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Tlingit phonology in a generative framework : an examination of phonological processes and abstract representation De Wolf, Gaelan 1977

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TLINGIT PHONOLOGY IN A GENERATIVE FRAMEWORK: AN EXAMINATION OF PHONOLOGICAL PROCESSES AND ABSTRACT REPRESENTATION by  GAELAN^/de WOLF B.A., University of B r i t i s h Columbia, 1971  A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARTS In THE FACULTY OF GRADUATE STUDIES Department of L i n g u i s t i c s We accept t h i s thesis as conforming to the required standard  THE UNIVERSITY OF BRITISH COLUMBIA August, 1977  GAELAN de WOLF, 1977  In presenting this thesis in partial  fulfilment of the requirements for  an advanced degree at the University of B r i t i s h 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.  Gaelan de Wolf  Department of  T.-mpn-i «t-i r s  The University of B r i t i s h Columbia 2075 Wesbrook Place Vancouver, Canada V6T 1W5  Date  /V?  /ff?  - ii -  ABSTRACT  The Saussurean Paradox described by Labov (1971), i n which "the s o c i a l aspect of language can be studied by the theorist asking himself questions, while the i n d i v i d u a l aspect can only be studied by a s o c i a l survey", apparently mirrors a predicament occurring i n the s t r u c t u r a l i s t and generative models of l i n g u i s t i c s . For, while descriptive and s t r u c t u r a l i s t l i n g u i s t i c models seek to mirror the r e a l i t y of p a r t i c u l a r languages, a generative model of l i n g u i s t i c s , i n a search f o r universals, attempts to discover the underlying r e a l i t y of a l l languages. Since an accepted raison d'etre of the current model of l i n g u i s t i c science i s to provide an explanatory basis for r e a l language, i t seems self-evident that both kinds of theories of language models are necessary:  the inductive decision procedures  of the reality-based structuralism, and the deductive discovery hypotheses of the m e n t a l i s t i c generative phonology. In the following Chapters, we s h a l l attempt to explain the phonology of a p a r t i c u l a r language, which has been previously achieved through decision procedures, while investigating the natural and universal processes which have been hypothesized to occur. Although we expect to make no decisions, or even discoveries, we hope to examine the f i t of the phonology of a transformational generative model to a p a r t i c u l a r language.  And, while testing the  model, we hope to explicate the phonology of a p a r t i c u l a r North American Indian language, T l i n g i t .  - iii -  TABLE OF CONTENTS Page CHAPTER I  Tlingit:  1.1  Language and Theory  The T l i n g i t Language  '  1  1.1.1  Location and Population  2  1.1.2  Dialect Divisions  4  1.1.3  Present and Future Speakers  5  1.1.4  L i n g u i s t i c and Ethnographic Studies  6  1.1.4.1 1.1.4.2 1.1.4.3 1.2  1  H i s t o r i c a l Accounts and Ethnographic Data  6  20th Century L i n g u i s t i c Studies  7  Comparative Controversy the Na-Dene Hypothesis  8  Theories, Models and Traditions  CHAPTER I I Descriptive Phonology  10  13  11.1  Characteristics of T l i n g i t Phonology  15  11.2  Consonants:  19  11.3  Vowels  11.4  11.5  Features and Arrangements  25  11.3.1  Vowel Realization  28  11.3.2  Phonemic V a r i a t i o n  30  The Syllable  31  II.4.1  34  Syllable Types  Preferred S y l l a b l e Structure  36  - iv Page. 11.6  11.7  Morpheme Structure Conditions  41  11.6.1  Redundancy  43  11.6.2  Constraints  43  11.6.3  Idiolectal Variation  48  Aufhebung or Neutralization 11.7.1 11.7.2  51  Neutralization i n Generative Phonology  52  Aufhebung i n T l i n g i t  53  11.8  Tone  54  11.9  Borrowing - Phonological Inloans  57  11.10 D i a l e c t a l V a r i a t i o n 11.10.1  Vocalic and Tonal Variation  62  11.10.2  Classifiers  64  11.10.3  I d i o l e c t a l V a r i a t i o n as a Dialect Feature  66  Other Features  67  11.10.4 11.11 Summary  69  CHAPTER I I I Phonological Processes 111.1  111.2  111.3  61  70  Standard Transformational Generative Theory  72  Naturalness i n Phonology  74  111.2.1  Markedness  76  111.2.2  Natural Phonology  77  111.2.3  Natural Generative Phonology  78  Consonant Devoicing  80  n  -  V  -  Page 111.4  Yod-Drop  81  111.5  Pre-Vocalic Stem Voicing  84  111.6  Assimilation: Harmony  85  111.6.1  L a b i a l i z a t i o n or Vowel  Labialization 111.6.1.1 111.6.1.2  111.6.2  After Rounded Segments  87  After Marked Segment /a/  90  Vowel Harmony - Rounding Assimilation 111.6.2.1  111.6.2.2  86  91  After Rounded Segments  92  After Segment /a/  93  111.7  Tone D i s s i m i l a t i o n  95  111.8  Rule Ordering  96  111.8.1  Linear Ordering  97  111.8.2  Refinements to Rule Ordering  99  111.8.3  No Ordering Hypothesis  101  111.8.4  Application of Rules  103  111.9  CHAPTER IV  Summary  Application and Approach i n Phonology  108  110  IV.1  Abstractness i n Phonology  112  IV.2  Morphophonemic Representation  113  IV.3  Approach  115  IV.4  Approach vs Application"  118  IV.5  Abstractness i n Methodology  120  - viPage IV.5.1  Root Marker  120  IV.5.2  I n i t i a l Vowel Method  125  IV.5.3  Absolute Neutralization  129  IV.6  Concrete Phonology  132  IV.7  Process Solutions  135  IV.8  Prosody  138  IV.9  Evaluation C r i t e r i a  139  IV.9.1  Simplicity  140  IV.9.2  Economy  141  IV.9.3  Naturalness  143  IV.9.4  Alternation  144  IV.10 Vowel Harmony Methodology  145  IV.11 Vowel Harmony Typology  146  IV.12 Abstract Treatment  148  IV.12.1  Root Marker  148  IV.12.2  I n i t i a l Vowel  151  IV.12.3  Absolute Neutralization  153  IV.13 Concrete Treatment  155  IV.14 Process Treatments  157  IV.15 Metatheory - An addendum  159  IV.16 Theoretical V a l i d i t y  163  IV. 17 Summary  165  Chapter V  Summary  167  V. l  Summary  167  V.2  Conclusions  169  - vii Page REFERENCES  171  APPENDIX  189  Chart I  T l i n g i t Vowel Chart  190  Chart II D i s t i n c t i v e Features Chart  190  Chart I I I T l i n g i t Vowel Markedness  191  Data Appendix  192  - viii- -  LIST OF TABLES AND CHARTS  Page  CHART I  18  CHART II  29  TABLE I  Table of T l i n g i t Phonological Processes  104  - ix -  ACKNOWLEDGEMENTS  I would l i k e to acknowledge, with thanks, the h e l p f u l suggestions of the members of my committee, Dr. R.J. Gregg, Head, Department of L i n g u i s t i c s ; Dr. M.D. Kinkade, Graduate Student Advisor, and thesis supervisor; and Mrs. Ingrida Brenzinger, Senior Instructor; and i n addition, to recognize the e f f o r t s of the t y p i s t , Donna Popovic, Department of Economics, Simon Fraser University.  - 11.0  Tlingit:  Language and Theory  1.1  THE TLINGIT LANGUAGE T l i n g i t , s t r i c t l y c l a s s i f i e d as a language i s o l a t e of the  proposed Na-Dene phylum i n the d i s t r i b u t i o n a l map of North American Indian languages (Voegelin and Voegelin 1966), i s the language of Tlingit-speaking peoples of what i s now southeastern Alaska, and the late pre-contact speech of bordering communities i n what i s now northwestern B r i t i s h Columbia and the Yukon (Drucker 1965, Naish 1966).  According to Wilson Duff's informant, William L.  Paul, Sr., the name T l i n g i t i s the contraction of a Tsimshian phrase meaning "from-place-of-tidal-waters-people" ( c f . Duff i n Oberg 1973, Pinnow 1976). Typologically, T l i n g i t phonology forms a part of the northwest coast l i n g u i s t i c d i f f u s i o n area which, ranging from Alaska to Central C a l i f o r n i a , includes the languages and superstocks of Athapaskan (Na-Dene phylum), Penutian, Salishan, Wakashan, Chemakuan, Ritwan (including Yurok and Wiyot), and Hokan (Haas 1969).  Structur-  a l l y , by Lehmann's (1972, 1973) typology (in which, according to p r i n c i p l e s of verb morphology, the object precedes the verb i n simple declarative sentences), T l i n g i t , , l i k e Athapaskan, i s a consistent OV language characterized by agglutination, postpositions, and the placement of r e s t r i c t i n g elements before r e s t r i c t e d elements, occasionally by vowel harmony and tone (v. Greenberg 1963, T a i 1972). Using Sapir's (1921) psycholinguistic terminology, T l i n g i t can be c l a s s i f i e d as polysynthetic i n concept and of agglutinativei s o l a t i n g technique. Of the s i x major grammatical processes l i s t e d  - 2 -  by Sapir (1921), which include word order, composition, a f f i x a t i o n , i n ternal modification and accentual differences, only reduplication, which i s otherwise common i n languages of the northern Northwest fusion area, i s generally lacking i n T l i n g i t .  Coast d i f -  In terms of verb morpho-  logy, detailed by Story (1966), the T l i n g i t verb complex shows evident similarity  to the verb composition of the Athapaskan  languages  (Swanton  1908, Sapir 1915, Hymes 1956, Pinnow 1964, 1965, Krauss 1965). Interestingly, T l i n g i t forms part of the P a c i f i c Rim isogloss which includes Chinese, Japanese, Korean, Ainu, Aleut, certain Northwestern Amerindian languages and Indonesian languages, and a number of PaleoSiberian languages i n possessing a phonemic system characterized by, at most, a single l i q u i d (Jakobson 1968). In addition to sections of the verb dictionary of Story and Naish (1973), the major grammatical studies of T l i n g i t include those of Boas (1917), Naish (1966) and Story (1966).  According to Krauss (1973), i n  terms of comparative work including Velten (1939, 1944), T l i n g i t i s a " r e l a t i v e l y bright spot" i n the Na-Dene language I.1.1  documentation.  Location and Population Situated at the northern end of the r i c h , sea-oriented Northwest  Coast c u l t u r a l area and l i n g u i s t i c d i f f u s i o n complex, T l i n g i t  territory,  which stretched f o r approximately 500 miles along the coast of Alaska from Yakutat at 60°N. l a t i t u d e to Ketchikan at 54°40' l a t i t u d e , was bounded immediately to the south by the Haida (language i s o l a t e ) on Prince of Wales Island and the Queen Charlotte Islands, to the southeast by Tsimshian (Penutian phylum), to the east by Athapaskan the west by Eyak (Eyak-Athapaskan  (Na-Dene), and to  family, Na-Dene phylum), Chugach Eskimo  and Aleut (Eskimo-Aleut) (Drucker 1955, 1965, Haas 1969, Oberg 1973).  - 3 -  Sixty years ago, the ethnographer and l i n g u i s t Swanton (1911:163) observed of the expansionist T l i n g i t : The T l i n g i t or Koluschan language i s spoken throughout southeastern Alaska, from Dixon entrance and Portland canal to Copper r i v e r , with the exception-of .the south end of Prince of Wales Island which i s occupied by Haida. An i n t e r i o r t r i b e of B r i t i s h Columbia, the Tagish, are said to belong to the same l i n g u i s t i c stock, but i t i s by no means certain that they have not adopted the language from their Chilkat neighbors. Such a change i s said,at any rate,to have taken place i n the language of the Ugalakmiut, or Ugalentz, of Kayak Island and the neighboring mainland, who were formerly Eskimo and have now become thoroughly T l i n g i t i z e d . Pinnow (1976) has i d e n t i f i e d the Ugalakmiut or Ugalentz with Eyak (v. Krauss 1965).  