p e a r t o be m a t t e r s o f methodology. P o s t a l (1969) argued t h a t t h e b e s t t h e o r y i s one w h i c h has the f e w e s t k i n d s o f r u l e s , hence g e n e r a t i v e s e m a n t i c s 91 i s b e t t e r than i n t e r p r e t a t i v e s e m a n t i c s b e c a u s e i t can do w i t h o u t p r o -j e c t i o n r u l e s and s u r f a c e s t r u c t u r e i n t e r p r e t a t i o n r u l e s . However, the g e n e r a t i v e s e m a n t i c i s t s need s e v e r a l new t r a n s f o r m a t i o n a l r u l e s , r u l e s t h a t c o n v e r t p h r a s e s i n t o s i n g l e l e x i c a l i t e m s . The i n t e r p r e t a t i v e seman-t i c i s t s do n o t need s u c h r u l e s . A l t h o u g h fewer k i n d s o f r u l e s a r e needed, one k i n d o f r u l e , t r a n s f o r m a t i o n s , must do more k i n d s o f t h i n g s . McCawley says t h a t : In such works as Katz and Fodor (1963) and K a t z and P o s t a l (1964) s e m a n t i c s t r u c t u r e was t r e a t e d as s o m e t h i n g o f a v e r y d i f f e r e n t n a t u r e f r o m s y n t a c t i c s t r u c t u r e , and i t was o n l y i n the y e a r s f o l l o w i n g t h o s e works t h a t i t became p o s s i b l e f o r l i n g u i s t s t o c o n c e i v e o f the p o s s i b i l i t y t h a t t h e y might r e a l l y be t h e same. (1970) K a t z (1970) argued t h a t i n h i s own t h e o r y s e m a n t i c and s y n t a c t i c s t r u c -t u r e were n o t as d i f f e r e n t as McCawley s u g g e s t e d . The m a j o r i s s u e o v e r w hich t h e v a r i o u s groups o f l i n g u i s t s d i f f e r i s t h a t o f l e x i c a l i n s e r t i o n . F o r Chomsky, a l l l e x i c a l i t e m s , i n c l u d i n g terms l i k e " r e s p e c t i v e l y , " a r e i n s e r t e d a f t e r a l l t h e base r u l e s and b e f o r e a l l t h e t r a n s f o r m a t i o n a l r u l e s . F o r the g e n e r a t i v e s e m a n t i c i s t s , many l e x i c a l i t e m s w i l l be i n s e r t e d a f t e r some t r a n s f o r -m a t i o n s . F o r example, "cause t o become n o t a l i v e , " a f t e r s e v e r a l t r a n s -f o r m a t i o n s , w i l l be r e p l a c e d by t h e l e x i c a l i t e m " k i l l . " Chomsky and K a t z have a r g u e d t h a t t h e i d e a s o f t h e g e n e r a t i v e s e m a n t i c i s t s a r e n o t a t i o n a l v a r i a n t s o f t h e i r own t h e o r i e s . Theory A i s a n o t a t i o n a l v a r i a n t o f T h e o r y B i f t h e r e i s an a l g o r i t h m f o r g e t t i n g from one t o the o t h e r . T h e i r c l a i m may be p a r t i a l l y t r u e , as i n r e p l a c i n g "become n o t a l i v e " w i t h " d i e " o r i n t e r p r e t i n g " d i e " as "become ( n o t a l i v e ) . " 92 However, the c u r r e n t work o f t h e g e n e r a t i v e s e m a n t i c i s t s , such as Mc-Cawley' s r e s e a r c h on r e f e r e n c e , d e f i n i t e d e s c r i p t i o n s and o t h e r a s p e c t s o f l o g i c a l s t r u c t u r e , a r e v e r y f r a g m e n t e d and i n c o m p l e t e , and t h e i n t e r -p r e t a t i v e s e m a n t i c i s t s have done even l e s s on t h e s e t o p i c s . T h e r e f o r e i t i s i n a d v i s a b l e t o s t a t e t h a t t h e d i f f e r e n t systems a r e n o t a t i o n a l v a r i a n t s . M o reover, i t i s p r e m a t u r e t o p r e d i c t t he e m p i r i c a l consequences o f the v a r i o u s t h e o r i e s . CHAPTER 3 CRITICISM OF SOME GENERATIVE-TRANSFORMATIONAL THEORETICAL PRINCIPLES INTRODUCTION This chapter presents the theoretical assumptions and principles which underlie my conception of linguistic description. Some aspects of linguistic theory are also criticized in order to establish a position on certain questions already discussed. This analysis is a necessary methodological preliminary to the formulation of a theoretical descriptive model for the grammar of Portuguese. This model will be the base for the elaboration of an adequate description of the syntactic structures of Portuguese. The f i rst step in developing the model is to establish some criteria to distinguish between syntax and semantics/ This distinction seems absolutely necessary after the discussion in the preceding chapters. I. THEORETICAL AND CONCEPTUAL PROBLEMS IN LINGUISTIC THEORY A. Dichotomy: Syntax/Semantics In order to write a description of a given language, a clear conception about syntax is necessary. The two domains of syntax and semantics have to be distinguished, although Chomsky's post-Aspects theory does not clearly define syntax, its primacy is proclaimed. This distinction is not necessary for the linguists who say that syntax and semantics are the same. 93 94 In the l a s t t en y e a r s a new s c i e n c e o f s e m a n t i c s has d e v e l o p e d o u t o f s y n t a x . Two h y p o t h e s e s on t h e n a t u r e o f s e m a n t i c s t r u c t u r e s a r e a c c e p t e d as q u a s i - u n i v e r s a l s : 1) A minimal u n i t o f t h e " s i g n i f i e d " ; t h e s t r u c t u r e o f the " s i g n i f i e d " i s p a r a d i g m a t i c . 2) A u n i t c o m p r i s i n g two " s i g n i f i e d s " ; t h e s t r u c t u r e o f " s i g n i f i c a t i o n " i s s y n t a g m a t i c . The o p p o s i t e s p a r a d i g m a t i c / s y n t a g m a t i c a r e p o s t u l a t e d by S a u s s u r e ' s c o n c e p t i o n . Many l i n g u i s t s , such as K a t z , Lamb, McCawley and L e e c h , a g r e e on t h e g e n e r a l p r i n c i p l e e s t a b l i s h e d by W e i n r e i c h (1966:417): The g o a l o f a s e m a n t i c t h e o r y o f a l a n g u a g e , as we c o n c e i v e i t , i s t o e x p l i c a t e t h e way i n which t h e meaning o f a s e n -t e n c e o f s p e c i f i e d s t r u c t u r e i s d e r i v a b l e from t h e f u l l y s p e c i f i e d meanings o f i t s p a r t s . I s h a l l d e f i n e t he t h e o r e t i c a l n o t i o n o f s y n t a x i n t h e same way as H j e l m s l e v , namely, as "an o p e r a t i o n a l h y p o t h e s i s . " S i n c e my p u r p o s e i s n o t t h e d e s c r i p t i o n o f t h e s e m a n t i c s t r u c t u r e o f P o r t u g u e s e I do n o t pursue t he d e t a i l s o f t h e s e t h e o r i e s any f u r t h e r . To r e c o g n i z e and e s t a b l i s h a d e l i m i t a t i o n and o p p o s i t i o n between the n o t i o n s o f s y n t a x and s e m a n t i c s , I w i l l d e f i n e t he p a r a d i g m a t i c s t r u c t u r e o f t h e " s i g n i -f i e d . " 1. The S t r u c t u r e o f t h e " S i g n i f i e d " The s t r u c t u r e o f the " s i g n i f i e d " i s a fundamental h y p o t h e s i s t o c o m p o n e n t i a l s e m a n t i c s , b ut q u e s t i o n e d by g e n e r a t i v e s e m a n t i c i s t s . I f t h e r e i s a s u b s t i t u t i o n o f 95 o p e r a t i o n s l i k e G r u b e r ' s " i n c o r p o r a t i o n " ( 1 9 6 5 ) , McCawley's " d e r i v a t i o n " ( 1 9 6 8 ) , o r L a k o f f s " r e i f i c a t i o n " (1968) p r o c e s s e s , i m p o s i n g a s y n t a g -m a t i c s t r u c t u r e on the " s i g n i f i e d , " a s e r i e s o f t r a n s f o r m a t i o n a l r e d u c -t i o n s makes t h e " s i g n i f i e d " t a k e a p a r a d i g m a t i c s u r f a c e form. A l t h o u g h t h i s h y p o t h e s i s seems i n g e n i o u s t h e r e a r e r e a s o n s t o doubt i t s v a l i d i t y . G e n e r a t i v e s e m a n t i c i s t s base t h e i r c r i t i c i s m o f t h e h y p o t h e s i s on the a p p a r e n t e q u i v a l e n c e o f e l e m e n t s , such as fazer morrer ( c a u s e t o d i e ) and matar ( k i l l ) . L a k o f f (1965) p r o p o s e s t h a t t h i s l a s t l e x i c a l u n i t matar ( k i l l ) be d e r i v e d f r o m t h e f i r s t by t h e o p e r a t i o n s o f p r e d i c a t e r a i s i n g , p r u n i n g o f S, and l e x i c a l i n c o r p o r a t i o n . From (a) we o b t a i n 2 (b) and ( c ) . (a) Deep S t r u c t u r e 0 Manuel fas o Jorge morrer. (Manuel makes J o r g e d i e . ) o J o r g e McCawley (1968) has p r o p o s e d an a n a l y s i s a l i t t l e d i f f e r e n t from t h i s t y p e o f s t r u c t u r e , f r o m a form "0 Manuel fas que o Jorge ndo seja vivo" (Manuel makes t h a t J o r g e i s n o t a l i v e ) . The c r i t i c i s m o f L a k o f f s a n a l y s i s a p p l i e s t o McCawley's a n a l y s i s as w e l l . 96 (b) P r e d i c a t e R a i s i n g and S P r u n i n g Det J o r g e 0 Manuel faz morrer o Jorge. (Manuel makes d i e J o r g e . ) ( c ) L e x i c a l I n c o r p o r a t i o n J o r g e 0 Manuel mata o Jorge, (Manuel k i l l s J o r g e . ) Where S NP VP N V Det S e n t e n c e Noun P h r a s e Verb P h r a s e Noun Verb D e t e r m i n e r 97 B u t as n o t e d by Fodor (1970) s e n t e n c e s (1) and (2) do n o t mean the same t h i n g : 1) 0 Manuel mata o Jorge no beco. (Manuel k i l l s J o r g e i n t h e a l l e y . ) 2) 0 Manuel faz morrer o Jorge no beoo. (Manuel makes d i e J o r g e i n t h e a l l e y . ) The a m b i g u i t y o f s e n t e n c e (2) i s due t o i t s two deep s t r u c t u r e s ( V ) and ( 2 ' ) : ( T ) S 0 Manuel faz 0 Jorge morre Where Adv Loc = Adverb L o c a t i v e . 98 (2') S NP VP Det N V S 0 ' Manuel faz Adv S The s e n t e n c e , 0 Manuel mata o Jorge (Manuel k i l l s J o r g e ) , has t h e same deep s t r u c t u r e as 0 Manuel faz morrer o Jorge (Manuel makes d i e J o r g e ) . The f i r s t s e n t e n c e s h o u l d thus have t h e same a m b i g u i t i e s as t h e s e c o n d , b u t as o b s e r v e d , t he s e n t e n c e 0 Manuel mata o Jorge no beoo (Manuel k i l l s J o r g e i n the a l l e y ) , i s n o t ambiguous. T h e r e f o r e , t h e s e two t y p e s o f s t r u c t u r e s a r e n o t e q u i v a l e n t . T h i s d e m o n s t r a t i o n i l l u s t r a t e s t h e g e n e r a l p r i n c i p l e c o n c e r n i n g the f o r m a l i z a t i o n o f l i n g u i s t i c s t r u c t u r e s . 99 In a s y n t a g m a t i c s t r u c t u r e i t i s n e c e s s a r y t o e s t a b l i s h an o r d e r o f r e l a t i o n s . In the s t r u c t u r e o f a s e n t e n c e t h i s o r d e r o r d e g r e e o f dependence i s r e a l i z e d by t h e l e v e l s o f embedding. In t h i s s t r u c t u r e t he r e l a t i o n between V 2 and NP 3 depends on t h e r e -l a t i o n between and Sg. T h e r e f o r e , VP-j e m p i r i c a l l y p r e c e d e s VT^; the l a t t e r does n o t e x i s t w i t h o u t t h e f o r m e r . Thus, the o r d e r o f t h e f o l l o w i n g r u l e s i s a b s o l u t e l y n e c e s s a r y : 1) S > NP VP ( N P ) 2) VP — > V) V S J But i n a p a r a d i g m a t i c r e l a t i o n , t h e c o n c e p t o f r u l e o r d e r i s n o t needed. The f o l l o w i n g p a r a d i g m does n o t show any p r i o r i t y i n t h e o p p o s i t i o n o f r e l a t i o n s . 100 Male A d u l t Man + + Boy + -Woman - + G i r l - -The word man i s opposed s i m u l t a n e o u s l y t o t h e o t h e r e l e m e n t s . I t may seem t h a t i n t h e f o r m a l i z a t i o n o f t h e r u l e s o f p a r a d i g m a t i c r e l a t i o n s t h e r e w o uld be an e m p i r i c a l p r i o r i t y , b u t t h a t i s n o t so as t h e p a r a d i g m f o r t h e c l a s s o f d e m o n s t r a t i v e s i n P o r t u g u e s e has t h e f o l l o w i n g r u l e s : 1) + Dem. + n e a r 2) - Near + f a r Near F a r Dem. 1 - + Dem. 2 - -Dem. 3 + -Where Dem. 1 c o r r e s p o n d s t o aquele, Dem. 2 c o r r e s p o n d s t o esse, and Dem. 3 c o r r e s p o n d s t o e s t e , r e s p e c t i v e l y . The o r d e r i n g o f t h e r u l e s o f a d e s c r i p t i v e s y s t e m does n o t c o n t a i n any dependence. F o r m a l i z a t i o n shows c l e a r l y t h e i n t u i t i v e d i s t i n c t i o n between a s y n t a g m a t i c s t r u c t u r e and a p a r a d i g m a t i c s t r u c t u r e . A l t h o u g h b o t h s t r u c t u r e s may be f o r m a l i z e d , t h e y c a n n o t be f o r m a l i z e d by means o f the same s y s t e m as h y p o t h e s i z e d , f o r example, i n G r u b e r ' s " i n c o r p o r a t i o n . " 101 This argument emphasizes Saussure's conception of sign and its essen-tially internal paradigmatic structure. 