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 , "
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Generative-transformational sketch of Portuguese syntax : a computer model Machado-Holsti, Mina Estrela 1974
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Title | Generative-transformational sketch of Portuguese syntax : a computer model |
Creator |
Machado-Holsti, Mina Estrela |
Publisher | University of British Columbia |
Date Issued | 1974 |
Description | This dissertation presents a grammar for the description of the principal syntactic structures of Portuguese in the general linguistic framework of generative-transformational theory. The grammar is a device which defines the semantically interpretable deep structure and the graphemically interpretable surface structure for a set of Portuguese sentences. When a human being hears an utterance, he uses his knowledge to understand it. This requires not only grammar but also his knowledge of words, the context of the sentence, and most important, his knowledge of the subject matter. To write a computer program which understands natural language, we need to understand what language is and what it does. Language can be approached as a set of mathematical rules and symbols, or as a system intended to communicate ideas. Language can also be viewed as a process of transforming a structure of concepts in the mind of the speaker into a string of sounds or written symbols, and back into concepts in the mind of the hearer or reader. In order to talk about concepts we must understand the importance of mental models. There is, of course, no way of actually observing the internal workings of a person's mind. The process of understanding a sentence has to combine grammar and reasoning in a closely interrelated manner. A computer model is not a detailed psychological theory of how a person interprets a language, but the present study reveals that there may in fact be a high level of isomorphism between the theory of language, the computer grammar and the individual's language. The first part of this dissertation presents a review of the current state of linguistic theory and a practical application of transformational grammar as a methodological preliminary. This survey is necessary in order to explain the adoption of certain principles which will serve as a theoretical framework for my Portuguese grammar. The examination of this body of theory also justifies the adoption or rejection of certain principles that underlie my conception of a formalized model of linguistic description. In presenting a description of the formal model of a grammar and the generation of its syntactic structures I examine the properties of different generative-transformational systems. The formal model, based on many aspects of linguistic theory, is a priori but testable against empirical phenomena. It has the features of a metalinguistic representation of linguistic elements and classes, with a mathematical, logical and linguistic notational system of operators and operations. This generative-transformational model is non-exclusive in that its formal postulates and operations include Boolean classification, in the sense that its symbols are elective. The computer model consists of a grammar format and algorithm for deriving sentences. The features of the model and the system include a formal description of the syntax of transformational grammar, a phrase structure scheme, a format for the lexicon and lexical insertion algorithm, and a language for specifying the traffic rules of the grammar. The model presented in the thesis has been shown to have the capacity to generate grammatical sentences. It is also able to predict phenomena in non-deviant expressions and to ascribe to them a structural description. The formalization of the syntactic rules of this model has been tested and verified with the help of an adaptation of J. Friedman's computer program. |
Genre |
Thesis/Dissertation |
Type |
Text |
Language | eng |
Date Available | 2010-01-28 |
Provider | Vancouver : University of British Columbia Library |
Rights | For non-commercial purposes only, such as research, private study and education. Additional conditions apply, see Terms of Use https://open.library.ubc.ca/terms_of_use. |
DOI | 10.14288/1.0093216 |
URI | http://hdl.handle.net/2429/19242 |
Degree |
Doctor of Philosophy - PhD |
Program |
Linguistics |
Affiliation |
Arts, Faculty of Linguistics, Department of |
Degree Grantor | University of British Columbia |
Campus |
UBCV |
Scholarly Level | Graduate |
AggregatedSourceRepository | DSpace |
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