With regard to pre-contact location and population,  the ethnographer Averkieva (1971:321) has recently stated: At the time of the f i r s t European contacts, the T l i n g i t inhabited the southeastern coast of Alaska and the adjoining islands of Baranof, Chichagof, Admiralty, Kupreanof, among others. In addition, a small group of inland T l i n g i t l i v e d around Lake T e s l i n . The T l i n g i t comprised the largest Indian t r i b e of Russian America, numbering around 12,000. However, following the ravages of several disastrous postcontact smallpox epidemics i n 1787, fever i n 1819,  1848,  and 1855  1836,  and 1862,  and typhoid  (U.S. Federal F i e l d Committee 1968),  the 1880 Census (reported by Krause 1885)  revealed a number of  T l i n g i t subdivisions with a t o t a l population of 6,763.  Nevertheless,  according to de Laguna (1960), the northern T l i n g i t population was evidently never as large as that of neighbouring areas (cf. Powell 1966, Borden 1945).  1891/  - 4 -  1.1.2  Dialect Divisions The 1880 Census of Petroff (Swanton 1908)  l i s t e d the fourteen  qwan, or major t r i b a l subdivisions which formed the T l i n g i t federation, as Tongas (S), Sanya or Cape Fox (S), Henya (Klawak)  (S),  Kuiu (S), Kake (S), Sitka or Sumdum (N), Stikine (S), Taku (N), Auk  (N), Hutsnuwu or Killisnow (N), Huna (N), Chilkat (N), Yakutat  (N), and Hehl (Wrangell)  (S) (cf. Krause 1885, Pinnow 1966,  1970).  According to de Laguna (1960), a north and south c u l t u r a l f r o n t i e r and d i a l e c t a l isogloss of the o r i g i n a l t r i b a l groups was formed naturally by the waters of Frederick Sound which separated the Kuius, Kakes and other central tribes from the central Hutsnuwu or Angoon people, and the Sitka and other northern groups.  The  t e r r i t o r y of the Angoon people, the most southerly of the northern T l i n g i t , adjoined that of the southern Kake, the northern Huna and Sitka to the north and west, and on the east and northeast the Taku and Auk  (de Laguna 1960).  The inland T l i n g i t , considered to be T l i n g i t i z e d Athapaskans, are divided into three d i a l e c t groups, the Tagish, T e s l i n and A t l i n . According to McClellan (1953, i n Landar 1967:70 n.  93):  Tagish Indians number about 120. The native language i n general use now i s a T l i n g i t d i a l e c t which sounds "crooked" to the people of A t l i n and T e s l i n . The Tagish regard i t as a recently learned language which supplanted an Athapaskan d i a l e c t s t i l l preferred by some. This old Tagish speech seems to be close to Southern Tutchone and also to Tahltan. A recent U.S.  government survey (Federal F i e l d Committee  has l i s t e d the present-day  1968)  location of t r i b a l groups with their  - 5 -  native (underlined) and non-native community d i s t r i b u t i o n i n Alaska: Yakutat (Yakutat), Chilkat (Klukwan, Haines), Huna (Hoonah), Auk (Juneau), Taku-Sumdum (Douglas), Hutsnuwu (Angoon), Sitka (Sitka), Kaku (Kake), Stikine (Wrangell), Henya (Klawak), Sanya (Ketchikan), Tongas (Saxma'n) .  The Kuiu evidently have no descendants and the  present location of the Hehl i s unknown.  Drucker (1958) has discussed  the v i a b i l i t y of native Tlingit-language groups i n the towns and c i t i e s i n Alaska. 1.1.3  Present and Future Speakers Various estimates have been given of native speakers of T l i n g i t .  Chafe (1962, 1965) suggested a t o t a l of 2,000 speakers over the age of twenty i n Alaska, B r i t i s h Columbia and the Yukon with a l l but two hundred l i v i n g i n Alaska, while Pinnow (1966) offered an estimate of 1,000  to 2,000.  However, Krauss (1973) has offered a l i k e l y figure  of more than one thousand, mostly over the age of twenty. According to Naish (1966), monolingualism of children i n English has replaced the bilingualism of young adults on the coast, although Drucker (1958) noted that i n Indian-speaking communities l i k e Angoon and Hoonah younger people w i l l more generally speak T l i n g i t  than i n  the predominantly white communities of Juneau, Sitka and Ketchikan. An informant i n the T e s l i n lake area (Bob Fleming, interview, Toronto, 1971) has stated that most of the inland T l i n g i t now speak nonstandard or "Indian" English. Despite the fact that classes i n the T l i n g i t language are common i n Alaska native schools ,,wi"th a programme "of language learning and  - 6 -  native language teaching i n e f f e c t , the future survival of T l i n g i t i s doubtful, given the powerful and opposing forces of c u l t u r a l assimilation and non-assimilation (Krauss 1973, v. Drucker 1958, 1976). 1.1.4  L i n g u i s t i c and Ethnographic Studies  1.1.4.1  H i s t o r i c a l Accounts and Ethnographic Data  Averkieva (1971), following Krause 1885, has noted that h i s t o r i c a l accounts of contact between Europeans and T l i n g i t began i n the mid-eighteenth century. The Russian Bering-Chiricov expedi t i o n , of 1741, which f i r s t contained reports of T l i n g i t a c t i v i t y , was followed by Spanish, English or French data-gathering expeditions of Perez 1774, Quadra 1775, Cook 1778, La Perouse 1786, Dixon and Portlock 1787, Marchand 1790, and Vancouver 1792-1794. In the nineteenth century, the Russians L i s i a n s k i  1812,  Davidov 1810-1812, Lutke 1834, Wrangell and Veniaminov 1840 publ i s h e d ethnographic materials, while Krause 1885, Niblack 1890, Petroff 1881 and Anatoli 1906 detailed l a t e r studies (v. Averkieva 1971).  American accounts include anthropological and l i n g u i s t i c  data of Boas (1917), Swanton (1908, 1909, 1911), and the c u l t u r a l studies of Drucker (1955, 1965), G a r f i e l d 1947", McCleMan 1964; de Laguna  (1960, 1964), and the well-known work of the Canadians  Barbeau and Jenness 19327 - Thesesref erences"may be' obtained i n N  ;  Averkieva (1971).  - 7 -  The additional l i s t of T l i n g i t references suggested by Pinnow (1976) includes Rezanov 1805, G a l l a t i n 1836, Wrangell 1839, Scouler 1841, 1846, 1849,  Schott 1843, 1849, Buschmann 1856, 1857,  1858,  1859, 1860, D a l l 1877, Muller 1882, 1884, Grasserie (1902)J-Kelly and Willard 1905, Jones 1914, Goddard (1920), M i l l e r 1931, Harrington 1945, de Laguna (1953, 1954, 1972), McClellan 1953 and Jacobs  (1954).  To these references, Drucker (1958), Durlach 1928J"Oberg (1937, 1973), Olson  1967  and Oswalt 1966 may  also be added~(v. Duff i n  Oberg 1973).  Further recent studies include those of Florendo and  Dauenhauer 1971, Leer 1971, 1972, and Dauenhauer (1976) which are noted variously i n Krauss  1.1.4.2  (1973) and Pinnow (1976).  20th Century L i n g u i s t i c Studies  Boas' (1917) T l i n g i t grammar, following the e a r l i e r but somewhat inconsistent work of Swanton (1911), has been the most subs t a n t i a l account u n t i l the recent grammatical studies of Naish (1966) and Story (1966), although Velten (1939, 1944) published two analyses of a southern d i a l e c t (v. Landar 1967).  Naish and Story (1963) have also  published a useful E n g l i s h - T l i n g i t Dictionary:  Nouns, i n addition  to primers and r e l i g i o u s materials, while the Alaska Native Language Center, University of Alaska, has recently made available Story and Naish s 1  (1973) T l i n g i t Verb Dictionary.  Naish (1968) has also  introduced a set of beginner's lessons i n T l i n g i t  (Krauss 1973).  - 8 -  1.1.4.3  Comparative Controversy - the Na-Dene Hypothesis  The controversial issue of the relationship of T l i n g i t , Haida and Athapaskan was raised by Sapir (1915).  Naming the projected phylum  Na-Dene ( T l . na "people", Ath. dene "person, people"), Sapir concluded that "correspondences are of so intimate a character that mutual borrowing of words and morphological features seem out of the  question". However, Krauss (1973) has noted that the Na-Dene hypothesis  was suggested by Europeans i n the eighteenth century, much e a r l i e r than Sapir (1915).  For example, early attempts (Resanov  1805)  detailed i n Krauss (1964) disclosed s i m i l a r i t i e s among Eyak, T l i n g i t and Tanaina thought to be the r e s u l t of borrowing, while Wrangell's editors considered Eyak, T l i n g i t and Athapaskan to be related through widely divergent.  Radlov  .1858  thought Eyak might be related to  both Athapaskan and T l i n g i t and, with Buschmann, considered i t a l i n k between Haida and T l i n g i t , as did Boas  :1894.  Subsequently,  Swanton (1908) tentatively suggested a very distant genetic r e l a t i o n ship between Haida and T l i n g i t , perhaps descended from a common parent language such as Athapaskan, while the important paper of Sapir (1915) raised the issue of a genetic relationship based mainly on morphological rather than phonetic s i m i l a r i t y , an approach which Goddard  (1920) and Boas (1920, 1929) rejected (Hymes 1956).  Since 1950, a number of comparative papers on the subject of Na-Dene have appeared:  the work of Hymes (1956), Krauss (1964, 1965,  1968, 1969, 1973), and Pinnow (1962, 1964, 1966, 1968, 1970,  1976).  - 9 -  Noting that the existence of a Na-Dene relationship and the use of morphological c r i t e r i a f o r genetic relationship are ... h i s t o r i c a l l y i n t e r r e l a t e d problems Hymes (1956) published an i n t e r e s t i n g paper on the p o s i t i o n a l analysis of categories occurring i n verb stems i n Athapaskan, T l i n g i t , Haida and Na-Dene which established systematic morphological similarities.  Following the series of reasoned a r t i c l e s  by both Pinnow and Krauss on the Na-Dene question, Pinnow (1970) concluded that i t follows beyond question from Krauss' (1970) discerning a r t i c l e s that T l i n g i t and Eyak-Athapaskan are related; the p a r a l l e l s which Krauss brings forth rule out any other conclusion. Krauss, who i s more involved i n the f i e l d of Athapaskan languages generally, has taken longer to be convinced of any genetic relationship based on the s t r i k i n g typological s i m i l a r i t i e s . Recently, though, Krauss  (1975) has allowed f o r a distant r e l a t i o n c  ship of T l i n g i t to Athapaskan-Eyak^salthough ruling-out a r e l a t i o n ship with Haid'aii(cf. Levine,. 1973) through lack of phonological correspondence or grammatical s i m i l a r i t y .  Broader relationships  have been suggested f o r T l i n g i t or.'Na-Dene, including a-postulated Sino-Tibetan-Na-Dene of^Sapir and Morice (Shafer 1952, v.. Swadesh 1952); the Vasco-Dene including Basque, Wakashan, Kutenai, Japanese and Indo-European of Swadesh; and the Athapaskan-Tlingit-Yuchi-Souian of Haas (Krauss 1973).  - 10 -  1.2  THEORIES, MODELS AND  TRADITIONS  In discussing l i n g u i s t i c b l i n k e r s , which through r i g i d i t y retard the growth of an entire d i s c i p l i n e , Heiberg  may  (1973) has noted  that, i n a hierarchy of models, the culminating root model provides an o r i e n t a t i o n a l framework for an entire d i s c i p l i n e , while a t h e o r e t i c a l model i s merely description couched i n meta-language which provides a c r i t i c a l method of examining existing explanation. K e l l y (1971), noting p a r a l l e l s of thought i n the philosophical t r a d i t i o n of the mediaeval speculative grammarians with Chomsky's transformational grammar, has found that repeatedly "the needs and procedures of l i n g u i s t i c s have o s c i l l a t e d between description and explanation".  Tracing h i s t o r i c a l patterns i n l i n g u i s t i c thought  from the schoolmen to the present day, Kelly (1971: 250-251) has placed the model of generative grammar i n a l o g i c a l progression from s t r u c t u r a l ism i n the context of growth or philosophical a c t i v i t y versus  order  or systematization: After a period spent i n developing h i s t o r i c a l l i n g u i s t i c s , l i n g u i s t s followed de Saussure i n developing annew type of descriptive l i n g u i s t i c s which was based on observation of language behavior instead of analysis of written texts and l i t e r a t u r e . As this stream reached the height of i t s development, Chomsky brought to bear on t h e f f i e l d h i s own t r a i n i n g as a mathematician and philosopher. In discussing the h i s t o r y of descriptive l i n g u i s t i c s i n America (1900-1950), Teeter (1964: 199-201) has commented on t h e - l o g i c a l f a l l a c i e s evolving from the dogmatism of the post-Boasian structuralist traditions.  