2. The Structure of the "Signification" If it is assumed that the internal structure of the "signified" is paradigmatic, then the structure of the "signification," which is the result of an operation of concatenation of "signifieds," is also paradigmatic. Therefore, there is an isomorphism between the structure 3 of the "signification" and the structure of the "signified." I adopt then the isomorphist principle. This principle has the function or the role of an operational hypothesis as proposed by Hjelmslev. The structure of the "signifier" has the configuration of a matrix of distinctive features. These distinctive features are ex-tracted from the representations by bundles of underlying features of the "signifieds." From this underlying representation the necessary system of rules to derive the essential signification of any given sen-tence is established. The system of rules has the form described for the phonological component. Once the isomorphist principle is adopted, I postulate a theoretical system of rules to determine certain generalizations con-cerning the predications realized in a given language. This system is based on the analogy of the morphophonemic rule system which determines The isomorphist principle is very important in semantics in order to account for difficult problems. The neglect of this principle might explain why so many deficiencies appear in some recent linguistic models. 102 t h e g e n e r a l i z a t i o n s o f a l l p o s s i b l e phonemic c o m b i n a t i o n s , i n m e a n i n g f u l u n i t s , and a l s o on the a n a l o g y o f the p h o n o l o g i c a l component r u l e s y s t e m . I p o s t u l a t e a s y s t e m o f r u l e s w hich w i l l d e t e r m i n e t h e t r a n s i t i o n o f an u n d e r l y i n g s c h e m a t i c r e p r e s e n t a t i o n i n t o a s y s t e m a t i c s u r f a c e r e p r e s e n -t a t i o n . The s y s t e m o f r u l e s w i l l a l s o d e t e r m i n e t h e d e f i n i t i v e s e m a n t i c f o r m o f each m e a n i n g f u l c o n s t i t u e n t , i n a manner s i m i l a r t o t h e s y s t e m o f r u l e s f o r p h o n e t i c r e a l i z a t i o n . In o r d e r t o d e m o n s t r a t e t h e t y p e o f r u l e s used t o d e f i n e t h e i m p l i c i t a u t o m a t i c o p e r a t i o n s i n some p r e d i c a t i o n s we l o o k a t t h e r u l e s o f s u b c a t e g o r i z a t i o n p r o p o s e d by Chomsky i n A s p e c t s , and t h e way Chomsky p r o p o s e s t o b l o c k t h e d e r i v a t i o n o f t h e s e n t e n c e . 1)0 mogo transcorreu. (The boy e l a p s e d . ) S VP I V From t h i s deep s t r u c t u r e t h e c a t e g o r y N i s r e p l a c e d by a noun e x t r a c t e d f r o m t h e l e x i c o n . T h i s noun c a r r i e s a s e l e c t i o n a l f e a t u r e o f t h e f o r m NP < Det < : — » , r e s u l t i n g i n the f o l l o w i n g p h r a s e - m a r k e r , S VP Det moQo //+ a n i m a t e / / / /- t i m e / / 103 where t h e noun moco a p p e a r s under t h e form o f a b u n d l e o f i n h e r e n t f e a t u r e s , |+ a n i m a t e ] , |- t i m e | , as a s u b c a t e g o r i z a t i o n . Once t h e noun i s i n s e r t e d i n i t s p l a c e , t h e ver b i s i n t r o d u c e d a c c o r d i n g t o i t s s e l e c t i o n a l f e a t u r e s . I t i s assumed t h a t t h e ver b transcorrer has a s e l e c t i o n a l f e a t u r e o f the f o r m S < NP < - animat e > VP < » , o r S < NP < + time > VP < » . Gi v e n t h e i n c o m p a t i b i l i t y o f the s u b c a t e g o r i z a t i o n f e a t u r e o f t h e v e r b w i t h t h e f e a t u r e o f the NP s u b j e c t , t h e l e x i c a l i n s e r t i o n i s i m p o s s i b l e . The d e r i v a t i o n i s b l o c k e d and c a n n o t t a k e p l a c e . The f u n c t i o n o f t h e i m p l i c i t r u l e i n t h e s e l e c t i o n a l f e a t u r e o f t h e v e r b i s s i m i l a r t o t h e r u l e t h a t p r e v e n t s t h e f o r m a t i o n o f c e r t a i n i n i t i a l c o n s o n a n t a l c l u s t e r s i n t h e p h o n o l o g i c a l component. The f o r m u l a t i o n o f the c l u s t e r | d l | i s n o t b l o c k e d by any r u l e , b u t s i m p l y does n o t a p p e a r i n t h e p h o n o l o g i c a l s y s t e m o f P o r t u g u e s e , b e c a u s e t h e r e i s no r u l e w h i c h can make t h i s c o n s o n a n t a l sequence p o s s i b l e . The d e r i v a t i o n l i k e w i s e i s not b l o c k e d by any s p e c i f i c r u l e . T h i s c o n -s i d e r a t i o n i n p h o n o l o g y l e a d s us t o q u e s t i o n t h e v a l u e o f Chomsky's s e l e c t i o n a l r u l e s . However, t h e f u n c t i o n o f t h e s e l e c t i o n a l r u l e s i s i m p l i c i t i n t h e c o r r e s p o n d e n c e o f t h e s e m a n t i c r u l e s w i t h t h e morpho-phonemic r u l e s . 3. Formal R u l e s In o r d e r t o e s t a b l i s h a t r a n s f o r m a t i o n r u l e we must f u r t h e r examine F i l l m o r e ' s work, a l r e a d y d i s c u s s e d i n t h e p r e v i o u s c h a p t e r . 104 The v e r b acusar i s opposed t o the v e r b criticar f r o m a p a r a d i g m a t i c s t r u c t u r e p o i n t o f view. In the f o l l o w i n g s e n t e n c e s , 1) A Maria aousa a viziriha (Mary a c c u s e s t h e n e i g h b o u r ) , 2) A Maria critioa a viziriha (Mary c r i t i c i z e s t h e n e i g h b o u r ) , i t i s p o s s i b l e t o d e t e r m i n e t h e d i f f e r e n c e o f meaning by means o f a d e s c r i p t i o n i n terms o f s y n t a g m a t i c o p e r a t i o n s . The f o l l o w i n g s e n t e n c e s a r e p a r a p h r a s e s o f t h e p r e c e d i n g s e n t e n c e s : 1') M a r i a s t a t e s t h a t t h e n e i g h b o u r i s r e s p o n s i b l e f o r an a c t wh i c h p r e s u p p o s e s t h a t she i s r e p r e -h e n s i b l e ; 2') M a r i a s t a t e s t h a t s he f i n d s r e p r e h e n s i b l e an a c t f o r which she p r e s u p p o s e s t h a t t h e n e i g h b o u r i s r e s p o n s i b l e . 105 r e p r e h e n s i b l e (2) s t a t e s Mari a a c t p r e s u p p o s e s (2') r e s p o n s i b l e n e i g h b o u r M a r i a a c t The common p r e s u p p o s i t i o n s d e m o n s t r a t e t h a t t h e s t r u c t u r e s i m p l y two d i f f e r e n t t r a n s f o r m a t i o n s . In t h e c a s e o f acusar, t h e r e i s t h e i n c o r -p o r a t i o n o f t h e f e a t u r e |+ r e s p o n s i b l e ! t o t h e l e x i c a l i t e m " n e i g h b o u r . " In t h e c a s e o f oritiaar, t h e r e i s t h e i n c o r p o r a t i o n o f t h e f e a t u r e |+ r e p r e h e n s i b l e | t o the l e x i c a l i t e m " a c t . " A l t h o u g h t h e f o r m a l d e m o n s t r a t i o n o f s e m a n t i c s i s beyond t h e s c o p e o f t h i s s t u d y , i t i s e v i d e n t t h a t g e n e r a t i v e and i n t e r p r e t a t i v e s e m a n t i c s w i l l have t o work w i t h f o r m a l r u l e s t o a c h i e v e s u c c e s s f u l r e s u l t s , f o l l o w i n g the l i n e s o f L a k o f f o r McCawley, who a r e w o r k i n g i n t h a t d i r e c t i o n . 4. P r e d i c a t i o n R ules F o r t h i s t y p e o f r u l e we t a k e a g a i n an a n a l o g y f r o m t h e phono-l o g i c a l component. The t y p e o f r u l e p r o p o s e d by Chomsky and H a l l e (1968) says t h a t t h e p h o n e t i c r e a l i z a t i o n o f a g i v e n phoneme p r o d u c e s d i f f e r e n t r u l e s . The v a r i a n t s o f t h e phoneme a r e d e t e r m i n e d by the g e n e r a l r u l e s 106 o f t h e p h o n e t i c s y s t e m o f a la n g u a g e . T h e r e i s a s i m i l a r i t y between t h i s t y p e o f r u l e w hich d e t e r m i n e s the p h o n e t i c r e a l i z a t i o n form o f a phoneme and th e phenomenon d e f i n e d by W e i n r e i c h (1966) as " i n f i n i t e p olysemy." W e i n r e i c h s t u d i e s t h e p r o b l e m o f the c h a r a c t e r i z a t i o n o f the l e x i c a l e l e m e n t and i t s s y s t e m a t i c r e p r e s e n t a t i o n . The l e x i c a l verb comer ( e a t ) i s then c o n s i d e r e d a p o l y s e m i c i t e m , based on the d i f -f e r e n c e s o f meaning i n t h e f o l l o w i n g s e n t e n c e s : 1) A crianga come uma laranja. (The c h i l d e a t s an orange. ) 2) A crianca come a sopa. (The c h i l d e a t s the soup.) 3) A erianca come nozes. (The c h i l d e a t s n u t s . ) I p o s t u l a t e , i n th e s e m a n t i c component, r u l e s which a l l o w a b u n d l e o f s e m a n t i c f e a t u r e s t o be r e a l i z e d i n a s u b s t a n t i a l form o f meaning, c o n d i t i o n e d by i t s c o n t e x t . . These r u l e s a r e e q u i v a l e n t t o th e r u l e s o f p h o n e t i c r e a l i z a t i o n . W ith t h e p r o p o s a l o f t h e s e r u l e s I do n o t c l a i m an a b s o l u t e s o l u t i o n t o th e d e s c r i p t i o n o f s e m a n t i c s . I would l i k e t o show t h a t t h e s e t y p e s o f r u l e s c o u l d be i n t e g r a t e d i n t o a s e m a n t i c component b a s e d on the model o f the p h o n o l o g i c a l component. The s e m a n t i c domain c o u l d be l i m i t e d t o a c a l c u l u s o f the m a t r i c e s o f d i s t i n c t i v e f e a t u r e s w hich w i l l be the r e s u l t o f a sequence o f a f i n i t e number o f s i g n i f i e d s . T h i s s y s t e m o f r u l e s does n o t d e f i n e t h e n o t i o n o f p o s s i b l e p r e d i c a t i o n . The s e m a n t i c component must a c c e p t p r e d i c a t i o n s as g i v e n f a c t s . The n o t i o n o f p o s s i b l e p r e d i c a t i o n does n o t r e v e a l t h e sy s t e m b u t t h e ex-p e r i e n c e . Q u i n e (1951:39-43) r e f u t e s a l l a t t e m p t s t h a t impose l i m i t a t i o n s 107 to e x p e r i e n c e . In t h e d e s c r i p t i o n o f a r t i f i c i a l systems c o n s t r u c t e d t o a t t r i b u t e the meanings t o p r e d i c a t i o n s i t i s e s s e n t i a l t o r e f l e c t t h e f l e x i b i l i t y which c h a r a c t e r i z e s e x p e r i e n c e . 5. S u b c a t e g o r i z a t i o n Rules In s e p a r a t i n g s y n t a x from s e m a n t i c s , Chomsky p r e s c r i b e s t h e form o f t h e i n t e g r a t e d model. T h i s i n t e g r a t e d model c o n s i s t s o f a s y s t e m o f s y n t a c t i c r u l e s c o n c e r n i n g g r a m m a t i c a l i t y and a sy s t e m o f s e m a n t i c r u l e s c o n c e r n i n g t h e a t t r i b u t i o n o f p o s s i b l e meanings t o t h e s y n t a c t i c s t r u c t u r e s . In t h e b e g i n n i n g o f t h i s c h a p t e r i t was ment i o n e d t h a t i n the p r o p o s e d model i n A s p e c t s , t h e d i s t i n c t i o n between s y n t a x and s e m a n t i c s was c o n f u s i n g and weak. Chomsky g i v e s t h r e e s o l u t i o n s f o r t h e d e s c r i p t i o n o f t h e f o l l o w i n g s e n t e n c e s : 1) 4 sinoeridade admira o mooo. ( S i n c e r i t y admires t h e boy.) 2) 0 moQo transcorreu. (The boy e l a p s e d . ) The f i r s t and s e c o n d s o l u t i o n s p r e s e n t e d i n A s p e c t s a r e s y n t a c t i c and t h e t h i r d i s a s e m a n t i c s o l u t i o n . T h i s p r e s e n t a t i o n has c r e a t e d some c o n f u s i o n among t r a n s f o r m a t i o n a l i s t s , who t h o u g h t t h a t Chomsky f a v o u r e d a s y n t a c t i c a p p r o a c h . Then they s o u g h t models t o d e s c r i b e s e m a n t i c and s y n t a c t i c f a c t s w i t h t h e same mechanism. T r a n s f o r m a t i o n a l -i s t s d i s a g r e e i n t h e i r d e f i n i t i o n o f syntax'. F i l l m o r e , w i t h h i s c a s e grammar a p p r o a c h , p r e s e n t s one v e r s i o n o f s y n t a x . Chomsky (1968) p r e s e n t s a d i f f e r e n t n o t i o n o f s y n t a x i n h i s i n t e r p r e t a t i v e s e m a n t i c s a p p r o a c h . 108 But b o t h a r e t r y i n g t o i n t e g r a t e s y n t a x and s e m a n t i c s . K a t z (1970) i n s i s t s on t h e s e p a r a t i o n o f s y n t a x and s e m a n t i c s . G e n e r a t i v e seman-t i c i s t s abandon c o m p l e t e l y t h e n o t i o n o f s y n t a x , o r a t l e a s t , t h e d i s -t i n c t i o n between s y n t a x and s e m a n t i c s . F o r example, W e i n r e i c h s a y s t h a t t h e c o n s t r a i n t s on the c o - o c c u r r e n c e o f moco (boy) and transeorreu ( e l a p s e d ) a r e o f a s y n t a c t i c n a t u r e . T h e r e f o r e , a l l t h e c o n s t r a i n t s o f c o - o c c u r r e n c e a r e s y n t a c t i c , w hich l e a d s t o t h e c o n c l u s i o n t h a t s y n -t a x and s e m a n t i c s a r e r e a l l y one and the same t h i n g . I f we s e p a r a t e s y n t a x f r o m s e m a n t i c s , a c c o r d i n g t o a c a l c u l u s o f t h e s i g n i f i e r o r o f t h e s i g n i f i e d , we can d e m o n s t r a t e t h a t t h e s e l e c -t i o n a l r e s t r i c t i o n r u l e , w i t h which Chomsky b l o c k e d t h e d e r i v a t i o n o f u t t e r a n c e s , i s w e l l p l a c e d i n t h e s e m a n t i c component. A c c o r d i n g t o my d e f i n i t i o n , t h e s e l e c t i o n a l r e s t r i c t i o n t y p e o f r u l e b e l o n g s t o t h e c o n s t r a i n t s on t h e p r e d i c a t i o n o r c o - o c c u r r e n c e o f t h e " s i g n i f i e d s . " I a s s i g n t h i s r u l e t o a c l a s s o f s y n t a c t i c r u l e s l i m i t e d t o a c a l c u l u s o f t h e d e f i n i t i v e f o r m o f the " s i g n i f i e r . " An i n t u i t i v e remark t h a t t h e grammar must have t h e t y p e o f s e l e c t i o n a l c o n s t r a i n t s o f A s p e c t s i s t o o r i g i d . T h i s r i g i d s e l e c t i o n a l c o n s t r a i n t r u l e i s i n c o n f l i c t w i t h t h e s i m p l i c i t y n o t i o n t h a t i s a s -c r i b e d i n t u i t i v e l y t o a grammar. The a g r a m m a t i c a l i t y o f t h e s e n t e n c e , 0 moQo transeorreu ( t h e boy e l a p s e d ) , may be e x p l a i n e d as an i n c o m p a t i -b i l i t y o f t h e f e a t u r e s |+ t i m e | , |- t i m e | o r |- an i m a t e | , |+ a n i m a t e | , i n t h a t g i v e n c o n t e x t . The same f e a t u r e s a r e c o m p a t i b l e i n a n o t h e r c o n t e n t , as i n the s e n t e n c e , Uma geragao transeorreu (A g e n e r a t i o n e l a p s e d ) . 109 In some c o n t e x t s t h e s i g n ' g e n e r a t i o n ' must c a r r y the i n h e r e n t f e a t u r e |+ animate| as i n the s e n t e n c e , Esta geragao vive feliz ( t h i s g e n e r a t i o n l i v e s h a p p i l y ) . But i n o t h e r c o n t e x t s t h e s i g n ' g e n e r a t i o n ' c a r r i e s t h e i n h e r e n t f e a t u r e |- t i m e | , as i n t h e s e n t e n c e , Pense na geraedo em que nasceu ( T h i n k o f th e g e n e r a t i o n i n t o w hich y o u were b o r n ) . A l l t h e s u b c a t e g o r i z a t i o n f e a t u r e s p o s t u l a t e d by Chomsky a r e s u b j e c t e d t o a g r a d a t i o n o f g r a m m a t i c a l i t y . Chomsky's s u b c a t e g o r i z a t i o n f e a t u r e s a r e o f a s e m a n t i c n a t u r e . I a s s i g n t h e s e f e a t u r e s t o th e s i g n i f i c a t i o n o f t h e m a t r i x o f f e a t u r e s f r o m t h e p r e d i c a t i o n o f a t l e a s t two " s i g n i -f i e d s . " From t h e p r e d i c a t i o n o f t h e s e two " s i g n i f i e d s " a d e f i n i t i v e form i s g e n e r a t e d by a s y s t e m o f r u l e s w hich c o n s t i t u t e s t h e s e m a n t i c component. A l s o , Chomsky's s u b c a t e g o r i z a t i o n f e a t u r e s a r e n o t i n h e r e n t i n t h e r e a l i z e d f e a t u r e s o f t h e s u r f a c e f o r m o f the s e n t e n c e . The p r e s e n c e o f t h e s e f e a t u r e s i s due t o a p r e d i c a t i o n w hich r e v e a l s t h e knowledge o r e x p e r i e n c e o f th e s p e a k e r b u t n o t h i s grammar. Chomsky (1965:157-8) has a l s o p o i n t e d o u t t h a t t h e c o n s t r a i n t s e x p r e s s e d by th e s u b c a t e g o r i z a t i o n f e a t u r e s a r e n o t a b s o l u t e and he g i v e s some c o n t e x t s where t h e s e c o n -s t r a i n t s a r e n o t a p p l i c a b l e : 1) A sinoeridade ndo pode admirar a ninguem. ( S i n c e r i t y c a n n o t a d m ire somebody.) 2) E ridioulo dizer que o livro transoorreu. ( I t i s nonsense t o say t h a t t h e book e l a p s e d . ) In t h e s e two s e n t e n c e s t h e s e m a n t i c o c c u r r e n c e s may be r e a l i z e d . T h i s r e a l i z a t i o n i n d i c a t e s t h a t t h e r e i s n o t h i n g i n h e r e n t i n t h e s i g n i f i e r s t o r e q u i r e t h e c o n s t r a i n t s i n t h e s e s e q u e n c e s . T h i s f a c t s t r e n g t h e n s the d i s t i n c t i o n between s e m a n t i c s and s y n t a x . 110 In my view, s y n t a x i s t h e s y s t e m o f grammatical r u l e s o p e r a t i n g on the form o f the c o - o c c u r r e n c e o f two o r more s i g n i f i e r s . S e m a n t i c s i s a l s o d e f i n e d as the s y s t e m o f r u l e s d e t e r m i n i n g the d e f i n i t i v e f o r m o f t h e m a t r i x o f s e m a n t i c f e a t u r e s r e s u l t i n g from any p r e d i c a t i o n . G i v e n t h e s e two d e f i n i t i o n s , I do n o t e x c l u d e t h e p o s s i b i l i t y o f i n t e r f e r e n c e between s e m a n t i c s and s y n t a x . S u b c a t e g o r i z a t i o n f e a t u r e s p r e s e n t an i l l u s t r a t i o n o f t h e s e m a n t i c s - s y n t a x i n t e r f e r e n c e . T hese f e a t u r e s a r e o f a s e m a n t i c n a t u r e because t h e i r d i s p o s i t i o n i n t h e m a t r i x o f t h e s i g n i f i c a t i o n i s d e t e r m i n e d by the r u l e s o f t h e s e m a n t i c component. However, t h e s e f e a t u r e s a r e a l s o p r e d i c a t e s b e c a u s e t h e y can be a t t a c h e d o p t i o n a l l y t o an argument. A n o t h e r a s p e c t o f t h e s e f e a t u r e s i s t h a t t h e i r f u n c t i o n i s n o t o n l y s e m a n t i c . T h e r e a r e some c i r c u m s t a n c e s where t h e i r p r e s e n c e i s t h e s o l e e x p l a n a t i o n o f s y n t a c t i c f o r m s , such as t h e use o f Male f o r s e m a n t i c r e s t r i c t i o n s and f o r s y n t a x t h e p r o n o m i n a l i z a t i o n . The s y n t a c t i c c h a r a c t e r i s t i c s show t h a t the p r e s e n c e o f t h e f e a t u r e s depends e n t i r e l y on t h e t y p e o f r e l a t i o n between t h e i r r e f e r e n t s . S y n t a x , t h e n i s c e n t r e d on t h e d e f i n i t i o n o f t h e n o t i o n o f "pos-s i b l e s e n t e n c e , " o r a sequence o f " s i g n i f i e r s . " I t f o l l o w s t h a t i t i s n o t n e c e s s a r y t o a p p e a l t o e x p e r i e n c e t o d e f i n e t h e c o n s t r a i n t s . Any sequence o f " s i g n i f i e r s " b e l o n g i n g t o a l a n g u a g e r e v e a l s i t s p r e d i c a t i o n o f " s i g n i f i e r s . " The c a l c u l u s o f t h e s y s t e m which d e f i n e s t h e form o f the meaning may be c o n s i d e r e d as a c t i n g i n d e p e n d e n t l y on t h e " s i g n i f i e r s " and t h e " s i g n i f i e d s , " r e s p e c t i v e l y . The sequence o f t h e " s i g n i f i e r s " i s i m p l i c i t i n the sequence o f " s i g n i f i e d s " b e c a u s e t h e " s i g n i f i e d s " I l l a r e always a t t a c h e d t o the " s i g n i f i e r s " i n a r e a l i z e d s e n t e n c e . B u t t h e r e would n o t be any c o n n e c t i o n between the f i n a l f o r m which r e a l i z e s the sequence o f " s i g n i f i e r s " and t h e f i n a l f o r m which r e a l i z e s t h e sequence o f " s i g n i f i e d s . " The s y s t e m o f r u l e s d e t e r m i n i n g the r e a l i z a t i o n o f t h e sequence o f " s i g n i f i e r s " i s s y n t a x , and t h e s y s t e m o f r u l e s w hich d e t e r -mines t h e r e a l i z a t i o n o f the sequence o f " s i g n i f i e d s " i s s e m a n t i c s . In t h i s l i g h t , t he dichotomy between s y n t a x and s e m a n t i c s i s e s t a b l i s h e d . B. T h e o r e t i c a l P r i n c i p l e s and N o t i o n s In t h i s s e c t i o n I d i s c u s s some o f t h e t h e o r e t i c a l p r i n c i p l e s and n o t i o n s o f g e n e r a t i v e t r a n s f o r m a t i o n a l t h e o r y which w i l l be a d o p t e d f o r t h e p r o p o s e d g r a m m a t i c a l model. These t h e o r e t i c a l p r i n c i p l e s a r e based on c o n s i d e r i n g l a n g u a g e as a f o r m a l s y s t e m and on i n t u i t i o n . The t h e o r e t i c a l n o t i o n s d i s c u s s e d a r e c r e a t i v i t y , g r a m m a t i c a l i t y and s i m -p l i c i t y . An i m p o r t a n t c h a r a c t e r i s t i c o f Chomsky's t h e o r y i s t h a t h i s methodology a d o p t s t h e t e c h n i q u e s o f e x p e r i m e n t a l s c i e n c e . Chomsky s t a r t s w i t h a f o r m a l h y p o t h e s i s and then a t t e m p t s t o v e r i f y i t . T h i s b a s i c p r i n c i p l e o f Chomsky's method remains c o n s t a n t t h r o u g h o u t h i s w r i t i n g s . B u t Chomsky f i n d s a m o t i v a t i o n f o r h i s h y p o t h e s i s i n t h e i n t u i t i v e n o t i o n o f the s p e a k e r a b o u t h i s l a n g u a g e . F o r t h e f o r m u l a t i o n o f my model, I w i l l a d o p t t h e two f o l l o w i n g b a s i c p r i n c i p l e s o f Chomsky. 112 1. Language as a Formal System In p o s t u l a t i n g t h e p r i n c i p l e o f language as a f o r m a l s y s t e m we have t o make t h e a n a l o g y o f a la n g u a g e w i t h a c l a s s o f systems where a l l the s t r u c t u r e s a r e f o r m a l i z e d , o r c a l c u l a t e d i n terms o f a s p e c i f i c s t r u c t u r e . We must a l s o r e c o g n i z e t h a t t h e r e l a t i o n s between l a n g u a g e and f o r m a l systems a r e a n a l o g o u s . The l a n g u a g e i t s e l f i s n o t i d e n t i c a l t o t h e f o r m a l s y s t e m used f o r i t s d e s c r i p t i o n . The l a n g u a g e o f t h e f o r m a l s y s t e m i s a metalanguage used f o r t h e d e s c r i p t i o n o f t h e g i v e n n a t u r a l l a n g u a g e . 2. The P r i n c i p l e o f I n t u i t i o n T h i s p r i n c i p l e a c c e p t s t he v a l i d i t y o f i n t u i t i o n as one g u i d e f o r t h e f o r m u l a t i o n o f a l i n g u i s t i c model. The p r i n c i p l e o f i n t u i t i o n a c c o u n t s f o r t h e f o r m u l a t i o n o f b a s i c n o t i o n s o f t h e model, s u c h as g r a m m a t i c a l i t y , a m b i g u i t y and synonymy. The i n t e r a c t i o n a m b i g u i t y and synonymy has g i v e n r i s e t o t h r e e n o t i o n s which a r e t h e t h r e e c o n s t a n t s o f t h e t h e o r y : c r e a t i v i t y , gram-m a t i c a l i t y and s i m p l i c i t y ; 3. The N o t i o n o f C r e a t i v i t y T h i s n o t i o n acknowledges t h a t a human b e i n g i s a b l e t o p r o d u c e and u n d e r s t a n d whole new s e n t e n c e s . T h i s phenomenon i s a c c o u n t e d f o r i n t h e g e n e r a t i v e base o f the gra m m a t i c a l model by t h e r e c u r s i v e p r i n -c i p l e . The r e c u r s i v e r u l e s d e r i v e p o t e n t i a l l y an i n f i n i t e number o f s t r u c t u r e s . Chomsky had f i r s t a s s i g n e d t h e r e c u r s i v e p r o p e r t y t o the 113 t r a n s f o r m a t i o n a l component, w h i c h , as became e v i d e n t , was awkward and i n e f f i c i e n t . K a t z ' s and P o s t a l ' s i n t e g r a t e d model shows t h e r e c u r s i v e p r i n c i p l e i n the b a s e . In t h i s way, s e m a n t i c c o n t e n t i s c o n f i n e d t o the deep s t r u c t u r e . K a t z ' s and P o s t a l ' s p r o p o s a l makes t h e grammar more e c o n o m i c a l , b u t a t t h e same t i m e i t i s an a n t i - i n t u i t i v e model, because i t a l l o w s f o r the g e n e r a t i o n o f a g r e a t number o f deep s t r u c -t u r e s , and many o f t h e s e deep s t r u c t u r e s w i l l n e v e r be r e a l i z e d i n t h e s u r f a c e s t r u c t u r e . T h us, t h e y c a n n o t undergo any t r a n s f o r m a t i o n s . The n o t i o n o f a f i l t e r i n g p r o c e s s i s c r e a t e d by Chomsky i n A s p e c t s t o e l i m i n a t e t h e s e n o n - r e a l i z e d deep s t r u c t u r e s . R e l a t i v i z a t i o n i s one a s p e c t o f c r e a t i v i t y . A t t h e competence l e v e l i t may p o t e n t i a l l y g e n e r a t e s e n t e n c e s o f an i n f i n i t e l e n g t h , s u c h a s : The r e a l i z a t i o n o f t h i s o p e r a t i o n i s a c c o u n t e d f o r by a r e c u r s i v e r u l e i n t h e base. T h i s r u l e has t h r e e v a r i a t i o n s : (1) Ross's R e c u r s i v e Rule (1967) II I gave i t t o my f r i e n d , who gave i t t o h i s f r i e n d , who gave i t t o h i s f r i e n d , who . . . n S * NP VP NP > NP S S NP VP NP S 114 (2) S t o c k w e l l ' s R e c u r s i v e Rule (1967) S • NP VP NP • Det Norn Norn > N S Where A r t = A r t i c l e . 