and  post-Bloomfieldian  From implications of Boas' work e x p l i c i t  i n Sapir has stemmed the t r a d i t i o n of f i e l d work i n which practice  - I l -  l s divorced from theory i n a view that " r e a l i t y can be approached without perceptions", while from the anti-mentalist theories of Bloomfield arose the d i s c r e d i t a t i o n of theory per se on the rationale that mind i t s e l f i s limited to input-output conditions. From these biases, since no appeal could be made to general theory, " j u s t i f i c a t i o n of a given analysis came to mean the specifying of the procedures used to arrive at a given result from the data", and theory was thus equated to practice.  Chomsky (1966),  however, has suggested that the present choice between a generative grammar and a descriptive grammar i s not genuine, since the l a t t e r i s simply "one aspect of the f u l l generative grammar . . . i t i s not a choice between competing systems, but rather a choice between a whole and a part". Though opposing views of m e n t a l i s t i c and anti-mentalistic thought may p e r i o d i c a l l y rule l i n g u i s t i c procedures  (v. K e l l y 1970),  i n the present study we intend to use the framework of transformational generative grammar as a t h e o r e t i c a l model to examine the phonology of T l i n g i t and, insofar as possible, to provide a description of certain phonological processes. In Chapter II and throughout, we examine T l i n g i t phonology making use of data and materials from Boas (1917), Naish (1966), Story (1966), and Velten (1939, 1944).  With the recently incorporated  acceptance of surface phonetic constraints, the phonemic system of surface contrasts i s explicated more simply within the framework of generative phonology.  In Chapter i l l we investigate the simple  - 12 -  phonological processes detailed by Boas which, according to Stampe's theory of natural phonology (an outgrowth of transformational generative grammar), are universal and natural.  In Chapter  IV  we  consider the issue of abstract representation raised by Kiparsky for generative phonologists, and we investigate the l e v e l of morphophonemic representation using an i n t e r p r e t a t i o n of vowel harmony to examine the unresolved controversy.  In Chapter V., we review b r i e f l y  the work of preceding Chapters, having discussed, without certain issues of t h e o r e t i c a l interest i n phonological  conclusion,  theory.  - 13 -  II.0  DESCRIPTIVE PHONOLOGY In this Chapter, a description of T l i n g i t phonology, using  primary data from Boas (1917) and Naish  (1966) and Story (1966)  with additional examples drawn from Velten (1939, 1944), w i l l be set out within the theoretical framework of generative phonology. The phonology presented w i l l f i r s t be discussed i n a r t i c u l a tory and descriptive terminology  to make p l a i n on a purely phonemic  l e v e l the number of surface contrasts occurring especially oh a consonantal plane for, as Schane (1971: 503) has suggested, c e r t a i n l i n g u i s t i c effects may  only be explained s a t i s f a c t o r i l y i n phonemic  terms: The phoneme as a v i a b l e phonological unit f o r capturing relevant surface contrasts has been rejected within generative phonology ... The h i s t o r i c a l phenomena of denasalization i n French, depalatalization i n Rumanian, d e l a b i a l i z a t i o n i n Romance, p a l a t a l i z a t i o n and l a b i a l i z a t i o n i n Nupe, and p a l a t a l i z a t i o n i n Japanese are due to surface contrast rather than to statable morphophonemic or phonetic processes. From these observations I conclude that the phoneme must be recognized as a phonological e n t i t y .  Atchison (1974) also, i n a diachronic study, has noted that certain sound changes i n p r e - c l a s s i c a l Greek may  be more adequately  characterized at the explanatory l e v e l by recognizing surface phonetic constraints or "output  conditions" i n addition to symmetricality of  arrangement or pattern congruity as part of a speaker's unconscious psychological r e a l i t y . Phonetic data used w i l l be drawn mainly from Boas' remarkable pre-phonemic study i n the Chilkat d i a l e c t , although supplemental  - 14 -  phonological materials w i l l be based on the more recent work of Naish and Story who framework.  use an adapted Bendor-Samuel model i n a tagmemic  While other references w i l l be c i t e d , any analysis of  T l i n g i t within an adequate l i n g u i s t i c context obliges primary r e l i ance upon these works. Boas' data, the r e s u l t of two months' work with his e r r a t i c but b r i l l i a n t informant, Louis Shotridge  (v. Duff's Foreword i n Oberg  1973), unlike the data of John R. Swanton (1908, 1909,  1911), some  of whose findings appear i n the Handbook of American Indian Languages (1911), are phonetically secure.  According  to H.V.  Velten (1939: 65):  For establishing d i a l e c t a l differences only Boas' description of northern speech can be u t i l i z e d with safety. E a r l i e r material and Swanton's t r a n s c r i p t i o n , as well as his grammatical analysis, are often inaccurate. For example, he disregards pitch altogether; he f a i l s to distinguish between the g l o t a l i z e d voiceless l a t e r a l spirant 1' and the corresponding a f f r i c a t i v e t l ' ; arid he uses a single symbol for the g l o t t a l ized velar s t o p ^ ' , and the g l o t t a l i z e d p a l a t a l and velar spirants x and x, which are a l l c l e a r l y distinguished i n southern as well as northern T l i n g i t . However, Boas includes i n his Notes a good deal of Swanton's material i n corrected form.  U n t i l the recent work of Naish and Story, Boas' work i n the f i e l d has offered the most complete and r e l i a b l e material available (v. Landar 1967:  62 n.6).  However, c e r t a i n flaws i n Boas, noted i n  Pinnow (1968: 205), for example, the f a i l u r e to e s t a b l i s h the root v a r i a t i o n which occurs i n the verb, have been corrected  extensive and  extensively amplified i n Story. For T l i n g i t , the most recent, thorough-going and work has been that of Naish and Story. d i a l e c t , t h e i r work represents  consistent  Based on the Angoon or central  the most comprehensive attempt to  - 15 -  construct a lexicon for T l i n g i t  (1963, 1973), i n addition to phono-  l o g i c a l and syntactic processes i n the contemporary context.  While  their 1966 work remains unpublished, extensive notes for this paper have been made from the o r i g i n a l manuscripts at the University of London. II.1  CHARACTERISTICS OF TLINGIT PHONOLOGY B r i e f l y , according to Story, the T l i n g i t phonological system  may be characterized as possessing some forty-two consonant phonemes (in some i d i o l e c t s , f o r t y - f o u r ) , consisting of: 37 obstruents:  stops, a f f r i c a t e s and f r i c a t i v e s ;  3 sonorants:  a nasal and two semi-vowels; and  2 laryngeals:  a g l o t t a l stop and f r i c a t i v e .  In some i d i o l e c t s , depending on rounding, there are four laryngeals. As Velten (1944: 168) has suggested: The consonant system i s rather i n t r i c a t e and unusual. There are no l a b i a l stops, spirants or nasals, but on the other hand there exist no less than ten rounded (or l a b i a l i z e d ) back consonants. However, Velten (1944: 169) has noted:  1  Boas' (1917:9) chart indicates a t o t a l of 41 consonants. Although the g l o t t a l stop i s not marked, a bracketed p a l a t a l sonant y occurs. According to Naish (1966:222): "The g l o t t a l stop i s phonemic i n i n t e r v o c a l i c position within a stem or i n i n i t i a l position i n a stem whose f i r s t s y l l a b l e i s the tonic s y l l a b l e of the tone group. In other environments the g l o t t a l stop i s f a c u l t a t i v e . "  - 16 -  If the number of T l i n g i t consonants seems, therefore, f a i r l y high, i t should be remembered that a comparison of the r e l a t i v e wealth or poverty of phonological systems i s a matter of counting, not the phonemes, but the d i s t i n c t i v e features. Actually, the T l i n g i t consonant system has only two more such features than has English. These are the g l o t t a l i z a t i o n and rounding, i . e . opposition of the type /k - k/ and /k - k /. u  There are eight vowel phonemes which may be marked by high or low phonemic tone. Typologically, the consonantal phonology i s remarkable for the complete absence of l a b i a l s , and f o r the lack of voiced spirants, a factor o r i g i n a l l y noted i n Boas.  In terms of Northwest Coast  areal phonology, Mary Haas (1969: 85-9) has stated that the most s t r i k i n g features of the complex consonant system i n T l i n g i t are the series of labi6=velars?cba"Gklve0iars]oglotta'la!zedostop's', notably the occurrence of g l o t t a l i z e d spirants, and the appearance of l a t e r a l a f f r i c a t e s and spirants.  In a recent paper, Kinkade (1976, Table II)  found as a d i f f e r e n t i a t i n g feature of the proposed "Na-Dene" from their neighbours immediately to the south the contrast of alveolar and p a l a t a l a f f r i c a t e - s p i r a n t positions i n T l i n g i t , Eyak, Carrier and C h i l c o t i n . Shown i n Chart I (adapted from Naish), the consonantal phonemic system i s remarkable also f o r the number of stop and manner oppositions, the presence of fourteen g l o t t a l i z e d phonemes including s i x strongly g l o t t a l i z e d f r i c a t i v e s , an almost f u l l set of l a t e r a l s , and twenty back consonants, rounded and non-rounded.  There i s a single  nasal which according to Troubetskoy (1957: 189) i s noteworthy i n that:  - 17 -  Parmi les langues que nous connaissons seul l e t l i n g i t pre"sente un rapport oppositionnel i s o l e 'occlusivenasale' (d-n), n. £tant i c i l a seule nasale et l a classe de l o c a l i s a t i o n l a b i a l e n'existant pas.^ According to data taken from Naish (1966: 19-21) and  Story  (1966: 14-19), phonemes have the following phonetic r e a l i z a t i o n s : The simple alveolar stops /d, t, t/ are somewhat fronted phonetically. The a p i c a l a f f r i c a t e s and f r i c a t i v e s /dz, c, c, s, s/ are a r t i c u l a t e d with the t i p of the tongue and have a grooved s i b i l a n t release. v  A y •  v  v  The laminal a f f r i c a t e s and f r i c a t i v e s / j , c, c, s/, phonet i c a l l y palato-alveolar, are a r t i c u l a t e d with the blade of the tongue. They have a grooved s i b i l a n t release. The l a t e r a l a f f r i c a t e s and f r i c a t i v e s A , 9t, X, 1, i / , l a t e r a l release-,;-are .not •'noticeablyi' .clear or dark.  with  Uvulars, not f a r removed from back velar p o s i t i o n , are a r t i c u l a t e d at the back of the soft palate. According to Velten (1939: 66) for the Klawak d i a l e c t : "The p a l a t a l spirant x i s a r t i c u l a t e d s l i g h t l y further back than the ch i n German i c h , the s i b i l a n t c_ a t r i f l e further back than the English sh." The  simple velars and uvulars are unrounded.  The l a b i a l velars and uvulars are a r t i c u l a t e d with simultaneous rounding. Nasal /n/ i s alveolar i n a l l positions. The p l a i n stops are frequently l i g h t l y voiced i n t e r v o c a l i c a l l y and elsewhere. The glides are p a l a t a l lyl  2  and labiovelar  /w/.  However, Velten (1944: 169 n.8) suggests: "The opposition i s not a c o r r e l a t i o n since i t has no p a r a l l e l i n T l i n g i t . "  /n-d/  CHART I Alveolar Position  Simple  Apical  Stop  Velar  Laminal  Lateral  Simple  Uvular  Round  Simple  Glottal  Round  Simple  Round  ?  (? )  h  (h )  Affricate V  Plain STOP  Asp. Glott.  d  dz  t  c  c  A  5  5  5  5  t  c  c  *  Plain  S  Glott.  5 S  Nasal  h  FRIC  X  j  S  g  g  w  k  k  w  y  g  w  q  q  w  5  5  k  k  5  5  w  q  q  w  i  X  x  w  X  x  w  5 ±  5 X  5 X  5 X  5 x  SON Semi Vowel  g  W  Data taken from Naish (1966: 19-21) and Story (1966: 14-19).  .  W  . w  w  w  - 19 -  P l a i n f r i c a t i v e s are voiceless and unglottalized. At s y l l a b l e f i n a l , the contrast between p l a i n and aspirated stops and a f f r i c a t e s i s neutralized. Stops and f r i c a t i v e s that are g l o t t a l i z e d have almost simultaneous g l o t t a l closure. The simple uvular f r i c a t i v e has an uvular t r i l l variant. The g l o t t a l i z e d uvular stop may occasionally have a f f r i c a t e release. The p l a i n f r i c a t i v e s are always voiceless and unglottalized; occasionally aspirated w o r d - i n i t i a l l y . In certain environments the p l a i n alveolar f r i c a t i v e s , as noted later, may be s y l l a b i c .  II.2  CONSONANTS:  FEATURES AND ARRANGEMENTS  Although there are several possible arrangements of consonants, the Chart adapted from Naish (1966) i s p a r t i c u l a r l y neat, showing the three series of phonemically opposed alveolar a f f r i c a t e s and the manner range of back and alveolar consonants. There are three pure stop positions, alveolar, velar and uvular, whichHoicleetlt (1955: 103) analyses: 3 pure stops:  t  -  2 colour modified: 3 a f f r i c a t e positions:  k k  c  q w  w  q  V  C  A four-way modification of simple stop with three a f f r i c a t e d stops, a p i c a l , laminal and l a t e r a l , occurs at the alveolar  3  Back consonants are termed velars and uvulars by Naish (1966) and Story (1966); palatals and velars by Boas (1917), Swanton (1911), Jacobs (1954), and Velten (1939, 1944). Whether t h i s i s a question of terminology or acoustic v a r i a t i o n i s not made clear i n Jacobs, pp. 47-50. See also Kinkade (1976: 3, 9) whose terminology i s pre- and post-velar. According to Kinkade, at the phonetic l e v e l only, T l i n g i t ( l i k e Haida) has a p a l a t a l i z e d k series of pre-velar obstruents.  - 20 point.*  Using the markedness feature system of Chomsky and Halle  (1968), this four-way modification may be distinguished as follows  simple alveolar  J  +ant  apical affric.  +ant , laminal alveolar +del rel  -ant +cor  lateral alveolar  lat rel — —' +  It should be noted, however, that i n distinguishing a s i m i l a r series of coronal contrasting non-continuants i n N i t i n a t , Klokeid  (1975: 90)  has used, besides coronal, the f i v e features of [+ delayed release], [+ forward=anterior],  [+ l a t e r a l ] , [+ high], and [+ d i s t r i b u t e d ] .  L a t e r a l a f f r i c a t e s and spirants are distinguished by the features [+ continuant], glottis].  [+ forward],  [+ s t i f f vocal cords], and [+ spread  At velar and uvular points, colour modification (rounding)  provides two extra positions of l a b i a l i z e d velar and uvular. 4  Welsch (1976: 291) distinguishes l a t e r a l a f f r i c a t e s and spirants i n Hydaburg Haida by the use of the features [+ high], [+ back], and [+ continuant]. In the s t r u c t u r a l i s t p o s i t i o n , j u s t i f i c a t i o n f o r treating l a b i o velars and a f f r i c a t e s as simple phonemes i s offered by Troubetskoy (1957: 61): " S i dans ces langues des groupes phoniques comme ph, th, kh, ou pf, t s , kx, ou tw, kw, etc., peuvent se trouver a l ' i n i t i a l e , i l est c l a i r alors q u ' i l s doivent etre consideres comme des r e a l i s a t i o n s de phonemes simples (consonnes aspirees, affriqueesj l a b i a l i s e e s , e t c . ) . Cela vaut par ex. pour l e s groupes t s , dz, t s , dz du t l i n g i t . . . " And Velten (1944: 169): "We have represented the a f f r i c a t i v e s as single phonemes. For i f they were to be considered as di-phonematic, we should have to state that T l i n g i t possesses the phonemes */z/, /z/ and / l / (occurring only a f t e r /d/), a somewhat absurd assumption which would lead to unnecessary complications."  - 21 -  There i s a five-way manner contrast of p l a i n , aspirated and g l o t t a l i z e d stop; p l a i n and g l o t t a l i z e d f r i c a t i v e at the a p i c a l , laminal and l a t e r a l alveolar a f f r i c a t e points, and at the velar and uvular (rounded and non-rounded) positions. ~* The three-way stop opposition at the s i x points of a r t i c u l a t i o n i s of p l a i n (unmarked) unaspirated, unvoiced stop vs.aspirated; voiceless stop vs g l o t t a l i z e d voiceless stop.  Although voicing i s  c l e a r l y non-distinctive and redundant (Naish 1966: 21), p l a i n stops may occur l i g h t l y voiced i n i n t e r v o c a l i c p o s i t i o n or occasionally at s y l l a b l e onset.  With regard to the feature voicing, Anderson  (1974: 303) has suggested: "The feature [+ voice] occurs i n a large number of r u l e s , and i t s interpretation varies from language to language. It provides a parameter distinguishing 'more voiced from 'less voiced' sounds i n any given language . . . Thus the voiceless series of one language may be e s s e n t i a l l y the same as the voiced series of another. Generally some combination of g l o t t a l width and vocal-cord s t i f f n e s s i s involved, and some configurations are c e r t a i n l y t y p i c a l of voiced sounds while others are t y p i c a l of voiceless sounds." 1  5  Hockett (1955: 105) has noted that five-way manner contrasts are of two types only: (1)  voiceless unaspirated stop (sometimes g l o t t a l i z e d ) , aspirated stop, voiced stop, voiceless spirant, and voiced spirant; and  (2)  unaspirated stop (sometimes voiced), aspirated stop, g l o t t a l i z e d stop, voiceless spirant, and voiced spirant.  T l i n g i t would thus f i t into a sub-type of (2) because of the stop opposition, forming a separate sub-type because of the voiceless vs. g l o t t a l i z e d s p i r a n t a l opposition.  - 22 In terms of d i s t i n c t i v e features, however, the opposition could perhaps be captured by using the features aspiration and g l o t t a l closure, for example, unmarked /A/ would be:  asp glott clos  /d/  Itl  + asp - glott clos  Features of [+ tense] and  It/  - asp + glott clos  [+ heightened sub-glottal pressure] might  be used instead, as suggested by Chomsky and Halle (1968), or the features of [+ s t i f f vocal cords], [+ slack vocal cords], [+ spread g l o t t i s ] , and  [+ constricted g l o t t i s ] u t i l i z e d by Klokeid for the  N i t i n a t feature system.  However, using laryngeal features of  tenseness and aspiration introduced by Halle and Stevens (1971, i n Anderson 1974:  301-2) instead of the features above, the three-way  stop opposition could be depicted  Id/  +  spread g l o t t i s constr g l o t t i s s t i f f voc cords slack voc cords  ,  Itl  + + -  as: spread g l o t t i s constr g l o t t i s s t i f f voc cords slack voc cords  Itl  + + -  spread g l o t t i s constr g l o t t i s s t i f f voc cords slack voc cords  Lacking from the symmetry of the Chart i s g l o t t a l i z e d Is/ laminal alveolar p o s i t i o n .  at  the  For this Chart, with the exception of the  voiced l a t e r a l , a complete set of l a t e r a l s occurs.  Concerning l a t e r a l  a r t i c u l a t i o n as a contrastive pointy, Troubetskoy (1957: 157-8) has suggested: En e f f e t du point de vue phonologique 1 ' a r t i c u l a t i o n l a t e r a l e ne peut etre consideree comme une p a r t i c u l a r i t y de l o c a l i s a t i o n que s i e l l e est propre a plusieurs phonemes dont l e s autres marques d i s t i n c t i v e s sont semblables aux p a r t i c u l a r i t e s de mode de franchissement  - 23 -  presentees par l e s phonemes d'autres series fondamentales (ou apparentees) appartenant au meme systeme (comme c'est l e cas par ex. en pedi, en sandave, en t l i n g i t , en chinook, en adyghe, en avar, etc.). Only one nasal, alveolar /n/, occurs.  Laryngeals /?K/ and /h / w  are bracketed since these phonemes vary i n occurrence with idiolect.'' There are two semi-vowels, p a l a t a l and labiovelar /y/ and /w/.  A  voiced pos.fe«palafcal*aspirantef.kb:tadketed?oin- "Boasv'^tcharli.yas (y), has since disappeared and merged with /y/ (v. Pinnow 1976). The problem of the merging and disappearance of the sole voiced spirant i s an interesting one, noted by both Boas (1917) and Swanton (1908). Thissyoicgdlspiranfed(for which we useothe/IPA symbolt/x/) evidently occurred ihi;thei'SG)utherhadialect-srcircall§llv'bufeewas replaced by the glide /y/.  inetheaprocess of being  In northern d i a l e c t s , the merging of the  voiced post-palatalaspirarit^and^thetpalafialUiglideahad-already occurred, not a trace appearing i n the speech of Boas' Chilkat informant whereas Boas (1917: 9) reports "In 1886 I heard i t d i s t i n c t l y and without any tendency to merge into y when taking down notes from a Stikine  A single nasal i s not unknown i n the phonology of American Indian languages. See Hockett (1955: 119) where: "Tillamook, and most or a l l of the Iroquoian languages (Seneca, Oneida, Cherokee, Mohawk) have no l a b i a l consonants, and only one nasal /n/." For laryngeals, see Naish (1966: 21) and Story (1966: 19). Rounded laryngeals, evidently f i r s t noted by Naish and Story, occur i d i o l e c t i c a l l y i n only a few words. According to Story: "In some i d i o l e c t s l a b i a l i z e d g l o t t a l stop and f r i c a t i v e occur i n certain l e x i c a l items where the simple g l o t t a l phonemes occur i n other i d i o l e c t s . "  - 24 -  Indian."  0  However, according to Krauss (Kinkade, p . c ) , t h i s spirant  s t i l l occurs i n an unspecified T l i n g i t d i a l e c t . As noted, no l a b i a l s occur although, according to Krauss (Kinkade, p.c),  " f o r some speakers w i s i n certain positions m, and f o r some  also n i s 1 (not related to the obstruent l a t e r a l s at a l l . . . ) " .  The  9 s t r i k i n g lack of l a b i a l s has been widely noted i n the l i t e r a t u r e , though T l i n g i t , as noted by Kinkade ( p . c ) , i s not alone i n this feature since Tillamook (Salish) and Iroquoian languages also lack l a b i a l s . 8»  Swanton (1908: 396) termed t h i s voiced spirant 'vocalic-velar', while noting (1911: 165) i n the pronunciation of younger people i t s exact similitude with the English p a l a t a l glide. See also Boas' Tsimshian (1911: 288) wherein he has stated: "It corresponds to the sound i n T l i n g i t which Swanton... writes y, but which I have heard among the older generation of T l i n g i t d i s t i n c t l y as the same sound as the Tsimshian here discussed. With the assumption that i t was o r i g i n a l l y the continued sonant corresponding to x of other P a c i f i c Coast languages agrees i t s prevalent u_*tinge." Pinnow (1966: 21) has referred to [x] as a post-palatal, prevelar spirant (v. n. 3 above). I. Brenzinger (p.c.) notes correctly that the symbol for the IPA voiced p a l a t a l f r i c a t i v e i s [j] (v. Boas 1917": 9).  