115 I s h a l l n o t d i s c u s s h e r e t h e r e s p e c t i v e a d v a n t a g e s and d i s a d v a n -t a g e s o f t h e s e t h r e e v a r i a t i o n s . I want t o p o i n t o u t , r a t h e r , t h a t t h e s e t h r e e a n a l y s e s p r e s e n t " p a r a s i t e s t r u c t u r e . " P a r a s i t e s t r u c t u r e s as d e f i n e d by S e v r e n (1969:51) a r e the g e n e r a t e d deep s t r u c t u r e s w h i c h a r e n e v e r r e a l i z e d as s u r f a c e s t r u c t u r e s . The f o l l o w i n g p h r a s e - m a r k e r S NP, VP NP 3 VP V NP 4 w i l l d e r i v e o n l y s e n t e n c e s o f t h e l a n g u a g e i f t h e y c o r r e s p o n d t o t h e s t r u c t u r a l d e s c r i p t i o n o f R e l a t i v i z a t i o n . The R e l a t i v i z a t i o n t r a n s -f o r m a t i o n has the f o l l o w i n g form: SD # X NP [X NP X]S X # 1 2 3 4 5 6 7 8 SC |+ R e l | SUBSE 5 C o n d i t i o n i f 3 = 5 E v e r y p h r a s e - m a r k e r which does n o t meet t h e c o n d i t i o n i s e l i -m i n a t e d by t h e f i l t e r i n g p r o c e s s . Where SD = S t r u c t u r a l D e s c r i p t i o n . SC = S t r u c t u r a l Change. |+ R e l | = A f e a t u r e d c a l l e d " R e l a t i v e . " SUBSE 5 = The node 5 i s r e p l a c e d by t h e node 3 and the o r i g i n a l node i s d e l e t e d . 116 Excessive creativity of the base is a deficiency of the model . Intuition, which according to Chomsky's theory, must be the guide, does not present any reason to accept the excess of production as a reality of the language. I thus propose a restriction on the production imple-mented on the base. This restriction assures us that only the production of structures satisfactory to a structural description of transformation takes place. A restriction rule built into the base makes automatic the rejection of the notion of a filtering process. 4. The Notion of Grammaticality The adjective grammatical, when used in reference to sentences of natural languages, may be employed in several different senses: for example, that which is "accepted" and/or "understood" by a native speaker and that which is in conformity with the "rules" of some grammar. According to Chomsky, a grammar should produce only and all the sentences of a language which are in accordance with formal grammatical rules. Strange sentences which are formed by the successive application of elementary processes are s t i l l grammatical. But i f acceptability is taken as the test for grammatical sentences, then some sentences which conform to grammatical rules fail and the grammar should not produce them. If successive application of constructional processes justifies their production, then there is a lapse into the logical circularity 117 o f i d e n t i f y i n g ' t h a t which i s p r o d u c e d by a grammar' w i t h ' g r a m m a t i c a l . ' F u r t h e r m o r e , i f n o t h i n g i s t o be g a i n e d by e x c l u d i n g such s e n t e n c e s , n e i t h e r i s t h e r e a n y t h i n g o f a t h e o r e t i c a l n a t u r e t o be g a i n e d by i n -c l u d i n g them, s i n c e t h e y a r e n o t h i n g more th a n t h e p r o d u c t o f e l e m e n t a r y c o n s t r u c t i o n a l p r o c e s s e s - p r o c e s s e s which i n any c a s e would f i n d formu-l a t i o n i n any adequate grammar. I f a c c e p t a b i l i t y t o a n a t i v e s p e a k e r i s r e t a i n e d as t h e s o l e c r i t e r i o n f o r d e c i d i n g g r a m m a t i c a l i t y , i t i s s t i l l e m p i r i c a l l y t r u e t h a t t h e r e a r e c e r t a i n s e n t e n c e s which a n a t i v e s p e a k e r w i l l a c c e p t w i t h o u t r e s e r v a t i o n and o t h e r s e n t e n c e s which t h e s p e a k e r w i l l have extreme d i f f i c u l t y i n j u d g i n g . Such f a c t s s u g g e s t t h a t g r a m m a t i c a l i t y f o r m u l a t e d i n terms o f a c c e p t a b i l i t y i s b e s t t h o u g h t o f as a s o r t o f g r a d u a t e d s c a l e . The p o l e s o f t h e s c a l e a r e f o u n d i n c l e a r l y a c c e p t a b l e and c l e a r l y r e j e c t e d s e n t e n c e s , w h i l e between t h e s e two extremes l i e a s e t o f s e n t e n c e s t h a t a r e n e i t h e r r e a d i l y a c c e p t e d n o r r e j e c t e d . In l i g h t o f the extreme s u b j e c t i v i t y o f t h e a c c e p t a b i l i t y t e s t , t h i s t y p e o f i n d e t e r m i n a n c y i s h a r d l y t o be a v o i d e d , and m a r g i n a l l y grammatical s e n t e n c e s must be t a k e n i n t o a c c o u n t by any t h e o r e t i c a l t r e a t m e n t o f l a n g u a g e i n which g r a m m a t i c a l i t y i s f o r m u l a t e d i n terms o f i n t u i t i v e a c c e p t a b i l i t y . Chomsky's s t a t e m e n t " l e t t h e grammar i t s e l f d e c i d e " upon t h e s t a t u s o f a c l a s s o f i n d e t e r m i n a t e s e n t e n c e s i s open t o c r i t i c i s m b e c a u s e grammars a r e n o t s e l f - c o n s t r u c t i n g . I f grammars f o r p a r t i c u l a r l a n g u a g e s a r e n o t c o n s t r u c t e d a u t o m a t i c a l l y i n c o n f o r m i t y w i t h some c o m p r e h e n s i v e t h e o r y o f l a n g u a g e - i n which c a s e t h e q u e s t i o n o f m a r g i n a l s e n t e n c e s would n o t a r i s e - then each s t e p and each s t a t e -ment, f o r m a l o r o t h e r w i s e , i n a grammar r e p r e s e n t s a d e c i s i o n on t h e 118 p a r t o f t h e l i n g u i s t who i s f o r m u l a t i n g t h e grammar. I f a p a r t i c u l a r s e n t e n c e i s p r o d u c e d by a grammar, i t i s p r e c i s e l y b e c a u s e a r u l e o r a s e t o f r u l e s w hich p r o d u c e s t h e s e n t e n c e s has been f o r m u l a t e d by t h e l i n g u i s t . C o n v e r s e l y , i f a p a r t i c u l a r s e n t e n c e i s n o t p r o d u c e d by a grammar i t i s bec a u s e t he l i n g u i s t f o r m u l a t i n g t h e grammar has chosen n o t t o i n c l u d e a r u l e o r s e t o f r u l e s w hich w i l l p r o d u c e t h e s e n t e n c e ( o r , perhaps i t d i d n ' t o c c u r t o h i m ) . In b o t h c a s e s , i t i s the l i n g u i s t and n o t t h e grammar who has made t h e c h o i c e . I f i t i s g r a n t e d t h a t a grammar f o r a n a t u r a l l a n g u a g e i s n o t d e f i n i t i o n a l i n n a t u r e , l i k e t h e grammar f o r p r o p o s i t i o n a l c a l c u l u s , b u t i s r a t h e r a d e s c r i p t i v e a c c o u n t o f c e r t a i n p r o p e r t i e s w h i c h c h a r a c -t e r i z e s e n t e n c e s o f t h e l a n g u a g e , t h e n i t must a l s o be g r a n t e d t h a t the a d e q u a c y , however d e f i n e d , o f t h e grammar c a n n o t be d e t e r m i n e d f r o m i n s p e c t i o n o f t h e grammar a l o n e . I f a grammar f o r a n a t u r a l l a n g u a g e i s t o be c o n s i d e r e d adequate when and o n l y when i t p r o d u c e s o n l y and a l l t h e g r a m m a t i c a l s e n t e n c e s o f t h e l a n g u a g e , then adequacy must be d e t e r m i n e d e i t h e r by t h e c o m p l e t e n e s s o f t h e c o r p u s o f s e n t e n c e s f r o m w h i c h t h e grammar i s a b s t r a c t e d o r f r o m t h e c o m p l e t e n e s s o f t h e c o r p u s o f s e n t e n c e s p r o d u c e d by t h e grammar. T h a t i s , a grammar can be shown t o be a d e q u a t e , i n Chomsky's t e r m s , i f i t can be d e m o n s t r a t e d t h a t t h e co r p u s on which t h e grammar i s c o n s t r u c t e d i s s u f f i c i e n t l y c o m p r e h e n s i v e t h a t t he r u l e s a b s t r a c t e d f r o m i t w i l l g e n e r a t e o n l y and a l l t h e g r a m m a t i c a l s e n t e n c e s o f t h e l a n g u a g e . Or t h e grammar can be shown t o be ad e q u a t e i f i t can be d e m o n s t r a t e d t h a t t h e c o r p u s o f s e n t e n c e s p r o d u c e d by the grammar i s i n d e e d t h e s e t o f g r a m m a t i c a l , commonly u n d e r s t o o d s e n t e n c e s 119 o f t h e l a n g u a g e . I f i t i s g r a n t e d t h a t t h e g r a m m a t i c a l i t y o f a s e n t e n c e i s a f u n c t i o n o f t h e s e n t e n c e ' s a c c e p t a b i l i t y to a n a t i v e s p e a k e r , then i t must a l s o be g r a n t e d t h a t a) s e n t e n c e s a r e n o t t o be c o n s i d e r e d g r a m m a t i c a l s i m p l y b e c a u s e they a r e p r o d u c e d by a grammar; b) a grammar i t s e l f c a n n o t d e c i d e c a s e s o f m a r g i n a l g r a m m a t i c a l i t y ; c) a complex s e n t e n c e c o n t a i n i n g a number o f r e f e r e n t i a l r e c u r s i o n s c a n n o t be c o n s i d e r e d ' g r a m m a t i c a l ' s i m p l y b e c a u s e each r e c u r s i o n has been s p e c i f i e d by an elemen-t a r y r u l e . Chomsky's r e q u i r e m e n t t h a t a grammar p r o d u c e o n l y and a l l t h e grammatical s e n t e n c e s o f a l a n g u a g e , i f u n d e r s t o o d l i t e r a l l y , seems t o be u n r e a l i s t i c , s i n c e t h e r e a p p e a r s t o be no method by w h i c h t o t e s t w h e t h er o r n o t t h e r e q u i r e m e n t has been met. T h e o r e t i c a l l y any l a n g u a g e i s a p o t e n t i a l i n f i n i t i v e s e t . The adop-t i o n o f one s e t , f i n i t e o r i n f i n i t e , s h o u l d be b a s e d on t h e c o n v e n i e n c e o f t h e grammarian. Because o f p s y c h o l o g i c a l l i m i t a t i o n s s u c h as memory, i t i s b e t t e r t o s t a t e t h a t a l a n g u a g e i s f i n i t e . The a n a l o g y between l a n g u a g e and f o r m a l s y s t e m g i v e s r i s e t o a u n i q u e c l a s s o f w e l l - f o r m e d s e q u e n c e s . These w e l l - f o r m e d s e n t e n c e s a r e t h e grammatical s e n t e n c e s o f the l a n g u a g e . Chomsky's o r i g i n a l i t y c o n s i s t s i n d i s t i n g u i s h i n g 'grammatical s e n t e n c e s ' f r o m ' m e a n i n g f u l s e n t e n c e s . ' The s e n t e n c e " c o l o r l e s s g r e e n i d e a s s l e e p f u r i o u s l y " meets the c o n d i t i o n s o f g r a m m a t i c a l i t y . But t h i s s e n t e n c e does n o t meet t h e c r i t e r i o n o f common u n d e r s t a n d i n g . 120 The o p p o s i t i o n between s y n t a x and s e m a n t i c s has o b v i o u s r e p e r -c u s s i o n s on the c o n c e p t i o n o f the g r a m m a t i c a l i t y o f any model. My co n -c e p t i o n o f g r a m m a t i c a l i t y i s s i m i l a r t o t h e one p r e s e n t e d i n S y n t a c t i c  S t r u c t u r e s . In t h i s way the model a c c o u n t s f o r some phenomena w h i c h seem anomalous i n t h e A s p e c t s grammar. 5. The N o t i o n o f S i m p l i c i t y As Chomsky has remarked, t h e r e i s no a b s o l u t e c r i t e r i o n by which t o d e f i n e s i m p l i c i t y . The n o t i o n o f s i m p l i c i t y seems t o be bas e d on a "common s e n s e " c r i t e r i o n . S i m p l i c i t y as used i n t h e e l a b o r a t i o n o f my gra m m a t i c a l model, i s b a s e d on f o l l o w i n g c r i t e r i a : a) The f o r m u l a t i o n o f g e n e r a l i z a t i o n s , e s p e c i a l l y t h e ones common t o a l l t h e a s p e c t s o f t h e l a n g u a g e . b) Economy o f e x p r e s s i o n , by making use o f a s t r i c t f o r m a l i s m and u s i n g a r e g u l a r e x p l a n a t i o n w i t h a minimum o f symbols o r r u l e s . c) The p r e f e r e n c e o f a model w i t h i n t h e frame o f a f o r m a l s y s t e m which a c c o u n t s f o r t h e g r e a t e s t number o f f a c t s a c c o r d i n g t o t h e n a t i v e s p e a k e r ' s i n t u i t i o n s a b o u t t h e la n g u a g e . d) The c o n c e r n i n the d e s c r i p t i o n t o a c h i e v e an e v e n t u a l t h e o r y o f u n i v e r s a l s . The c h o i c e o f t h e most e x a c t model f o r t h e d e s c r i p t i o n o f a n a t u r a l l a n g u a g e i s an e m p i r i c a l d e c i s i o n . One c r i t e r i o n f o r t h i s c h o i c e i s based on the s i m p l i c i t y n o t i o n . 