9  As Troubetskoy (1957: 135) has stated: "Nous ne connaisons aucune langue sans apicales; l e s gutturales manquent par ex. dans quelques dialectes Slovenes de Cari n t h i e , l e s l a b i a l e s en t l i n g i t (Alaska), mais ce sont l a des cas extremement rares: en general l e s t r o i s series de l o c a l i s a t i o n nominees ci-dessus apparaissent dans toutes l e s langues du monde." However, according to Jakobson  (1939, i n Troubetskoy 1957: 370):  "Tel est l e manque des l a b i a l e s dans l e t l i n g i t (et dans quelques parlers feminins de l'Afrique centrale), marque du a l a m u t i l ation a r t i f i c i e l l e des levres, et meme dans ces cas, l a classe des l a b i a l e s tend a etre representee dans l e systeme phonologique par des substituts specifiques." Chomsky and Halle (1968) note also that Jakobson (1940: 357-58), i n propounding his theory of implicational sound laws, stated that (continued pg. 25)  - 25 II.3  VOWELS Phonemically, there are eight vowels i n T l i n g i t .  Schematically,  from data of Story (1966: 20-21), Naish (1966: 22), and Velten (1944: 168), they may be arranged as front vs. back, close vs. open, and long vs.  s h o r t , a l t h o u g h according to Story (1966: 20): The short vowels, with the exception of the short member of the central p a i r , are more open than the corresponding long vowels. The short central vowel i s closer than the long central vowel.  9 continued T l i n g i t i s one of the few languages i n the world without l a b i a l s , to which i s attributed the use of labrets. (Labrets were the bone or wood (rarely stone) l i p ornaments worn after puberty as a sign of wisdom by the a r i s t o c r a t i c women of the t r i b e , v. de Laguna 1960). Chomsky and Halle (1968: 413) r e i t e r a t e that: "The absence of l a b i a l s i n the speech of women i n a few Central A f r i c a l languages i s caused by r i t u a l i s t i c m u t i l ation of the l i p s , and such mutilation also occurs among the T l i n g i t , where both men and women wear labrets." The above reasoning, however, i s not v a l i d on several grounds. Although evidently only high-caste T l i n g i t women wore labrets, t h e i r use was f a i r l y widespread i n the northern c u l t u r a l area. For example, the neighbouring Tsimshian women used labrets (Tsimshian, of course, has a f u l l set of l a b i a l s ) , as w e l l as some of the Alaskan Athapaskans, the Haida, and the Babine, a Carrier (Athapaskan) tribe (v. Krauss 1964: 131 n. 6). Krauss has stated that: "The Na-Dene lack of l a b i a l s , then, i s f a r stronger evidence in favor of the unity of the consonant systems of ProtoAthapaskan, Eyak, T l i n g i t and Haida, than f o r any c o r r e l a t i o n between the use of labrets and the lack of l a b i a l s . " 10  I t should be noted that Troubetskoy (1957: 115), using Swanton's (1911) data, has c l a s s i f i e d both T l i n g i t and Haida as having a triangular system of two degrees and two classes: a u  i  Unless Troubetskoy analysed /e,e/ as schwa, the triangular desc r i p t i o n does not appear to be an apt f i t .  - 26 -  Close  Open  Front  Back  long  i  u  short  I  U  long  e  a  short  e  A  While phonetic length duration ±ntvowelsoi?slonly maintained i n tonic s y l l a b l e s , long close vowels are more tense than the short close vowels.''""'" According  to Naish (1966: 22) length d i s t i n c t i o n i n  vowels, which also indicates a change i n q u a l i t y , i s significantlgram12 a t i c a l l y i n indicating the d i f f e r e n t i n f l e c t i o n s of the verb stem. Although Krauss (Kinkade, p.c.) the best way  i s of the view that tense vs. lax i s  to state the opposition, which i s " d e f i n i t e l y not a  close-open opposition", Jones (1964: 40) has suggested: It i s generally advisable to apply the terms tense and lax only to the case of close vowels. It i s extremely d i f f i c u l t to determine i n the case of the opener vowels whether the sensation of 'tenseness' i s present or not, and there i s i n regard to some vowels considerable difference of opinion on the subject. In terms of d i s t i n c t i v e features, however, since the feature  LI  According to Kinkade (1976: 4) a contrast of three or more vowel positions i s usual i n Northwest Coast areal phonology.  12  Long vowels may  occur with ei.therjihiighf orjnlow tone.  Velten (1944: 168) noted i n the verb system the morphophonemic a l t e r a t i o n of open and close vowels, as w e l l as of / A / and /e/.  - 27 -  length i s evidently not a Chomsky and Halle preferred feature, the suggested long-short feature  opposition for both high and low  vowels i s that of tense-lax.  According  to Chomsky and Halle (1968:  324) : The feature "tenseness" s p e c i f i e s the manner i n which the entire a r t i c u l a t o r y gesture of a given sound i s executed by the supraglottal musculature. Tense sounds are produced with a deliberate, accurate, maximally d i s t i n c t gesture that involves considerable muscular e f f o r t ; nontense sounds .rare produced rapidly and somewhat i n d i s t i n c t l y . In tense sounds, both vowels and consonants, the period during which the a r t i c u l a t o r y organs maintain the appropriate configuration i s r e l a t i v e l y long, while i n nontense sounds the entire gesture i s executed i n a somewhat s u p e r f i c i a l manner.  Tense vowels, marked by greater e f f o r t , distinctiveness and longer duration, are a r t i c u l a t e d with a greater deviation from neutral position than are lax vowels. In an i n t e r e s t i n g discussion of  the problem of feature  opposi-  tion i n low vowels, however, Halle (lecture, U.B.C, 1974) has stated that tense-lax d i s t i n c t i o n s i n low vowels are p h y s i o l o g i c a l l y impossible since low vowels always occur with the feature [+ constricted pharynx]. He has therefore suggested that low vowels such as /as, a, n/ be d i s t i n s guished by the feature [+ constricted pharynx], while high and mid lax, as well as  low vowels, be distinguished by the use of the feature  [- advanced tongue r o o t ] .  For example, T l i n g i t long-short vowels  using Halle's suggested feature approach could be characterized  thus:  - 28 - back  + back  + A.T.R.  + A.T.R.  - CP.  - CP.  + high - A.T.R.  A.T.R.  - CP.  CP.  + A.T.R.  A.T.R.  - CP.  CP.  - high  II.3.1  8 A.T.R.  - A.T.R.  - CP.  + CP.  Vowel Realization  The vowels indicated i n Chart I I are r e a l i z e d as follows according to Naish (1966: 22): i I e £  u U a A  i s a close front unrounded vowel; i s a h a l f - c l o s e to close front unrounded vowel; i s a half-open to half-close front unrounded vowel; i s an open to half-open front unrounded vowel; i s a close back rounded vowel; i s a half-close to close back rounded vowel; i s an open central vowel; i s a half-open central vowel.  Using secondary source material, Pinnow 1966:42 has suggested the following vowel r e a l i z a t i o n s (v. 1966: 19-21) with some q u a l i f i c a t i o n s according to source:  - 29 -  CHART II  front close  half-close  half-open  open  back  - 30 -  l±l 111 lei lei  is realized is realized is realized is realized  as as as as  [ i i ; ],  [I], [e  e* ],  [e],  In/ /u/ /A/  /a/  as as as as  u - ] , [o O-] . [o o ] . [ A o] , a f t e r /w/, l l as [o]. [a a - ] , a f t e r /w/, / / as [o] [u  [U]  u  w  Although the back vowels /u, U/ generally tend to be lowered next to velars and e s p e c i a l l y to uvulars, there i s apparently  little  13 sub-phonemic v a r i a t i o n for the Angoon or central d i a l e c t .  Naish  (1966: .22) has noted, however, that U tends to be lowered to o next to  a tvui'a&&whi'ldl'4tnfe^e^i^e*€o-f olo^.e^±^ti&pa^c^£^e^whe^^3  :  between two uvulars."  is  For the northern Chilkat d i a l e c t , Boas (1917:  11) has noted: The quantitative value of vowels varies considerably. Unaccented s y l l a b l e s tend to have open vowels, which i s due to the lack of i n t e n s i t y of movement. Where u and U are i n contact with velars, they are apt to assume a less rounded character, and verge on o^, r a r e l y on o_.  II.3.2  Phonemic V a r i a t i o n  On the basis of Boas' pre-phonemicized data of the northern d i a l e c t , Kinkade (personal communication) has raised the p o s s i b i l i t y of  the occurrence of certain lax vowels as phonemic schwa within  certain predictable consonantal environments. For example, where Boas' (1917: 17) orthography indicates the high lax back vowel U, contiguous to velars and uvulars, a 'coloured' schwa might be indicated:  13  According to Naish and Story (1963: v i i i ) , "sub-phonemic v a r i a tions are at a minimum; the phonemic symbols may be taken as representative of the phonetic values also."  - 31 -  k U q  w  A  /k a q  w  a 1  g U x  w  /g a x  I s h a l l hide i t II  4  II I  X I s i n A  hid i t for myself"  I s I n/  In support of this p o s s i b i l i t y i s Boas' (1917: 8) own  testimony  of his uncertain transcription with regard to the quality and quantity of some of the vowels: There i s a considerable amount of uncertainty i n regard to the q u a l i t y of some of the vowels recorded by me, p a r t i c u l a r l y i n regard to the use of Q.[=/A/], e, and e, which i s due to difference of pronunciation i n rapid and slow speech. I discovered the s i g n i f i c a n c e of some of these differences i n the course of my work, and had not the time to revise the whole material. Further support of phonemic schwa may  be i t s widespread appearance  i n the Northwest Coast phonology, p a r t i c u l a r l y among the Salishan languages, e.g., reference may Kuipers  Squamis.h, Upper Chehalis, Thompson and Shuswap, for which be made to discussions i n Kinkade (1963) , Davis  (1967, 1974)  and Grubb (1974).  According to Kuipers  (1971), (1967: 36):  The possible reduction of a l l unstressed vowels to schwa and the possible opening of schwa-type vowels to ae, o, etc., i n the neighbourhood of uvulars, combined with the fact that reduced forms i n many cases have become standardized, causes certain d i f f i c u l t i e s with regard to the phonemic interpretation of i n d i v i d u a l recordings.  II.4  THE SYLLABLE The basic s y l l a b l e structure of T l i n g i t i s CV where, i n a sample  of running text, Story (1966: 14) found 70 per cent open s y l l a b l e s . (In the adapted tagmemic framework used by Story, the s y l l a b l e i s  - 32  -  defined as the phonological unit above the phoneme and below the tone group, while s y l l a b l e d i v i s i o n i s defined as phonemic). s y l l a b l e structure thus accords with Sapir's (1915: 534)  Tlingit  findings for  the proposed Na-Dene: The most t y p i c a l and doubtless h i s t o r i c a l l y primary type of stem form found i n the Na-Dene languages i s the monosyllabic stem consisting of consonant plus vowel . . . and with the universals of s y l l a b l e structure discussed by Schane (1973: 52-53). According to Anderson (1974: 253)  the s y l l a b l e as a unit i n  generative phonology has generally been ignored, and a  re-examination  of i t s i n c l u s i o n into the theory should be made, f o r : The consistent attempt i n generative phonology to ignore the s y l l a b l e as a s t r u c t u r a l unit-has not been based generally on a r e f u s a l to recognize the existence and? p o t e n t i a l a r t i c u l a t o r y and psychological i n t e g r i t y of such elements. A case against the inclusion of s y l l a b l e s i n phonological representations has never been made i n any d e t a i l i n p r i n t , but i t has generally been assumed that the sort of facts associated with s y l l a b l e structure can i n fact be attributed to the s t r i c t l y segmental representation, and do not require a d d i t i o n a l elements . . . It would be of some importance i f facts of s y l l a b l e structure were to turn out to be mechanical consequences of other aspects of phonological representation. This does not, however, appear to be the case . . .  Brown (1969: 5), also, has asserted that a s t r i k i n g feature of generative phonology i s the non-introduction of the s y l l a b l e "to account for the d i s t r i b u t i o n of d i f f e r e n t phonetic r e a l i z a t i o n s of the same systematic phoneme...."  Both Hooper (1972: 525-540)  Brown (1969), however, have suggested ways of incorporating the s y l l a b l e as a u n i t .  and  - 33 -  Hooper would recognize the s y l l a b l e as a phonological unit i n order to gain s i m p l i c i t y , generality and explanatory power.  Prosodic  features such as stress and tone a f f e c t the s y l l a b l e rather than the segment or morpheme, for example, i n tone languages such as Chinese (and T l i n g i t ) where the s y l l a b l e i s  the tone-bearing unit.  To  Hooper, the s y l l a b l e might be defined i n two ways within the theory: F i r s t , as segment sequences i n the lexicon, underlying s y l l a b l e s might be postulated, with s y l l a b l e boundaries referred to by marking conventions and morpheme-structure conditions. Second (Hooper's choice), the s y l l a b l e could be defined i n terms of segment sequences with s y l l a b l e boundaries inserted by a universal rather than a phonological r u l e .  For example, a s y l l a b l e  boundary could be inserted by universal convention between a vowel and the following CV thus: 0  » $  /  [+ s y l l ]  [- s y l l ] [+ s y l l ]  Applied to T l i n g i t , Hooper's d e f i n i t i o n of the s y l l a b l e might be very useful i n the formation of phonological rules to account for the complex morphology of the verb word with i t s numerous morphophcnemic changes and the s h i f t i n g vowel deletion.  Though s u f f i c i e n t  data from Story's extensive work i s not at hand, i t i s evident from Boas' comments and examples that a s y l l a b l e explanation such'as Hooper's might lead to greater c l a r i t y of explanation i n p r e f i x a l  morphophonemics.  For example, Boas (1917: 61) has noted: When a p r e f i x ending i n a vowel precedes the nominal subject and the modal element, the pronoun which stands between the modal element and the c l a s s i f i e r loses i t s vowel, i f the  - 34 -  c l a s s i f i e r i s v o c a l i c . In this case the modal element retains i t s vowel. I f the c l a s s i f i e r i s consonantal, the pronoun retains i t s vowel, while the modal element loses it.14 In an alternative method to Hooper's, Brown (1969) using i f then sequence structure conditions would introduce the s y l l a b l e into generative theory by having the redundancy rules assign s y l l a b i c status, as w e l l as realization.  the d i s t r i b u t i o n of allophones, to the phonetic  For example, Brown (1969: 5-6) has suggested as a  morpheme structure condition: The f i r s t of a sequence of two [- consonantal] segments w i l l be assigned the value [- s y l l a b i c ] ( g l i d e ) , and the second w i l l be assigned the value [+ s y l l a b i c ] ( s y l l a b l e nucleus).  II.4.1  Syllable Types There are two s y l l a b l e types i n T l i n g i t : consonantal and v o c a l i c .  Vowels are the nucleus of a v o c a l i c s y l l a b l e .  Consonantal  syllables  consist of a single consonant which may only be the a p i c a l , laminal or l a t e r a l non-glottalized f r i c a t i v e s /s, s, ±/. According to Story (1966: 2 3 ) :  1 5  Every vowel constitutes the nucleus of a v o c a l i c s y l l a b l e . Vocalic s y l l a b l e s are of the structure V, VC, CV, CVC, CVCC ... Consonantal s y l l a b l e s comprise a single consonant.  14  Dauenhauer (1976: 11) evidently concurs that "a series of three open s y l l a b l e s i s unstable i n T l i n g i t . "  15  Aecordihghfco Naishr (196.6 :T24) ^ GVahrid CVC s y l l a b l e s occur i n a l l environments. CVCC occurs almost always as a tonic s y l l a b l e , while VC and V occur only i n pre-tonic s y l l a b l e s . T  - 35 -  Except i n cases where the morphology i s not known ... i t can be stated that these s y l l a b l e s are congruent with (1) a t o t a l grammatical word which i s not a c l i t i c or ... (3) with an extensor when t h i s extensor occurs between 2 consonants. Congruent with a grammatical word, i . e . , s " r e f l e x i v e " or ± "negative", or morphologically as an extensor form /s, s, 4/, the p l a i n alveolar f r i c a t i v e s may occur s y l l a b i c a l l y either an an i n dependent word or interconsonantally  i n the verb word.  Naish (1966:  24-25) has stated the environment as follows: (1)  between two consonants within a tone group preceding the tonic s y l l a b l e — k A y i y • s * x i d i n - 'you (pi.) had written'  (2)  i n i t i a l t ^ the tone group and preceding either a consonant or a vowel which may be p o t e n t i a l l y preceded by a g l o t t a l stop, that i s i n i t i a l to a grammatical word: I ' q U s t i n i 'blind person', I ' U s ^ ' e v i l ' .  Exceptions to this rule occur under two conditions: words, the alveolar f r i c a t i v e s Is, bearing word, and (2) i f Is,  i f , as grammatical  4/ are preceded by (1) a non-tonic  s, 4/ are preceded by a non-tonic bearing  word which i s also vowel f i n a l , e.g. ya s« nAd?en - 'he i s dressing'. Only the independent words (s or 4) or the extensor forms that are unglottalized alveolar f r i c a t i v e s undergo the following rule: Consonant Syllabification  ~+ cor + cont - g l o t t 'clos ;  n / -> [+ s y l l ] 7  r  #  cx-|  stem  P l a i n alveolar f r i c a t i v e s may s y l l a b i f y within stated grammatical environments.  - 36 -  There i s a general congruence between word and s y l l a b l e boundaries with certain exceptions.  For example (Naish 1966:  25),  the  f i r s t consonant i n an i n i t i a l consonant c l u s t e r of a head word w i l l belong to the preceding  s y l l a b l e of a vowel-final modifier.  Syllabicity  of the a p i c a l alveolar f r i c a t i v e s i n certain grammatical positions has already been noted.  Within a word, a single consonant between vowels  forms the onset of the following s y l l a b l e .  Two  consonants word-  medially are divided by s y l l a b l e boundary.  A l l consonants may  as s y l l a b l e onsets, although laryngeals (Story 1966: only i n s t e m - i n i t i a l s y l l a b l e  II.5  27) may  occur  occur  onsets.  PREFERRED SYLLABLE STRUCTURE Schane (1973: 53-4)  has defined a preferred s y l l a b l e structure as:  Any process which takes a more complex s y l l a b i c structure and reduces i t to the CV pattern leads to a preferred s y l l a b l e structure. The e f f e c t of such processes i s to break up clusters of consonants or sequences of vowels. A preferredcsyllable structure, which i s b a s i c a l l y the reduction of a mo more complex s y l l a b i c pattern to the preferred CV, may certain phonological c o n s t r a i n t s , ^ such as the surface 1  16  be one r e s u l t of phonetic  Aitchison (1974: 5), i n arguing for the psychological r e a l i t y of surface phonetic constraints, has suggested: If a l l that i s required i s an apparatus for generating a l l and only the permissible sequences, then no such constraints are needed since the morpheme structure conditions ( l e x i c a l redundancy rules) and the phonological reules can achieve t h i s . But i f one i s interested i n the kinds of mechanisms that a speaker i s l i k e l y to have and which play a role i n language change, then output conditions become relevant as a template against which a l l new forms are matched. Without them, the phonological rules seem e s s e n t i a l l y a r b i t r a r y and pointless.  - 37 -  constraints (Shibatani 1973: 87-106) which operate to produce a phonotactically patterned  output of the P-rules.  According to Shibatani  (1973: 87), while such constraints  on d i s t r i b u t i o n and combination expressed through allophonic rules and phonotactics  were featured i n the s t r u c t u r a l i s t framework and  phonetic theory, generative  theory does=^nOit currentiy ipr.ozv-id'e^ s  s  jar-.v '.de a . . . d i r e c t means to capture phonetic constraints, and generative phonologists seem to bee content twith'-an-.inr-d i r e c t account by means of abstract morpheme-structure conditions together with the effects of phonological rules. Within the context of generative  theory, s y l l a b l e structure  processes may occur within and across morpheme boundaries.  Morpheme  structure conditions, which include statements of permissible sequence combinations, handle such constraints within a morpheme, while phonological  rules may account f o r such processes across and  within morphological boundaries.  For example, Anderson (1974: 287)  in-cases of s y l l a b l e restructuring has noted that: . . . the morpheme structure condition and the phonol o g i c a l rule are c l e a r l y d i f f e r e n t aspects of the same f a c t , and should not be treated as completely separate. I f they are simply stated, each i n i t s own. component of the grammar, t h i s w i l l not be expressed, however: i t w i l l appear as an accidental fact that some of the phonological rules have the e f f e c t of ensuring that constraints on underlying structures are also imposed on derived structures.  Although the standard theory of Chomsky and Halle (1968) has generally not recognized  the need for some kind of surface constraints,  - 38 -  various suggestions, b r i e f l y reviewed below, such as the 'derivational constraints' and  'conspiracies' of Kisseberth (1970), the 'phono- i  l o g i c a l targets' of Haiman (1972), the 'negative target' of Kiparsky (1972) and the 'surface phonetic constraints' of Shibatani (1973) have shown the necessity for incorporating some'surface device into standard theory although,  (as i n the case of Shibatani's s.p.c.'s)  surface phonetic constraints may  overlap with morpheme-!Structure  conditions).. Kisseberth's d e r i v a t i o n a l constraint, to be examined b r i e f l y in T l i n g i t , i s the effect of a set of rules operating together functionally to produce, by v i r t u e of c e r t a i n r u l e environment r e s t r i c t i o n s , a general constraint on the l i n g u i s t i c output. example, concerning output eohditionstin-Yawelmani,  For  Kisseberth (1970:  293) has stated: There are rather heavy constraints i n Yawelmani phonetic representations on the clustering of consonants and of vowels. No vowel-vowel sequences are permitted. Words may neither end nor begin with consonant c l u s t e r s . Nowhere i n a word may more than two consonants occur i n a sequence ... But i n fact there are a v a r i e t y of phonological processes which, i t might be said, 'conspire' to y i e l d phonetic representations which contain no wordf i n a l clusters and no t r i l i t e r a l c l u s t e r s . Kisseberth's conspiracy, then,-,is the r e s u l t of a related morpheme structure condition and phonological r u l e which may,  for example,  have the e f f e c t of reducing a consonant c l u s t e r . Haiman (1972: 376), has suggested that various languages, such as Papago and Yawelmani, may  have CV(C)  s y l l a b l e - s t r u c t u r e targets  (CV i s the maximally unmarked s y l l a b l e ) which are r e a l i z e d by means  - 39 -  of epenthesis and deletion r u l e s , while Kiparsky (1972: 195)  has  argued that "the theory of d e r i v a t i o n a l constraints and 'conspiracies' fails  to provide an adequate explanatory account of these constraints  on phonotactic structure" and that a notion of 'negative target' i s needed instead.  