121 C. The P o s t - A s p e c t s N o t i o n o f C o n s t r a i n t s The p o s t - A s p e c t s p e r i o d p r e s e n t s a f r a g m e n t a t i o n o f Chomsky's s c h o o l . A number o f models a p p e a r which c l a i m t o a c c o u n t f o r the same f a c t s . T h i s s e c t i o n w i l l p r e s e n t some c r i t i c a l comments on t h e d i f f e r e n t models and w i l l f u r t h e r e s t a b l i s h a b a s i s f o r d e v e l o p i n g a s p e c t s o f my own model. With r e g a r d t o the p r i n c i p l e o f c r e a t i v i t y , o b j e c t i o n s have been r a i s e d t o t h e f u n c t i o n o f t h e f i l t e r i n g p r o c e s s which Chomsky and o t h e r s a s s i g n t o t h e t r a n s f o r m a t i o n a l component. As e x p r e s s e d by L a k o f f ( 1 9 7 0 a ) , t h e t r a n s f o r m a t i o n p o s t u l a t e d i n t h i s way c o n s t i t u t e s a c o n -s t r a i n t on t h e d e r i v a t i o n . And, i f t h e t h e o r y d e f i n e s t h e c o n s t r a i n t s on t h e d e r i v a t i o n , i n t h i s s e n s e , t h e t r a n s f o r m a t i o n r e p r e s e n t s an i n -e f f i c i e n t s o l u t i o n . Ross (1967) r e v e a l s t h i s i n e f f i c i e n c y by demon-s t r a t i n g t h e e x i s t e n c e o f more p o w e r f u l g e n e r a l i z a t i o n s c o n c e r n i n g t h e c o n s t r a i n t s . He p r e s e n t s c o n s t r a i n t s on t h e c o o r d i n a t i o n s t r u c t u r e . These c o n s t r a i n t s , a f f e c t i n g the a c t i o n o f a whole c l a s s o f t r a n s f o r -m a t i o n s , must be c o n s i d e r e d as l a r g e r g e n e r a l i z a t i o n s f o r a more adequate d e s c r i p t i o n . C o n s t r a i n t s o p e r a t e on Chomsky's s e l e c t i o n a l r u l e s . The i m p l i c i t f e a t u r e r u l e s o f t h e l e x i c a l word correr | NP < + animate > - | ( r u n ) a r e t o o r i g i d t o c o r r e s p o n d t o t h e r e a l i t y o f t h e l a n g u a g e , s i n c e t h e f o l l o w i n g d e r i v a t i o n s can be r e a l i z e d . 1 2 2 1 ) Este carro corre. ( T h i s c a r r u n s . ) 2 ) A bola corre para a crianga. ( T h e b a l l r u n s t o w a r d s t h e c h i l d . ) 3) Os meus pensamentos oorrem. (My t h o u g h t s r u n . ) B u t t h e f o l l o w i n g s e n t e n c e s c a n n o t be r e a l i z e d : * 5) A moralidade corre. ( M o r a l i t y r u n s . ) * 6) Os aranha-cSus correm. ( T h e s k y - s c r a p e r s r u n . ) T h e r e j e c t i o n o f s e n t e n c e s (5) a n d ( 6 ) i s e x p l a i n e d by t h e f a c t t h a t t h e s e p r e d i c a t i o n s h a v e n o t y e t b e e n p r e s c r i b e d by e x p e r i e n c e . T h e s e s e n t e n c e s c a n n o t be b l o c k e d by t h e grammar b e c a u s e t h e f u n c t i o n o f t h e g r a m m a r i s t o a s s i g n a f o r m t o s e n t e n c e s a n d n o t t o e x p e r i e n c e . G e n e r a l l y , t o e s t a b l i s h a d e s c r i p t i v e m o d e l t h a t w i l l r e p r e s e n t t h e i n t u i t i o n o f t h e n a t i v e s p e a k e r , o n e h a s t o c o n c e n t r a t e on c o n s t r u c -t i v e o p e r a t i o n s a n d n o t on t h e r e s t r i c t i v e f u n c t i o n s o f some o t h e r o p e r a t i o n s . A l t h o u g h R o s s ' s n o t i o n o f c o n s t r a i n t s i s a v a l i d o n e , I c r i t i c i z e t h i s n o t i o n b e c a u s e i n c o r p o r a t i n g a r u l e i n a grammar w o u l d e l i m i n a t e c o m p l e t e l y t h e n o t i o n o f c o n s t r a i n t f r o m t h e t h e o r y . R o s s ' s u n i v e r s a l c o n s t r a i n t s a r e c r e a t e d t o r e m e d y t h e d e f i c i e n c e s o f h i s a n a l y s i s o f t h e d e e p s t r u c t u r e s . One o f t h e s e d e f i c i e n c e s i s R o s s ' s p r e f e r e n c e f o r e s t a b l i s h i n g c a t e g o r i e s r a t h e r t h a n r e l a t i o n s . 123 My p o i n t o f view on c o n s t r a i n t s d i f f e r s f r o m L a k o f f ' s and R o s s ' s . T r a n s f o r m a t i o n i s n o t a c o n s t r a i n t b u t a p o s i t i v e s t e p i n s e n t e n c e f o r -m a t i o n . I r e j e c t a l l f i l t e r i n g n o t i o n s from t h e grammar, and a l l n e g a t i v e a p p r o a c h e s such as b l o c k e d d e r i v a t i o n s , f i l t e r i n g s , c o n s t r a i n t s , and r e s t r i c t i o n s . I n s t e a d , I p r o p o s e a p o s i t i v e a p p r o a c h i n c o n s t r u c t i n g r u l e s which s p e c i f y t h e d e r i v a t i o n s b u t do n o t b l o c k them. T h i s a p p r o a c h i s n ot m e r e l y a change i n t h e t e r m i n o l o g y , b u t a change o f p e r s p e c t i v e . 1. P e r l m u t t e r ' s Deep C o n s t r a i n t s P e r l m u t t e r (1968) p o i n t s out t h a t some v e r b s have s p e c i a l p r o -p e r t i e s w hich impose some r e s t r i c t i o n s on t h e i d e n t i t y o f t h e s u b j e c t o r t h e complement o f an embedded s e n t e n c e . He s t a t e s (1967:6) t h a t a verb s u c h as persuadir ( p e r s u a d e ) can o n l y a l l o w f o r t h e embedding o f a s e n t e n c e complement, where t h e s u b j e c t and t h e complement a r e i d e n -t i c a l . 3 An Equi-NP c o n s t r u c t i o n : 1) Persuadi o Alberto que comegasse a trabalhar. (I p e r s u a d e d A l b e r t t o s t a r t w o r k i n g . ) 3 E q u i - N P E q u i v a l e n t Noun P h r a s e , i . e . t h e r e f e r e n t Noun P h r a s e i n t h e s u b o r d i n a t e c l a u s e i s t h e same as i n t h e main c l a u s e . NP Eu •persuadir Alberto trabalhar But t h e r e i s no p o s s i b l e d e r i v a t i o n i n such c o n s t r u c t i o n s as: *2) Persuadi o Alberto que (eu) comegasse a trabalhar. ( I p e r s u a d e d A l b e r t t h a t I s t a r t e d w o r k i n g . ) Where * = symbol used f o r a g r a m m a t i c a l s e n t e n c e s . 1 s NP VP Eu trabathar P e r l m u t t e r (1970:174) i n a n o t h e r example s u g g e s t s t h a t a v e r b such as aondesoender ( c o n d e s c e n d ) o n l y a l l o w s f o r t h e embedding o f a s e n t e n c e complement where the s u b j e c t o f t h e embedded s e n t e n c e i s i d e n t i c a l w i t h t h e s u b j e c t o f t h e main s e n t e n c e . A n E q u i - S u b j e c t c o n s t r u c -t i on: 3) 0 Jorge condescendeu a acompanhar a Maria. ( J o r g e c o n d e s c e n d e d t o accompany Mary.) 1 2 6 S NP VP Det N V S a Maria But there is no derivation for the sentence: * 4) 0 Jorge oondesoendeu a Maria a aoompanhd-lo. (Jorge condescended Mary to accompany him.) These examples show that a faulty grammar presupposes in its hypothesis the existence of this type of constraint. There are only rare cases where a language tolerates two identical occurrences of a sign in the deep structure. If these two identical occurrences are realized, each one has a representation in the surface structure. Therefore, Perl-mutter's analysis seems counter-intuitive. In my grammar, where two equivalent identities appear in the same sentence, the grammar takes the first occurrence and generates the other by means of rules. This grammar would a n a l y s e s e n t e n c e ( 1 ) , above, i n t h e f o l l o w i n g way: ( l 1 ) Persuadi o Alberto que comegasse a trabalhar. (I p e r s u a d e d A l b e r t t o s t a r t w o r k i n g . ) S VP s Not o n l y i s t h i s a n a l y s i s more e c o n o m i c a l t h a n P e r l m u t t e r ' s , b u t i t a l s o e x p l a i n s p e r f e c t l y why s e n t e n c e (21) - * Persuadi o Alberto que eu comegasse a trabalhar (I p e r s u a d e d A l b e r t t h a t I s t a r t t o work) -i s a g r a m m a t i c a l . I f t h e a u x i l i a t i o n t r a n s f o r m a t i o n i s a p p l i e d , t h e f o l l o w i n g d e r i v a t i o n w i l l t a k e p l a c e : come oar a trabalhar Alberto Then, by a p p l y i n g t h e t r a n s f o r m a t i o n o f complement f o r m a t i we have t h e c h o i c e between (3) o r ( 4 ) : 129 3) A d j u n c t i o n que + p r o n o m i n a l i z a t i o n : 4) D e l e t i o n Equi-NP + i n f i n i t i v i z a t i o n : persuadir, Det N come oar a trabalhar 0 Alberto S e n t e n c e (3) - Persuadi o Alberto que comecasse a trabalhar ( I p e r u a d e d A l b e r t t o s t a r t w o r k i n g ) - and s e n t e n c e (4) -Persuadi o Alberto a comecar a trabalhar ( I pe r s u a d e d A l b e r t t o s t a r t t o work) - a r e both s u r f a c e s t r u c t u r e s . 130 The s t r u c t u r e * (2), p r e s e n t i n g two i d e n t i c a l NPs, i s not a s t e r i l e s t r u c t u r e , b e c a u s e an o b l i g a t o r y R e l a t i v i z a t i o n t r a n s f o r m a t i o n w i l l a p p l y , f o l l o w i n g t h e complement f o r m a t i o n , and we w i l l have o n l y one p o s s i b l e d e r i v a t i o n : 5) Persuadi-me que comegasse a trabalhar. (I p e r s u a d e d m y s e l f t o s t a r t w o r k i n g . ) S NP VP come ear NP Eu trabalhar Such a n a l y s i s l e a d s t o t h e c o n c l u s i o n t h a t t h e r e i s no p l a c e f o r deep c o n s t r a i n t s i n a t r a n s f o r m a t i o n a l grammar. T h e i r p r e s e n c e i s t h e r e s u l t o f f a u l t y a n a l y s i s w h i c h l a c k s i m p o r t a n t g e n e r a l i z a t i o n s s u c h as t h e R e f l e x i v e and d i r e c t complement f o r m a t i o n . 131 2. Ross's C o n s t r a i n t s Ross (1967:114) has p r e s e n t e d t h e ' P i e d P i p e r C o n v e n t i o n ' d i s -c u s s e d below: 1) 0 govevno prescreve a espessura da letra da capa dos dossiers. (The government p r e s c r i b e s t h e t h i c k n e s s o f the l e t t e r i n g o f the c o v e r o f t h e f i l e s . ) S de dossiers 132 From t h i s c o n v e n t i o n , t h e y-movement t r a n s f o r m a t i o n e x t r a p o s e s f r o m t h i s c o n s t r u c t i o n any NP. F o r example, w i t h t h e a p p l i c a t i o n o f t h e R e l a t i v i z a t i o n t r a n s f o r m a t i o n , we c o u l d have t h e f o l l o w i n g s e n t e n c e s : 2) 0 governo que prescreve a espessura da letra eta capa dos dossiers abdicard em breve. (The government t h a t p r e s c r i b e s t h e t h i c k n e s s o f t h e l e t t e r i n g o f the f i l e s w i l l r e s i g n soon.) 3) A espessura da letra da capa dos dossiers que prescreve o governo nao chega a dez milimetros. (The t h i c k n e s s o f t h e l e t t e r i n g o f t h e c o v e r o f the f i l e s t h a t i s p r e s c r i b e d by t h e government i s l e s s t h a n t e n m i l l i m e t r e s . ) * 4) A letra da capa dos dossiers que o governo prescreve a espessura e" dourada. (The l e t t e r i n g o f t h e c o v e r o f t h e f i l e s , t h a t t h e government p r e s c r i b e s t h e t h i c k n e s s , i s g o l d . ) * 5) A capa dos dossiers que o governo prescreve a espessura da letra e preta. (The c o v e r o f the f i l e s , t h a t t h e government p r e s c r i b e s t h e t h i c k n e s s o f t h e l e t t e r i n g , i s b l a c k . ) * 6) Os dossiers que o governo prescreve a espessura da letra da capa, medem sete por cinco. (The f i l e s t h a t t h e government p r e s c r i b e s t h e . t h i c k n e s s o f t h e l e t t e r i n g o f t h e c o v e r , measure s e v e n by f i v e . ) A c c o r d i n g t o t h e " P i e d P i p e r C o n v e n t i o n , " t h e a p p l i c a t i o n o f t h e same t r a n s f o r m a t i o n w i l l a l l o w f o r t h e f o l l o w i n g a g r a m m a t i c a l d e r i v a t i o n s : * 7) A espessura que o governo prescreve da letra da capa dos dossiers nao chega a dez milimetros. (The t h i c k n e s s t h a t t h e government p r e s c r i b e s o f the l e t t e r i n g o f t h e c o v e r o f t h e f i l e s does n o t r e a c h t e n m i l l i m e t r e s . ) * 8) A letra que o governo prescreve a espessura da capa dos dossiers 4 dourada. (The l e t t e r i n g t h a t t h e government p r e s c r i b e s t h e t h i c k n e s s o f the c o v e r o f the f i l e s i s g o l d e n . ) 133 * 9) A capa que o govemo prescreve a espessura da letra de dos dossiers & preta. (The c o v e r t h a t t h e government p r e s c r i b e s the t h i c k n e s s o f t h e l e t t e r i n g o f t h e f i l e s i s b l a c k . ) Ross remarks t h a t f a u l t y d e r i v a t i o n s a r i s e each time t h a t t h e r e i s an e x t r a p o s i t i o n o f an NP, i f t h i s NP i s the most l e f t c o n s t i t u e n t o f a n o t h e r NP. He then s u g g e s t s a c o n s t r a i n t w hich p r e v e n t s t h e e x t r a -p o s i t i o n o f t h i s t y p e o f c o n s t i t u e n t . Ross (1967:114) names t h i s c o n -s t r a i n t " L e f t B ranch C o n d i t i o n . " F o r l a n g u a g e s such as E n g l i s h , t h i s c o n d i t i o n c o n c e r n s t he most l e f t c o n s t i t u e n t ; f o r l a n g u a g e s s u c h as Ja p a n e s e , i t c o n c e r n s t h e most r i g h t c o n s t i t u e n t . T h i s c o n d i t i o n i s c a l l e d " R i g h t B r a n c h C o n d i t i o n . " I t i s my o p i n i o n t h a t t h e r e i s no need f o r any o f t h e s e c o n -s t r a i n t s f o r the d e s c r i p t i o n o f a n a t u r a l l a n g u a g e . To a c c o u n t f o r Ross's example I p r o p o s e t h e f o l l o w i n g a n a l y -s i s : 1) 0 govemo prescreve a espessura da letra da capa dos dossiers. (The government p r e s c r i b e s t h e t h i c k n e s s o f the l e t t e r i n g o f t h e c o v e r o f t h e f i l e s . ) 134 In t h i s a n a l y s i s i t i s n o t n e c e s s a r y t o use t h e r u l e NP • NP ( N P ) , which i s e s s e n t i a l t o Ross's a n a l y s i s . The c o n s t i t u e n t s espessura, letra, capa, a r e n o t NP and t h e r e f o r e c a n n o t be e x t r a p o s e d by t h e y-movement t r a n s f o r m a t i o n . In the c a s e o f t h e R e l a t i v i z a t i o n t r a n s f o r m a t i o n , t h e r e a r e o n l y f i v e p o s s i b l e forms o f R e l a t i v i z a t i o n f o r t h i s s e n t e n c e , one f o r each NP. T h i s a n a l y s i s a l l o w s t h e e l i m i n a t i o n o f Ross's t y p e o f c o n s t r a i n t and g i v e s more s a t i s f a c t o r y r e s u l t s from t he u n i v e r s a l t h e o r y p o i n t o f view. The symbol F i s used t o d e s i g n a t e a c o n s t i t u e n t and t h e symbol Z i s used f o r l e x i c a l i n s e r t i o n , i t does n o t have any f u r t h e r e x p r e s s i o n . The c o n s t r a i n t f o r the e x t r a p o s i t i o n i n t h i s t y p e o f a n a l y s i s i s t h e one p r o p o s e d by Ross f o r the complex n o u n p h r a s e . As an exampl we p r e s e n t t h e c o m p a r i s o n o f a g e n i t i v e s t r u c t u r e a f t e r a p p l i e d t r a n s f o r m a t i o n , (a) NP Z NP de s t r u c t u r e , a f t e r t r a n s f o r m a t i o n , NP /\ 1 S NP F w i t h t h e r e l a t i v e ' ( b ) Both o f t h e s e s t r u c t u r e s a r e t h e r e s u l t o f a deep s t r u c t u r e : 136 The f o l l o w i n g s e n t e n c e s a r e i l l u s t r a t i v e examples o f (a) and ( b ) : 1) 0 pdssaro oanta. (The b i r d s i n g s . ) 2) 0 pdssaro que oanta. (The b i r d t h a t s i n g s . ) 3) A oanodo do pdssaro. The b i r d ' s song.) (1) (2) oanta pdssaro que oanta (3) 137 ds NP NP NP NP Z Z canaao pdssaro oangao passaro Ross c o n s i d e r s t h e s e s t r u c t u r e s as d i f f e r e n t . In t h e E n g l i s h v e r s i o n , he g e n e r a t e s d i r e c t l y f r o m t h e base t h e forms (2) and ( 3 ) . (2) (3) NP NP NP b i r d NP Gen song who s i n g s b i r d 's Where Gen = A g e n i t i v e c o n s t i t u e n t . 138 Ross's p r o p o s e d a n a l y s i s needs a c o n s t r a i n t . I t i s p o s s i b l e t o e s t a b l i s h an a n a l y s i s o f r e l a t i v e s t r u c t u r e s f o r a l l l a n g u a g e s , h a v i n g i n the base a sy s t e m o f n o t t o o d i f f e r e n t r u l e s . Ross's a n a l y s i s f o r J a p a n e s e o r P o r t u g u e s e and E n g l i s h o f t h e s e n t e n c e , T h a t c h i l d e a t s a b i g f i s h (Aquela crianQa come tun peixe grande), a r e as f o l l o w s : (1) J a p a n e s e o r P o r t u g u e s e a n a l y s i s S NP F Z NP Z sono aquela o o k i i NP grande S s a k a n a peixe 1 1 NP . F kodomo crianQa 1 Z sakana peixe t a b e t e i r u come (2) E n g l i s h a n a l y s i s The base r u l e s f o r J a p a n e s e o r P o r t u g u e s e a r e 1) S • NP F NP > S NP and t h e base r u l e s f o r E n g l i s h a r e : 2) S • NP F NP • NP S 140 I f the aim i s the c o n s t r u c t i o n o f a base which r e f l e c t s t h e common f a c t o r s f o r p r e d i c a t i o n o f a l l l a n g u a g e s , then i t i s my u l t i m a t e aim t o c o n s t r u c t a s y s t e m o f r u l e s a p p l i c a b l e t o E n g l i s h , P o r t u g u e s e , J a p a n e s e and e v e r y o t h e r l a n g u a g e . A f t e r t h a t , t r a n s f o r m a t i o n s w i l l a c c o u n t f o r t h e i r s p e c i f i c d i f f e r e n c e s . 3. P e r l m u t t e r ' s S u r f a c e C o n s t r a i n t s T h i s t y p e o f c o n s t r a i n t f i l t e r s d e r i v a t i o n s o f t h e grammar. T h e r e e x i s t s s e v e r a l v e r s i o n s o f t h i s t y p e o f c o n s t r a i n t : Ross ( 1 9 6 7 ) , L a k o f f ( 1 9 6 8 ) , P e r l m u t t e r ( 1 9 6 8 ) , L a n g a c k e r (1970) and o t h e r s . As an example I s h a l l c o n s i d e r P e r l m u t t e r ' s (1969) v e r s i o n . The s u r f a c e c o n s t r a i n t seems as c o u n t e r - i n t u i t i v e as Chomsky's f i l t e r i n g d e v i c e s . These s u r f a c e c o n s t r a i n t s a r e s upposed t o a c c o u n t f o r t he s t r u c t u r e s t h a t a r e c a p a b l e o f g e n e r a t i n g t o o l a r g e a number o f d e r i v a t i o n s , where some o f t h e s e g e n e r a t e d s t r u c t u r e s a r e marked as n o t w e l l formed. P e r l m u t t e r ' s s u r f a c e c o n s t r a i n t s a r e c l u m s y . W h i l e Chomsky's f i l t e r i n g r u l e s a c t on the deep s t r u c t u r e l e v e l , t h e s u r f a c e c o n s t r a i n t s a l l o w t h e d e r i v a t i o n t o t a k e p l a c e b e f o r e m a r k i n g t h e i l l - f o r m e d s t r u c -t u r e s . The u s e l e s s n e s s o f t h e s e s u r f a c e c o n s t r a i n t s i s e v i d e n t when we d e m o n s t r a t e t h e e x i s t e n c e o f a s y s t e m o f r u l e s o f a p o s i t i v e n a t u r e . The r u l e s o f t h i s s y s t e m , i f formed c o r r e c t l y , do n o t a l l o w f o r t h e g e n e r a t i o n o f i l l - f o r m e d s e n t e n c e s . P e r l m u t t e r ' s arguments i n f a v o u r o f s u r f a c e c o n s t r a i n t s on the S p a n i s h c l i t i c pronoun s y s t e m a r e n o t s a t i s f a c t o r y . F o r each t y p e o f s t r u c t u r e t h a t P e r l m u t t e r wants t o b l o c k , 141 t h e r e i s a n o t h e r s t r u c t u r e which can e a s i l y be d e r i v e d by t r a n s f o r m a t i o n s a l r e a d y i n t h e grammar. The i n f o r m a t i o n t h a t must be added t o t h e grammar t o r e a l i z e o b l i g a t o r i l y t he t r a n s f o r m a t i o n s where t h e y must be r e a l i z e d , does n o t c o m p l i c a t e t h e f o r m u l a t i o n o f t h e grammar. These c r i t i c i s m s and o t h e r s made about grammar d e v i c e s which have the f u n c t i o n o f f i l t e r i n g o r e l i m i n a t i n g t h e non-grammatical forms o f t h e l a n g u a g e , l e a d t o t h e p r o p o s a l o f a g e n e r a l c o n v e n t i o n . T h i s c o n v e n t i o n a s s u r e s t h a t where an i n t u i t i v e p r e d i c a t i o n o c c u r s i t e x i s t s i n t h e l a n g u a g e as a c o r r e s p o n d i n g grammatical form. The f u n c t i o n o f the grammar i s t o d e f i n e the form o f e v e r y g i v e n i n t u i t i v e p r e d i c a t i o n and n o t t o e x c l u d e t h e p r e d i c a t i o n s w i t h complex d e r i v a t i o n s . D. G e n e r a t i v e and I n t e r p r e t a t i v e S e m a n t i c s Chomsky s t a t e s t h a t the l o g i c a l n o t i o n o f p r i o r i t y has meaning o n l y i n t h e c o n t e x t o f a model which aims a t t h e p r o d u c t i o n o r t h e i n t e r p r e t a t i o n o f t h e u t t e r a n c e s o f the l a n g u a g e and n o t a t t h e i r c h a r a c -t e r i z a t i o n . G e n e r a t i v e and i n t e r p r e t a t i v e s e m a n t i c t h e o r i e s a r e opposed to each o t h e r by s e v e r a l p r i n c i p l e s which a r e n o t d i r e c t l y based on the d i s t i n c t i o n o f p e r f o r m a n c e / c o m p e t e n c e . These p r i n c i p l e s i n f l u e n c e the c o n s t r u c t i o n o f t h e model. An e x a m i n a t i o n o f t h e s e p r i n c i p l e s i s p r e s e n t e d h e r e . 142 1. S y n t a c t i c and S y n t a c t i c - S e m a n t i c F e a t u r e s W e i n r e i c h (1966:402) and McCawley (1968:265) have q u e s t i o n e d the v a l i d i t y o f t h e d i s t i n c t i o n made by Ka t z and Chomsky between seman-t i c and s y n t a c t i c f e a t u r e s . A c c o r d i n g t o K a t z the word ' b a l l ' (baile and bola) i n the f o l l o w i n g s e n t e n c e s c a r r y t h e two f e a t u r e s . 1) I o b s e r v e d t he b a l l r+ object-, L+ e v e n t J {Observei \ o baile \ ) ( a bola J 2) I a t t e n d e d t h e b a l l r- o b j e c t L- e v e n t J (Assisti ao baile) 3) I bounced t h e b a l l r+ object-, - e v e n t J {Fiz saltar a bola) K a t z s a y s t h e s e a r e s e m a n t i c f e a t u r e s w h i c h have a d o u b l e f u n c t i o n . In s e n t e n c e (1) the f u n c t i o n o f t h e s e s e m a n t i c f e a t u r e s i s t o desam-b i g u a t e t h e s e m a n t i c a m b i g u i t y . In s e n t e n c e s (2) and (3) t h e i r f u n c t i o n i s t o p r e v e n t t h e d e r i v a t i o n o f i l l - f o r m e d s e n t e n c e s s u c h a s : * 4) I a t t e n d e d t h e b a l l r+ o b j e c t - i >- e v e n t J {Assisti a. bola) A c c o r d i n g t o W e i n r e i c h , t h e f u n c t i o n o f s y n t a c t i c f e a t u r e s i s e x a c t l y t h e same as t h e f u n c t i o n o f t h e s e m a n t i c f e a t u r e s o f K a t z . Then, i n t h e s e n t e n c e , 5) T h i s s u b s t a n c e i s f a t {esta substanoia £ gorda), t h e p r e s e n c e o f the f e a t u r e s |+ N| o r |+ A d j . | p r e v e n t s a m b i g u i t y . In a s i m i l a r way, g i v e n t he f o l l o w i n g r u l e s S y NP VP 143 VP >£vt}NP NP • J o r g e , A l b e r t o , the v e r b s queixar-se ( c o m p l a i n ) , arrepender-se ( t o r e p e n t ) , atrever-se ( t o d a r e ) , do n o t have a' n o n - r e f l e x i v e f o r m , such as *queixar3 *arrepen-der3 *atrever - t h e r e f o r e , we c o u l d n o t d e r i v e from t h e s e forms t h e r e f l e x i v e forms by a R e f l e x i v i z a t i o n t r a n s f o r m a t i o n . These v e r b s must c a r r y i n the l e x i c o n t h e f e a t u r e |+ R e f 1 . | , which a l l o w s t h e i r s t a t u s t o be th e same as t h e v e r b s which a c q u i r e t h e s e f e a t u r e s by th e R e f l e x i -v i z a t i o n p r o c e s s . T h i s R e f l e x i v i z a t i o n |+ R e f l . | f e a t u r e a l l o w s f o r t h e d e r i v a t i o n o f t h e c o r r e c t f orms: queixo-me (I c o m p l a i n ) , arrependes-te (you r e p e n t ) , atreve-se (he d a r e s ) ; and does n o t a l l o w t h e d e r i v a t i o n o f th e i l l - f o r m s : *eu queixo3 *tu arrependes3 * ete atreve. T h i s r e f l e x i v e f e a t u r e i s n o t a s e m a n t i c f e a t u r e , b e c a u s e t h e synonym o f t h e s e v e r b s a r e n o t r e -f l e x i v e v e r b s . The synonym o f atrever-se i s ousar but n o t *ousar-se. The v e r b ousar t h e n c a n n o t c a r r y the f e a t u r e |+ R e f 1 . | . 1) Ousou mentir. (He d a r e d t o l i e . ) * Ousou-se mentir. I n h e r e n t f e a t u r e s such as |+ R e f l . | a r e d i s t i n g u i s h e d f r o m s e m a n t i c f e a t u r e s by th e f a c t t h a t t h e y b r i n g t o t h e s u r f a c e s t r u c t u r e a c h a r a c -t e r i s t i c f o r m , w i t h o u t a d d i n g a n y t h i n g t o t h e meaning o f t h e s e n t e n c e . In t h i s l i g h t , I p r o p o s e a n o t h e r t y p e o f f e a t u r e which o v e r l a p s s e m a n t i c s and s y n t a x , and comes from t h e r e f e r e n t . I t i s c a l l e d a ' r e f e r e n t i a l f e a t u r e . ' 144 As an example o f a ' r e f e r e n t i a l f e a t u r e , ' we c o n t r a s t t h e f e a t u r e male| w i t h t h e i n h e r e n t f e a t u r e |+ masc|. These w i l l be c l a s s i f i e d t h e same c l a s s o f f e a t u r e s as |+ R e f l . | . In t h e s e n t e n c e s : 1) Um bom estudante ndo falta nunoa as aulas ( A good s t u d e n t n e v e r m i s s e s c l a s s e s ) , 2) Uma boa estudante ndo falta nunoa ds aulas (A good s t u d e n t n e v e r m i s s e s c l a s s e s ) , 1) ndo falta nunoa ds aulas bom 2) ndo falta nunoa ds aulas boa estudante 145 the a t t r i b u t i o n o f a s e x w hich c h a r a c t e r i z e s s e n t e n c e (2) must be c o n -s i d e r e d as an o p t i o n a l p r e d i c a t i o n , though the g ender, i n t h i s c a s e , |+ masc| i s c o m p l e t e l y a f e a t u r e o f a s y n t a c t i c n a t u r e . T h i s f e a t u r e does not r e c e i v e any o v e r t r e p r e s e n t a t i o n i n the p r e d i c a t i v e s t r u c t u r e o f t h e s e n t e n c e . At t h e same t i m e the t y p e o f p r e d i c a t e w h i c h p r e s e n t s one u n ique f e a t u r e i s opposed t o the p r e d i c a t e s o f a p a r a d i g m a t i c seman-t i c s t r u c t u r e . These p r e d i c a t e s have a l e x i c a l r e p r e s e n t a t i o n , w h i c h j u s t i f i e s t h e d i s t i n c t i o n between s e m a n t i c and r e f e r e n t i a l f e a t u r e s . 