In borrowing  from the theory of autonomous phonemics,  Shibatani has suggested the notion of surface: phonetic constraints to explain surface redundancies  and phonotactic patterns i n generative  phonology. In discussing the need for d e r i v a t i o n a l constraints i n Yawelmani phonology, Kisseberth (1970: 294) has noted that: F i r s t of a l l , i n the underlying representation of Yawelmani morphology, there are.no t r i l i t e r a l c l u s t e r s . If regulari t i e s of this sort are to be r e f l e c t e d i n the grammar, there must be a language-specific morpheme structure condition which requires the segments on either side of a CC sequence to be vowels. The existence of this morpheme structure condition i s not s u f f i c i e n t to account for the absence of t r i l i t e r a l c l u s t e r s , for i t blocks such clusters only inside the morpheme. Morphological processes of s u f f i x a t i o n and special stem formation rules operate so that morphophonemic representations of words do contain t r i l i t e r a l clusters.  S p e c i f i c a l l y , i n T l i n g i t , according to Naish (1966: 22), and Story, a similar process of consonant cluster reduction occurs f o r , while the basic s y l l a b l e structure i s CV, consonant clusters of three or more may be found across grammatical boundaries. According to Boas' northern d i a l e c t data (1917: 12-13), consonant clusters are rare both i n i t i a l l y  and terminally i n stems, although  clusters may  originate with certain consonant s u f f i x e s , e.g., the  diminutive.  Medial clusters which originate through.word composition  - 40 -  are evidently unrestricted. In such environments, an epenthetic high vowel i s inserted between consonants, breaking the cluster, thus leading to a preferred s y l l a b l e structure. It would appear, therefore, given the general lack of consonant clusters of three or more aGrossomprphemeob'ounda'ries^hthat a derivational constraint i s operating i n certain  grammaticallyndnducedhphonological  environments where a high lax vowel i s inserted automatically.  This  high lax vowel i s inserted by rule under the following conditions: (1)  following a stem ending i n a f i n a l double consonant cluster and before the preceding i n i t i a l consonant of the modifier;  (2)  between the f i n a l double consonant cluster of a modifier i n an a t t r i b u t i v e clause and the following head noun beginning with a consonant i n a noun phrase. 0  Story (1966: 24-6)  has enumerated the grammatical environments as  occurring i n structures of: (1)  noun plus  Cpost-modifier I clitic  (2)  noun possessive plus locative  (3)  verb a t t r i b u t i v e plus noun  (4)  verb plus a u x i l i a r y , as well as across morpheme boundaries guxUx  of tone-bearing stem plus s u f f i x ( e s ) ,  (f:(6m gux+x)  slti  "He's  e.g.  a slave"  The epenthetic vowel agrees i n roundness with the preceding consonant.  A general rule for this epenthetic a s s i m i l a t i o n (which  - 41 -  Kinkade (p.c.) has suggested may be a quite general process i n T l i n g i t ) might be stated:  EPENTHETIC ASSIMILATION  ,  V + high - tense  [a round] /  C # a round ~~|  An inserted high lax vowel agrees i n roundness with a preceding consonant over a word boundary  (since the d e r i v a t i o n a l constraint  operating w i l l not allow inserted vowels to v i o l a t e morpheme structure conditions which operate generally i n preventing  contiguity of p a l a t a l  and labiovelar sonorant forms).  II.6  MORPHEME STRUCTURE CONDITIONS Within standard  theory, morpheme structure conditions have been  established as a part of the readjustment component to account for a speaker's knowledge of the l e x i c a l structure of items i n the lexicon, and to characterize formally a possible morpheme of a language. According  to Chomsky and Halle's (1968: 171) d e f i n i t i o n , l e x i c a l  redundancy rules apply " s t r i c t l y within a single l e x i c a l entry and... simply f i l l n i n unspecified sequences of phonological matrices, without v i o l a t i n g invariance. (Markedness theory has been an attempt to obviate the necessity for morpheme structure conditions. rules would postulate the naturalness  Universal marking  or unnaturalness of c e r t a i n  configurations i n terms of features i n a phonological  matrix).  Developed by Halle (1959), the o r i g i n a l function of morpheme structure rules was to f i l l i n the unspecified or blank features i n  - 42 -  items i n the dictionary representation.  Stanley's  (1967:  393)  o r i g i n a l summary of the function of morpheme structure rules  was  as follows: Thus, a f u l l set of morpheme structure rules for a language w i l l do two things: i t w i l l state, i n terms of features, a l l constraints on what sequences of phonemes are possible i n morphemes, and i t w i l l allow each morpheme to have a representation i n which redundant feature values are omitted.-'-'' Stanley, pointing out that these blank features, along with p o s i t i v e and negative values, were acting as a t h i r d value, suggested the need for a f u l l y s p e c i f i e d phonological matrix as well as stated sequence structure conditions. Schane (1973: 43) has described the function of morpheme structure conditions, including the d e f i n i t i o n of a conceivable morpheme, as follows: The segment redundancies and the sequence redundancies j o i n t l y form a set of morpheme structure conditions. The former define the set of possible phonemes i n a language and the l a t t e r a set of possible morphemes that i s , possible sequences of phonemes. A conceivable morpheme can now be defined as an a r b i t r a r y sequence of bundles of unspecified features which does not v i o l a t e  17  The difference i n theory focus between autonomous and systematic phonemics with regard to the s p e c i f i c a t i o n of morpheme structure has been pointed out by Anderson (1974: 282) who states: "For the theories known c o l l e c t i v e l y as 'taxonomic' phonemics, the primary focus of attention was not the r e l a t i o n between forms, but the autonomous structure of each i n d i v i d u a l form. Such theories were concerned to specify the r e g u l a r i t i e s which obtain within the domain of the i n d i v i d u a l form, and to distinguish those aspects of the structure of forms that serve d i s t i n c t i v e l y from those aspects of their.structure that are due to r e g u l a r i t i e s of language."  - 43 -  any of the morpheme structure conditions of that language. 11.6.1  Redundancy  Morpheme structure conditions thus r e f l e c t both segment redundancy, the marking of non-distinguishing features i n a f u l l y s p e c i f i e d phonological matrix, and sequence redundancy, the same across segments.  Segment redundancy w i l l not be discussed here.  However,  there are some sequence structure constraints which can be  discussed  generally, as well as i n terms of s y l l a b l e structure, i f - t h e n , and negative  conditions, as noted below.  In Boas' (1917: 12-13) data, consonant clusters are rare stem i n i t i a l l y ; rare f i n a l l y i n verb stems; and not common i n noun stems. Because a l l stem-final consonants are devoiceu n a t u r a l l y , the f i r s t member of a consonant cluster across a morpheme boundary w i l l always be voiceless.  S p e c i f i c a l l y , Story (1966: 14, 20) has noted that i n  spite of the large inventory of consonant phonemes, many occur r a r e l y i n a f f i x e s , while a l i m i t e d number occur i n function words.  In terms  of phoneme frequency i n a l e x i c a l l i s t i n g , the most common CV(C) s t e m - i n i t i a l phonemes (25%) are l i s t e d as /?, t, n, x, d/,' and most common CV(C)  noun s t e m - i n i t i a l phonemes (25%) as It,  h,  k,  verb the x/.  Five phonemes /y, d, w, n, x/ i n a small text sample accounted for 50% of the consonants.  11.6.2  Constraints  Constraints r e s t r i c t i n g the pattern of d i s t r i b u t i o n and the combinations of features are expressed by morpheme structure conditions.  - 44 In s t r u c t u r a l i s t terms expressed a l l o p h o n i c a l l y and phone-tactically, these constraints are expressed i n current generative theory by three kinds of morpheme structure conditions which may be i n the form of s y l l a b l e structure, i f - t h e n , or negative conditions (v. Stanley 1967). In T l i n g i t , an i n t e r e s t i n g phonological constraint on CVC verb. roots i s the non-occurrence of root i n i t i a l l a t e r i a l consonants with root f i n a l a p i c a l or laminal consonants, and of root i n i t i a l apicals with root f i n a l laminals.  Thus, according to Story (1966: 71):  When verb roots are of the shape CVC, a root i n i t i a l l a t e r a l consonant has not been found to occur with a root f i n a l a p i c a l or laminal consonant; a root i n i t i a l a p i c a l consonant has not been found to occur with a root f i n a l laminal consonant. Interestingly, there i s evidently i n these roots a marked preference f o r the occurrence of root i n i t i a l a p i c a l with root f i n a l a p i c a l , for root i n i t i a l laminal with root f i n a l laminal, and for root i n i t i a l with root f i n a l l a t e r a l .  lateral  A further i n t e r e s t i n g feature of these CVC  roots, the combination of phonetic and semantic function, has also been noted by Story (1966: 71) i n that pairs of monosyllabic  verb roots are  " i d e n t i c a l i n i n i t i a l consonant, i n close or open vowel, back or front; vowel, contrast i n feature of f i n a l consonant, and occur i n forms of s i m i l a r semantic function."  Negative constraints may be expressed by  the following negative morpheme structure conditions: Negative Condition (a)  L a t e r a l Root I n i t i a l (CVC Verb Root)  ^ + [+ l a t e r a l ] [  (b)  A p i c a l Root Initial  ^ +  + anterior [ + coronal  + coronal - lateral  +  - anterior + coronal  +  - 45 -  Redundant.features are not s p e c i f i e d here.  Dots indicate features  that would o r d i n a r i l y be s p e c i f i e d , e.g., [+ s y l l ] . In addition.], laryngeals, the g l o t t a l stop and f r i c a t i v e , may occur only stem i n i t i a l l y .  A negative condition, a morpheme structure  constraints which s p e c i f i e s a non-permitted sequence, w i l l indicate (  that laryngeal glide segments are unacceptable stem-finally, e.g. in formal terms.^  I Negative Condition Laryngeal ^ + [+ cons] Glide  [+ s y l l ]  - cons + son + low  +  A further sequence structure constraint occurs i n the extensor series, where an s-series extensor, f o r example, does not co-occur with a s i b i l a n t or l a t e r a l stem consonant.  With two exceptions, an  s-series extensor does not co-occur with s i b i l a n t stems.  Story  (1966:  85) has noted the co-occurrence r e s t r i c t i o n s occurring between the  18  In t h e i r d e f i n i t i o n of the three major class features as sonorance, v o c a l i t y and consonance, Chomsky and Halle (1968: 301-3) have defined the laryngeals /h, ?