2. L o g i c and S e m a n t i c S t r u c t u r e s G e n e r a t i v e s e m a n t i c s o f f e r s t h e s e two t y p e s o f s t r u c t u r e s -l o g i c and s e m a n t i c s . The l o g i c a l systems a v a i l a b l e a r e n o t a b l e t o r e p r e s e n t a s e m a n t i c s t r u c t u r e , e i t h e r a t t h e l e x i c a l o r p r o p o s i t i o n l e v e l s . The r e a s o n i s t h a t l o g i c i s n o t c o n c e r n e d w i t h a n a l y z i n g p r o p o s i t i o n s be-l o n g i n g t o the s y s t e m o f p o s s i b l e p r o p o s i t i o n s . L o g i c i s c o n c e r n e d , r a t h e r , w i t h d e t e r m i n i n g t h e t r u t h v a l u e o f p r o p o s i t i o n s . L o g i c i s c o n c e r n e d w i t h n e i t h e r a s m a l l a s p e c t o f t h e " s i g n i f i c a t i o n , " n o r w i t h t h e a n a l y t i c a l a s p e c t . W e i n r e i c h ' s (1961) and McCawley's (1967) attempts t o employ a p r e d i c a t e - c a l c u l u s s y s t e m t o r e p r e s e n t a s e m a n t i c s t r u c t u r e a r e as u s e l e s s as K a t z and F o d o r ' s a t t e m p t t o use B o o l e ' s l o g i c a l s y s t e m . L a k o f f (1970) i s now a t t e m p t i n g t o d e v e l o p a ' n a t u r a l l o g i c , ' w h i c h seems to be g o i n g i n the r i g h t d i r e c t i o n . F i l l m o r e , w i t h h i s p r e s u p p o -s i t i o n t h e o r y has c o n t r i b u t e d t o t h e r e s u r r e c t i o n o f the works o f t h e 146 ' o r d i n a r y l a n g u a g e p h i l o s o p h e r s ' and S e a r l e ' s (1968) t h e o r y o f "Speech A c t s , " i n s p i r e d by A u s t i n , has b r o u g h t new i d e a s i n t o t h e f i e l d . L e e c h (1969) has remarked t h a t t h e l i n g u i s t w o uld be b e t t e r o f f t r y i n g t o f o r m u l a t e h i s own l o g i c a l systems i n s t e a d o f t r y i n g t o a d a p t systems f r o m s c i e n c e s o t h e r t h a n l i n g u i s t i c s . A n o t h e r p r o b l e m t h a t l i n g u i s t s must a t t e m p t t o s o l v e i s t o r e c o g n i z e t h e l i m i t s o f s e m a n t i c s i n l i n g u i s t i c s . S e m a n t i c s c a n n o t a c c o u n t - as p r o p o s e d by L a k o f f (1970:354) - f o r " a l l p o s s i b l e words" i n a l l p o s s i b l e c o n t e x t s . S e m a n t i c s t r u c t u r e i s used as the i n t e p r e t a t i v e s e m a n t i c component o f my model. Then, I p r o p o s e a grammatical model w h i c h a c c o u n t s f o r t h e i n t u i t i v e n o t i o n o f " s y n t a c t i c w e l l - f o r m e d n e s s . " The t r a n s f o r m a t i o n a l r u l e s must be d i s t i n g u i s h e d and s e p a r a t e d from' the i n t e r p r e t a t i v e r u l e s o r t h e s e m a n t i c g e n e r a t i o n . The f u n c t i o n o f t h e t r a n s f o r m a t i o n a l r u l e s i s t o e s t a b l i s h an adequate l e v e l w h i c h i s i n t u i t i v e l y r e a l and i n d e p e n d e n t o f t h e s e m a n t i c l e v e l . I n k e e p i n g t h e s e two l e v e l s s e p a r a t e I a v o i d r e j e c t i n g t h e s e m a n t i c l e v e l . The s e p a r a t i o n o f t h e two l e v e l s does n o t i m p l y a t o t a l s e p a r a -t i o n o f s y n t a c t i c and s e m a n t i c phenomena. Some p r e d i c a t i o n s , s u c h as the r e f e r e n t i a l f e a t u r e s , a r e r e f l e c t e d i n t h e sequence o f " s i g n i f i e r s . " T h i s s e q u e n c e i s by d e f i n i t i o n t h e domain o f t h e s y n t a c t i c r u l e s . The p r o p o s e d grammatical model w i l l d e m o n s t r a t e t h a t t h e r e i s n o t a s e p a r a -t i o n o f s e m a n t i c s and s y n t a x e v e r y t i m e t h a t s e m a n t i c s p l a y a r o l e i n t h e 147 f o r m a t i o n o f a s y n t a c t i c form o f a s e n t e n c e . The s e m a n t i c s w i l l a c t w i t h i n the s y n t a c t i c r u l e frame. The form o f the m o d i f i c a t i o n i s always a f o r m a l r e a d y p r e s c r i b e d by a s y n t a c t i c r u l e , as t h e c a s e o f the r e -f e r e n t i a l f e a t u r e + male . T h i s f e a t u r e f i t s p e r f e c t l y i n t h e g e n d e r and agreement r u l e s w hich a r e r u l e s o f a s y n t a c t i c n a t u r e . In c o n c l u s i o n , t h e c r i t i c i s m s o f the t h e o r e t i c a l p r i n c p l e s and n o t i o n s d i s c u s s e d i n t h i s c h a p t e r c o n s t i t u t e the base on w h i c h I w i l l seek to e s t a b l i s h the f o u n d a t i o n s f o r the f o r m u l a t i o n o f my g r a m m a t i c a l model. I p r o p o s e t h e f o l l o w i n g n o t i o n s : 1) The c o n c e p t o f " p o s s i b l e p r e d i c a t i o n " as a n o t i o n o f p o s s i b l e i n t e r p r e t a t i o n f o r a g i v e n p r e d i c a t i o n . The d e f i n i t i o n o f t h e n o t i o n o f " p o s s i b l e p r e d i c a t i o n " i s hampered by t h e l i m i t a t i o n o f o u r p r e s e n t knowledge i n s e e k i n g t o d e f i n e t h e n o t i o n o f " e x p e r i e n c e ; " i t i s a l s o hampered by the l i m i t a t i o n o f l i n g u i s t i c s as a s c i e n c e , w h i c h s h o u l d n o t go beyond t h e n a t u r a l l i m i t s o f v e r b a l a r t i c u l a t i o n . 2) The n o t i o n o f " s i g n , " d e f i n e d as a minimal u n i t o f s e m i o t i c f u n c t i o n . I c o n c e n t r a t e on the c l a s s o f " s i g n s " which c a r r y a v e r b a l " s i g n i f i e r " ( s i m i l a r t o de S a u s s u r e ' s c o n c e p t i o n o f " s i g n " ) . 3) The e x i s t e n c e o f two systems o f i n t e r p r e t a t i v e r u l e s , where one s y s t e m i s based on the p r e d i c a t i o n o f g i v e n " s i g n i f i e d s " and w i l l be a b l e t o d e f i n e t h e n o t i o n o f i n t e r p r e t a t i o n o r p o s s i b l e i n t e r p r e -t a t i o n o f t h i s p r e d i c a t i o n , w hich i s c a l l e d s i g n i f i c a t i o n . The o t h e r s y s t e m i s b a s e d on a sequence o f g i v e n " s i g n i f i e r s " and w i l l be a b l e t o d e f i n e t h e n o t i o n o f p o s s i b l e f o r m o f t h i s s e q u e n c e . T h i s c o r r e s -ponds t o t h e a c c e p t a n c e o f Chomsky's n o t i o n o f g r a m m a t i c a l i t y . 148 4) The r u l e s w hich c a l c u l a t e the form o f the sequence o f t h e " s i g -n i f i e r s " may be o f two k i n d s : a) The r u l e s w hich c a l c u l a t e t h e s y n t a c t i c f o r m o f any s e q u e n c e , i . e . a s e n t e n c e - t h e s y n t a c t i c component; b) The r u l e s w hich c a l c u l a t e t h e p h o n e t i c form o f t h e s y s t e m o f " s i g n i f i e r s " - t h e p h o n o l o g i c a l component. 5) The s y n t a c t i c component p r e c e d e s the p h o n o l o g i c a l component, s i n c e the s y n t a c t i c c a t e g o r i e s p l a y an a c t i v e r o l e i n t h e d e t e r m i n a t i o n o f the p h o n o l o g i c a l form. 6) The n o t i o n o f i s o m o r p h i s m o f t h e s e m a n t i c and p h o n o l o g i c a l com-ponents j u s t i f i e d by t h e p a r a l l e l s between t h e i n t e r n a l s t r u c t u r e s o f the " s i g n i f i e r " and t h e " s i g n i f i c a t i o n . " These s t r u c t u r e s a r e r e p r e s e n t e d by m a t r i c e s o f d i s t i n c t i v e f e a t u r e s . 7) The s y n t a c t i c component does n o t have any. c o n s t r a i n t o r f i l t e r i n g r u l e t y p e , s i n c e t o e v e r y i n t u i t i v e g i v e n p r e d i c a t i o n c o r r e s p o n d s one p o s s i b l e g r a m m a t i c a l form. From t h e s e t h e o r e t i c a l n o t i o n s I c o n s t r u c t a model o f l i n g u i s t i c d e s c r i p t i o n . T h i s model s h o u l d be a b l e t o p r o v i d e a g u i d e f o r t h e d e s -c r i p t i o n o f e v e r y n a t u r a l l a n g u a g e . CHAPTER 4 PORTUGUESE SYNTACTIC PROPERTIES INTRODUCTION T h i s c h a p t e r p r e s e n t s t h e n o t a t i o n and base r u l e s f o r t h e model o f a P o r t u g u e s e grammar. T h i s model d e v i a t e s i n many a s p e c t s f r o m Chom-sk y ' s t r a d i t i o n a l t h e o r e t i c a l a p p r o a c h , and i n c l u d e s some i n n o v a t i o n s w h ich w i l l be commented on as t h e y a r e i n t r o d u c e d . I. NOTATION AND BASE RULES A. N o t a t i o n A new n o t a t i o n ^ i s a d o p t e d f o r t h e p r e s e n t a t i o n o f t h e r u l e s . T h i s new n o t a t i o n has t h e a d v a n t a g e o f p r o v i d i n g p r e c i s i o n f o r t h e f o r -m a l i z a t i o n o f t h e s y n t a c t i c d e s c r i p t i o n . The d e s c r i p t i o n i s p r e s e n t e d w i t h Friedman's n o t a t i o n a l s y s t e m , which has s e v e r a l a d v a n t a g e s . F i r s t , i t a l l o w s f o r a more p r e c i s e d e f i n i t i o n o f t h e t r a n s f o r m a t i o n o p e r a t i o n s and f o r an i n c r e a s e d number o f g e n e r a l i z a t i o n s . S e c ond, i t h e l p s p r e v e n t the e r r o r s o f p r e v i o u s works due t o t h e i n a c c u r a n c y o f s t r u c t u r a l d e s -c r i p t i o n . T h i r d , i t o f f e r s a more e l a b o r a t e i n v e n t o r y o f o p e r a t i o n s than t he ones p r e v i o u s l y a v a i l a b l e . T h i s s y s t e m c o m p r i s e s o p e r a t i o n s ^The n o t a t i o n used i n t h e p r e c e d i n g c h a p t e r s when commenting on o t h e r t r a n s f o r m a t i o n a l works was t h e c o n v e n t i o n a l n o t a t i o n used i n t h o s e works. 149 150 o f a d j u n c t i o n (Chomsky's t y p e ) , and a l a r g e s c a l e o f o p e r a t i o n s o f i n -c o r p o r a t i o n o r d e l e t i o n o f f e a t u r e s . F i n a l l y , Friedman's n o t a t i o n a l s y s t e m a l l o w s t h e i m p l e m e n t a t i o n o f t h i s grammar i n t o t h e computer t o v e r i f y the s y n t a c t i c r u l e s o f the grammar and t o g e n e r a t e new s e n t e n c e s . An e x p l a n a t i o n o f the fo r m a l c o n v e n t i o n s used h e r e i s as f o l l o w s . 1. S t r u c t u r a l D e s c r i p t i o n % V a r i a b l e A<B> A dominates B d i r e c t l y A/<B> A dominates B A-/<B> A does n o t do m i n a t e B (A, B) A o r B ( ( A , B ) ) A o r B o r n o t h i n g 2. T r a n s f o r m a t i o n a l O p e r a t i o n s a) ERASE 5 D e l e t i o n o f 5 i n t h e s t r u c t u r a l d e s c r i p t i o n b) 3 ALESE 5 A copy o f node 3 i s j o i n e d as a s i s t e r t o t h e l e f t o f node 5 and t h e o r i g i n a l node 3 d i s a p p e a r s : 1 c) 3 ARISE 5 d) 3 ALADE 5 idem, but at the right of node 5 idem, but as a last daughter node: 6 7 8 e) 3 AFIDE 5 f) 3 ACHLE 5 idem, but as a first sister node idem, but adjunction (Chomsky's type) at the left side of the node 5: 6 7 g) 3 ACHRE 5 h) 3 SUBSE 5 idem, but adjunction (Chomsky's type) at the right of node 5. the node 5 is replaced by the node 3 and the original disappears. 152 The o p e r a t i o n s ADLES, ADRIS, ADLAD, ADFID, ADCHL, ADCHR, and SUBST c o r r e s p o n d t o the o p e r a t i o n s ALESE, ARISE, ALADE, AFIDE, ACHLE, ACHRE, and SUBSE r e s p r e c t i v e l y , b ut w i t h o u t e l i m i n a t i o n o f t h e o r i g i n a l i ) |+A| MERGEF 3 j) |*A| ERASEF 3 k) |+A| SAVEF 3 The f e a t u r e |+A| i s j o i n e d t o t h e b u n d l e o f f e a t u r e s o f node 3. The f e a t u r e |+A| d i s a p p e a r s f r o m the b u n d l e o f f e a t u r e s o f node 3, and a l s o a l l t h e f e a t u r e s t h a t a r e i t s d e p e n d e n t s . A l l t h e f e a t u r e s o f t h e node 3 d i s a p p e a r , w i t h t h e e x c e p t i o n o f t h e f e a t u r e |+A| and a l l t h e f e a t u r e s t h a t a r e d e p e n d i n g on i t . 1) |*A| MOVEF 3 5 - The f e a t u r e |+A| goes t o the node 5, w i t h t h e v a l u e s t h a t i t has i n 3, as w e l l as a l l t h e f e a t u r e s t h a t a r e i t s d e p e n d e n t s . 3-The f e a t u r e |A| r e p l a c e s t he f e a t u r e |B| i n 3, k e e p i n g t h e v a l u e a o f B. m) |aA| SUBSEF 3. C o n d i t i o n s on t h e T r a n s f o r m a t i o n a l O p e r a t i o n s a) A & B b) A/B c) A, & B/C A & B,/C d) 3 TRM e) 3 NUL f ) 3 INCL |+A| C o n d i t i o n A and c o n d i t i o n B. C o n d i t i o n A o r c o n d i t i o n B. A and (B o r C) (A and B) o r C. The node i s t e r m i n a l . The node 3 i s n u l . The f e a t u r e |+A|is i n c l u s i v e i n 3. 153 g) 3 NINCL |+A The f e a t u r e |+A| i s n o t i n c l u s i v e i n 3. h) 3 DOM A The node 3 dominates A. i ) 3 NDOM A The node 3 does n o t dominate A. j ) 3 NDOMBY A The node 3 i s n o t dominated by A. k) 3 EQ 5 The nodes 3 and 5 a r e e q u a l . 1) 3 NEQ 5 The nodes 3 and 5 a r e n o t e q u a l . B. The Base Rules Base r u l e s c o n s t i t u t e a f i n i t e s y s t e m o f r u l e s i n d e p e n d e n t o f c o n t e x t , and p r e s e n t a r e l a t i v e l y f i x e d form where t h e o r d e r o f t h e r u l e s i s s t r i c t l y d e t e r m i n e d . They can always be r e p r e s e n t e d by a u n i q u e t r e e d i a g r a m which i s t h e p h r a s e - m a r k e r . In t h e S y n t a c t i c S t r u c t u r e s model, b a s e - r u l e s have t h e f u n c t i o n o f s u p p l y i n g t h e s t r a t u m o f t h e s y n t a c t i c s t r u c t u r e o f the s e n t e n c e and o f s u p p l y i n g t h e morphemes w h i c h f o r m t h e l e x i c a l s t r u c t u r e . A f t e r K a t z and P o s t a l (1964) a t h i r d f u n c t i o n , r e c u r s i v e n e s s , i s a s s i g n e d t o base r u l e s . Chomsky (1965) adds a n o t h e r f u n c t i o n t o b a s e - r u l e s : t h e e x p l i c i t d e t e r m i n a t i o n o f gr a m m a t i c a l f u n c t i o n s . How-e v e r , i n one o f the grammar v e r s i o n s p r o p o s e d by Chomsky ( s o l u t i o n I I ) , the base r u l e s do n o t e x e c u t e t h e i n t r o d u c t i o n o f l e x i c a l e l e m e n t s . In p o s t - A s p e c t s works, Chomsky (1967) and F i l l m o r e (1968) have e l i m i n a t e d from t h e b a s e - r u l e s t h e d e t e r m i n a t i o n o f gr a m m a t i c a l f u n c t i o n s . In my s t u d y t h e b a s e - r u l e s have o n l y two i m p o r t a n t f u n c t i o n s : A -> BC 154 1) t h e d e f i n i t i o n o f the n o t i o n o f p o s s i b l e s e n t e n c e i n terms o f a p h r a s e - s t r u c t u r e where the nodes r e p r e s e n t t h e gram-m a t i c a l c a t e g o r i e s ; 2) the i n c l u s i o n o f a r e c u r s i v e mechanism which w i l l a c c o u n t f o r t h e i n t u i t i v e n o t i o n o f c r e a t i v i t y o f the l a n g u a g e . My t h e o r y a d o p t s t h e s e p r i n c i p l e s f o r the form o f the b a s e - r u l e s , b u t r e j e c t s Chomsky's p o i n t o f view r e g a r d i n g t h e f u n c t i o n o f b a s e - r u l e s . The d i f f e r e n c e between my b a s e - r u l e s and Chomsky's c o n s i s t s i n t h e t y p e o f c o n s t i t u e n t w hich must be s p e c i f i e d by t h e s e r u l e s . I p r o p o s e t h a t what i s fundamental i n t h e deep s t r u c t u r e o f a s e n t e n c e , r a t h e r t h a n t h e c a t e g o r i e s , i s t h e n o t i o n o f g r a m m a t i c a l r e l a t i o n and, more s p e c i -f i c a l l y , t h e " c o n s t i t u e n t s o f r e l a t i o n " w hich a r e f o u r : s u b j e c t , p r e -d i c a t e , complement and p r e d i c a t i o n . T h i s c o n c e p t i o n i s b a s e d on two t h e o r e t i c a l p r i n c i p l e s . The f i r s t p r i n c i p l e t a k e s up t h e a n a l o g y be-tween the b a s e - r u l e s o f a g e n e r a t i v e t r a n s f o r m a t i o n a l grammar and t h e r u l e s o f f o r m a t i o n o f a f o r m a l s y s t e m . In t h e c o n s t r u c t i o n o f a f o r m a l s y s t e m a c o n v e n t i o n ( C a r n a p , 1947) e x i s t s a c c o r d i n g t o w hich s o m e t h i n g c a n n o t be a s s i g n e d t o t h e r u l e s o f f o r m a t i o n w h i c h can be r e a l i z e d by means o f d e d u c t i o n s . T h i s c o n v e n t i o n has t h e p u r p o s e o f l i m i t i n g t h e r u l e s o f f o r m a t i o n t o a v e r y s m a l l number, e x p r e s s i n g t h e maximum g e n e r a l i -z a t i o n s . The a d vantage o f a d o p t i n g t h i s p r i n c i p l e f o r t h e c o n s t r u c t i o n o f a grammar i s t o r e d u c e t h e number o f b a s e - r u l e s and t o e l i m i n a t e t h e t r a d i t i o n a l c a t e g o r i e s r a t h e r than t h e f u n c t i o n s . The s e c o n d p r i n c i p l e i s c o n n e c t e d w i t h t h e t h e o r y o f q u a s i - u n i v e r -s a l s . The l i n g u i s t a t t e m p t s t o c o n s t r u c t a model which can a c c o u n t f o r 155 most n a t u r a l l a n g u a g e s and w h i c h can make e x p l i c i t t h e e l e m e n t s t h a t most o f t h e l anguages have i n common. S t u d i e s on u n i v e r s a l s s u c h as G r e e n b e r g (1961-1963 and 1964-1966) and t h e works i n c o m p a r a t i v e l i n g u i s t i c s o f V i n a y and D a r b e l n e t (1958) show t h a t when t h e r e i s a s y n t a c t i c o p p o s i t i o n between l a n g u a g e s , i t i s a t the l e v e l o f g r a m m a t i c a l c a t e g o r i e s . The b e s t way t o e s t a b l i s h com-p a r i s o n s i s t o e s t a b l i s h what the l a n g u a g e s have i n common i n g r a m m a t i c a l r e l a t i o n s . G r e enberg's s y n t a c t i c u n i v e r s a l s a r e b a s e d a l m o s t e x c l u s i v e l y on t h e s u p e r f i c i a l o r d e r o f the c o n s t i t u e n t s o f r e l a t i o n . Where t h i s o r d e r i s e x p r e s s e d i n terms o f c a t e g o r i e s , as i n t h e o p p o s i t i o n p o s t -p o s i t i o n / a n t e - p o s i t i o n , he supposes a c e r t a i n e q u i v a l e n c e , w h i c h w i l l e q u a l t h e r e p r e s e n t a t i o n s u p p l i e d by my b a s e - r u l e s . The t h e o r y o f u n i -v e r s a l s has m o t i v a t e d the e l i m i n a t i o n , i n t h e b a s e - r u l e s , o f t h e d e t e r -m i n a t i o n o f c a t e g o r i e s w i t h t h e o b j e c t i v e o f e s t a b l i s h i n g t h e c o n s t a n t e l e m e n t s o f e v e r y n a t u r a l l a n g u a g e . These w i l l be c a l l e d " p r e d i c a t i v e s t r u c t u r e s . " On a b a s i s o f t h e two p r i n c i p l e s above t h e f u n c t i o n s o f t h e b a s e - r u l e s a r e d e f i n e d as f o l l o w s : 1) t o s u p p l y a p h r a s e - m a r k e r w h i c h e x p r e s s e s s i m u l t a n e o u s l y t h e s t r u c t u r e o f t h e r e l a t i o n s o f the s e n t e n c e i n terms o f t h e e l e m e n t s o f t h e p r e d i c a t i o n and i n terms o f t h e o n l y r e c o g n i z e d u n i v e r s a l c o n s t i t u e n t s w h i c h a r e " t h e p r o p o s i t i o n " and " t h e s i g n " ; 2) t o a c c o u n t , by means o f r e c u r s i v e r u l e s , f o r t h e c r e a t i v e a s p e c t o f t h e l a n g u a g e ; 156 3) t o make e x p l i c i t two t y p e s o f g e n e r a l i z a t i o n : a) one c o n c e r n i n g t he s y n t a c t i c p r o p e r t i e s s h a r e d by a l l n a t u r a l l a n g u a g e s , b) the o t h e r c o n c e r n i n g t he common p r o p e r t i e s o f some p r e d i c a t e s , i n d e p e n d e n t l y o f t h e i r m o r p h o l o g i c r e a l i z a t i o n . To a c c o u n t f o r t h e s e f u n c t i o n s I p r o p o s e t h e f o l l o w i n g b a s e -r u l e s : 1. P -> F (NP, P) 2. F + Z ((NP, P) NP) 3. NP - ( P , Z) The o r d e r o f a p p l y i n g t h e s e r u l e s i s s t r i c t l y d e t e r m i n e d and t h e o r d e r o f t h e symbols a t the r i g h t s i d e o f t h e arrow i s s i g n i f i c a n t . 1. Rule 1: P + F (NP, P) The i n i t i a l symbol "P" i s used t o r e p r e s e n t t h e t h r e e n o t i o n s : " p h r a s e , " " p r o p o s i t i o n " and " p r e d i c a t i o n . " These n o t i o n s a r e d i s t i n c t b u t n e v e r t h e l e s s a r e l i n k e d and p a r t i a l l y d e f i n e d by t h i s f i r s t r u l e . Chomsky has l i m i t e d t h e n o t i o n o f " s y n t a c t i c grammar" t o t h e "p h r a s e grammar." Most o f t h e grammars c o n c e i v e d i n a g e n e r a t i v e t r a n s -f o r m a t i o n a l frame have a d o p t e d t h i s d e l i m i t a t i o n , w i t h t h e e x c e p t i o n o f L a k o f f ( 1 9 6 9 ) . I f o l l o w t h i s d e l i m i t a t i o n and d e f i n e t h e s e n t e n c e as "the axiom o f t h e s y s t e m . " T h i s d e f i n i t i o n ; d o e s n o t i m p l y my b e l i e f t h a t t h e s y n t a c t i c p r o c e s s e s do not go beyond t he l i m i t s o f t h e s e n t e n c e , but r a t h e r t h a t I choose t o p l a c e t he s t u d y o f t h e s e p r o c e s s e s w i t h i n t h e 157 l i m i t s t h a t t h e s e n t e n c e c i r c u m s c r i b e s . Rule 1 g i v e s a d e f i n i t i o n o f P = " p r o p o s i t i o n " o r " S e n t e n c e " i n terms o f t h e two r u l e s w h i c h a r e im-p l i c i t : a) P -> F NP b) P F P From t h e p o i n t o f view o f t h e deep s t r u c t u r e f o r m o f t h e s e n -t e n c e , t h e s e r u l e s p r e s c r i b e t h a t a " s e n t e n c e " c o n s i s t s a t l e a s t o f two c o n s t i t u e n t s , where one i s a t t h e l e f t o f the o t h e r , and where t h e con-s t i t u e n t a t t h e r i g h t has two v a r i a b l e s : P and NP. The n o t i o n o f " p r o p o s i t i o n " i s r e s e r v e d f o r t h e d e s c r i p t i o n o f a P c o n s t i t u e n t d e f i n e d as x <P>, where x i s a c o n s t i t u e n t o r node o f the P-marker. T h e r e e x i s t s an a b s o l u t e i d e n t i t y between t h e p r o p o s i t i o n and t h e p h r a s e f o r m s , i . e . p r o p o s i t i o n s a r e by d e f i n i t i o n p h r a s e - f o r m s . R u l e 1 d e f i n e s t h e s e n t e n c e as " p r e d i c a t i o n , " c o m p r i s i n g t h e n o t i o n s o f " p r e d i c a t e , " r e p r e s e n t e d as P<_(NP, P)>, and " s u b j e c t " r e p -r e s e n t e d as P<F_>. 2. R u l e 2: F ->Z ( ( P , NP) NP) T h i s r u l e d e f i n e s F " p r e d i c a t e , " and condenses t h e f o l l o w i n g f i v e r u l e s : 1) F Z 2 The p r e d i c a t e F may be r e a l i z e d as an element Z, c a l l e d " s i g n . " The p r e d i c a t e F may be a s s i g n e d t o the s u r f a c e s t r u c t u r e by a v e r b , an The e l e m e n t Z c a l l e d " s i g n " i s t h e o n l y one t o a l l o w f o r l e x i c a l i n s e r t i o n . 158 a d j e c t i v e , an a d v e r b , o r th e l i k e ; as i n t h e f o l l o w i n g s e n t e n c e s , where th e p r e d i c a t e i s u n d e r l i n e d : a) Amariha vai dhover. (Tomorrow i t w i l l r a i n . ) b) 0 Jodo vem. (John i s coming.) c) Estd nervosa. (She i s n e r v o u s . ) d) 0 chefe geral S um bandido. (The g e n e r a l c h i e f i s a b a n d i t . ) e) Comega a mooa a dor gritos. (The g i r l s t a r t s t o scream.) 2) F ->ZP T h i s r u l e s p e c i f i e s t h a t t h e d i r e c t complement i s an embedded p r o p o s i t i o n i n the s e n t e n c e . Examples o f complement P a r e u n d e r l i n e d : a) Sai porque ouvi vozes. ( I went out b e c a u s e I h e a r d v o i c e s . ) b) Ao• dobrar a esqvina ouvi um barulho. ( T u r n i n g the c o r n e r I h e a r d a n o i s e . ) 159 c) A Helena cree que e" mentir a. ( H e l e n b e l i e v e s t h a t i t i s a l i e . ) 3) F •> Z NP NP T h i s r u l e s p e c i f i e s t h a t t h e d i r e c t complement and i n d i r e c t com-plement a r e r e p r e s e n t e d by two NP as i n the f o l l o w i n g s e n t e n c e : a) 0 Jodo devolveu o disco go seu dono. ( J o h n r e t u r n e d t h e r e c o r d t o i t s owner.) 4) F -> Z P NP . • T h i s r u l e s p e c i f i e s t h a t t h e d i r e c t complement i s a P and t h e i n d i r e c t complement i s an NP. An example i s the f o l l o w i n g s e n t e n c e . a) 0 policia prometeu-me que nao acontecia nada. (The p o l i c e m a n p r o m i s e d me t h a t n o t h i n g would happen.) T h i s R u le 2 has the p u r p o s e o f d e f i n i n g t h e f o l l o w i n g r e l a t i o n s : a) " d i r e c t complement o f " , n o t e d (NP, P) / F<Z _ %