/ on the basis of vocal tract shape as both sonorant and non-consonantal, and therefore to be c l a s s i f i e d as g l i d e s . However, Ladefoged (1971: 108-111), defining sonorance i n auditory and acoustic terms, has argued that i t i s counterintuitive to c l a s s i f y voiceless sounds as sonorant, and that laryngeal stop and f r i c a t i v e ought to be c l a s s i f i e d as true consonants. (Aitchison (1974: 10) concurs with reference to the behavior of h i n C l a s s i c a l Greek i n that: "It seems more plausible to regard h (as i t was regarded tradi t i o n a l l y ) as a true consonant rather than a g l i d e . "  - 46 -  extensor series and the stem consonants of a verb theme. negative  A suggested  condition for the non-occurrence of the s-series extensor  with s i b i l a n t or l a t e r a l stem consonants i s : Negative Condition S-series Extensor  ^ +  + + + +  ant cor strid exten  ([+ s y l l ] )  +  pi- cor ~I . . . Ft-ccor T J + strid 1 J + strid J  (Strident sounds are marked by greater a i r turbulence sounds.  than non-strident  The feature strident i s thus r e s t r i c t e d to obstruents,  tinuants and a f f r i c a t e s , and can be a feature of nonvocalic v. Chomsky and Halle 1968:  14), no vowel clusters are  permitted  This could be indicated by a s y l l a b l e  structure condition of the stem. Syllable Structure  laterals,  329.)  In addition (Story 1966: within a grammatical word.  con-  For example:  + ( [ - s y l l ] ) [-syll] [+ s y l l ] [- syll.]: 0[<- s y l l ] ) +  Condition To recapitulate: L e x i c a l e n t r i e s , which include as part of their information specified matrices of underlying abstract representations of are stored i n the lexicon of the syntactic component.  fully  formatives,  Unordered mor-  pheme structure conditions, applying before the phonological ruiLes, state the language-specific constraints on sequence structure and segment formation within the morpheme. Halle (1968: 382) who  However,,unlike Chomsky and  find the l e x i c a l redundancy rules seemingly  - 47 -  ' l i k e ordinary phonological rules, i n form and function', Brown distinguishes between redundancy and phonological rules by their 19 operations.  As Brown (1969: 9) has pointed out:  Many examples can be found of r e g u l a r i t i e s which operate both within morphemes and across morpheme boundaries: we have seen some examples i n the Lugisu data. A theory which refuses to account for this very general phenomenon, and by i t s refusal allows redundant processes to p r o l i f e r a t e , needs modification.^0  19  According to Brown (1969: 16): "The redundancy rules are r e a l i z a t i o n rules: they complete the phonetic s p e c i f i c a t i o n of the output of the syntactic surface structure within the domain of the phonological word. The formal constraint on their function i s that they can only add features. The phonological rules, on the other hand, are exclusively mutation rules. They are divided into two parts, the intra-word rules and the inter-word rules. The i n t r a word rules operate on the output from redundancy rules which i s marked f o r entry to the phonological rules. They exist only to deal with complications i n the phonology ... The inter-word rules, l i k e the intra-word rules, are mutation rules. They specify the phonetic consequences of phonologi c a l words occurring i n sequence. The formal d i s t i n c t i o n then between redundancy rules and phonological rules i s that whereas redundancy rules add feature but perform no other operations, the phonological rules only perform operations other than simple additioning transformations."  20  With regard to other theories, Brown (1969: 5) has stated: "Non-generative analyses have accounted f o r data of this kind by allowing certain general rules to operate both within and between morpheme boundaries'* (see, for example, Hockett (1958: 131), Whorf (1956: 223) and the i m p l i c i t reasoning i n Bloomfield (1933: 133)), and by invoking the concept of the s y l l a b l e (see, f o r example, Jesperson [ s i c ] (1909: 59)> Bloomfield (1933: 121)), oasaprosbdicpphonologi'sts have always done (paperslin-Bazell retialifitl966caexempM'£y.dthis' approach) ." t .en restrained i r o a applying across naorphsais V\>ao.  - 48 -  Brown has given examples of sequence rules which apply across and within morpheme boundaries, for example:  ". . .we have only  to look at the f a m i l i a r English examples of voicing s i m i l a r i t y i n apse, caps, adze and cads and the constraints on the stop sequences that give us act, apt, cracked, capped but not *atk or *atp."  II.6.3  I d i o l e c t a l Variation  I d i o l e c t a l v a r i a t i o n , involving a y - i d i o l e c t and a w - i d i o l e c t , have been noted by Naish (1966) and Story (1966: 31-32).  These  i d i o l e c t a l variations may involve s y l l a b l e s or morphemes i n each of the two i d i o l e c t s .  There i s , f o r example, a y - i d i o l e c t where the  sequence /w + i / or /w + 1/ i s not permitted across a morpheme boundary, and a w-idiolect where a sequence /uy/ or /Uy/ (where /y/ i s s y l l a b l e onset) i s not permitted. In the y - i d i o l e c t , a negative condition w i l l specify that /w + 1/ or /w + 1/ may not occur across a morpheme boundary. syllable-initial  In w - i d i o l e c t s ,  /y/ w i l l not appear following a rounded back vowel.  Examples: y-idiolect  w-idiolect  gloss  du y i d  du wid  "his son"  qUyawAqa  quwawAqa  " i t was suggested"  Except i n pronounced y - i d i o l e c t s , where the sequence /uy$/ may also occur across morpheme boundaries, certain constraints i n both i d i o l e c t s w i l l not allow /w/ to occur before / i / , /u/.  Thus, according to Story:(1966:  or /y/ to occur a f t e r  31): "Within the s y l l a b l e and  - 49 -  within the morpheme, i n the absence of variant forms, the sequences wi and uy are non-permitted i n a l l i d i o l e c t s . " Following Brown (1969, 1971) who, using both Lugisu and English examples, demonstrated the advantages of allowing the predicted feature values established by redundancy rules to be carried over morpheme boundaries (and who, unlike Chomsky and Halle,,distinguishes between redundancy and phonological rules by their functions), we could therefore suggest v a l i d morpheme structure conditions for both y- and w-idiolects. This i d i o l e c t a l material could be handled i n the lexicon i n several ways. F i r s t , and probably psychologically r e a l to the native speaker of T l i n g i t , there would be, for each of the two i d i o l e c t s , •'one set each of l e x i c a l entries for the affected sequences, with perhaps a general recognition of both sets to the speaker-hearer. A l t e r n a t i v e l y , the underlying abstract forms might have two phonetic  r e a l i z a t i o n s f o r the two i d i o l e c t s , with a d i f f e r i n g set of  morpheme structure conditions for each i d i o l e c t . Third, as shown below i n Condition 2B, the constraints could be stated i n general terms, with phonological rules handling  feature  changes f o r each i d i o l e c t . Condition I, Parts A and B, i l l u s t r a t e s the suggested morpheme structure constraints applying to two separate sets of l e x i c a l entries i n and across morpheme boundaries, while Condition II shows the suggested constraints for an underlying abstract  represent-  - 50 -  CONDITION I A. Negative Condition Y-idiolect  I  - cons + round  [+ F.B.]  + syll - back  / ^ w + i/  The sequence of /w + i / or /w + 1/ i s not permitted a morpheme boundary. Negative Condition W-idiolect  + syll +• back 1  [+F.B.] $1  —  - cons - round  across  fa u + $y /  The sequence /u$y/ or /U$y/ i s not permitted across a morpheme boundary where y i s s y l l a b l e onset.  CONDITION II A.  If-Then Condition Strong-Yidiolect  If:  [+ s y l l ]  + [- cons]  Then:  [+ back]  + [- round]  /u + y./  In a strong y - i d i o l e c t , a sequence of /u + y$/ or /U + y / may occur across a morpheme boundary. If-Then Condition Both i d i o l e c t s (except strong yidiolect)  If:  [+ s y l l ]  [- cons]  Then:  [+ back]  [+ round]  If:  [- cons]  [+ s y l l ]  Then:  [- round]  i  I  / u w /  / y i /  [- back]  In both i d i o l e c t s (with the exception of a strong y - i d i o l e c t ) , glides dodnot contrast before / i / or after /u/.  - 51 -  ation with two sets of morpheme structure constraints, which also apply innand across morpheme boundaries. realized as negative  (non-permissible  The f i r s t constraints are  sequence) conditions and the  second as i f - t h e n (cause-result) conditions. It seems that these morpheme structure conditions, which apparently may cross morpheme boundaries, capture i n a general way some of the s t r u c t u r a l l i m i t a t i o n s operating generally i n T l i n g i t by i l l u s t r a t i n g underlying constraints which optimally prohibit certain sound sequences occurring i n certain environments. Conditions are set out on the preceding  II.7  The suggested  page.  AUFHEBUNG OR NEUTRALIZATION  T r a d i t i o n a l l y regarded as the suspension of a b i l a t e r a l phonemic opposition i n certain environments, n e u t r a l i z a t i o n has been defined by Troubetskoy as the suspension of d i s t i n c t i v e opposition i n a correlated p a i r of phonemes that d i f f e r by one feature, the unmarked member (in Prague School usage) normally appearing i n the neutralized position. However, many l i n g u i s t s , including R.J. Gregg and Martinet, d i f f e r e n t i a t e between n e u t r a l i z a t i o n , which results i n an archiphoneme (of the representative of a neutralizable opposition, v. Troubetskoy 1969:  79), and Aufhebung which results i n a suspension of d i s t i n c t i v e  . . . opposition m 21  . . 21 certain environments.  'Archiphoneme' has been defined by Troubetskoy (1969: 79) as "the sum of d i s t i n c t i v e properties that two phonemes have i n common" and the representative of a neutralizable opposition.  - 52 -  In T l i n g i t , several examples of an environmentally determined suspension of opposition e x i s t . II.7.1  Neutralization i n Generative Phonology  In generative phonology, n e u t r a l i z a t i o n has been discussed under several different headings.  In a perceptive discussion of  redundancy, Stanley (1969: 40l64®2f)edefiriednoneik-indfofeneu£ralization as occurring i n an environment where "the value of the feature i n the environment i s determined by a sequential constraint."  He  has suggested somewhat inconclusively that aspects of redundancy pertaining to n e u t r a l i z a t i o n could be included i n the morpheme structure rules. However, Schane (1968: 715-7-16), following Chomsky and Halle, would use the universal notion of markedness to obviate the problem of phonological n e u t r a l i z a t i o n . the underlying form.  Unmarked features would represent  Where, f o r example, i n the case of und i n  German, voicing may be undetermined i n the underlying representation, Schane would choose the unmarked feature of voicing ( i . e . , minus voice) to represent the f i n a l segment, so that: Just as the notion of archiphoneme was indispensable f o r dealing with phonetic r e a l i z a t i o n , the concept of markedness i s needed f o r handling phonemic r e a l i z a t i o n .  On the other hand, Schane (1973: 59) would treat n e u t r a l i z a t i o n as one among several p r a c t i c a l phonological processes, including those of assimilation, s y l l a b l e structure (deletion, epenthesis and  - 53  -  coalescence), weakening (syncope, apocope) and strengthening  (vowel  s h i f t , vowel reduction, diphthongization), and n e u t r a l i z a t i o n .  In  a phonological context, n e u t r a l i z a t i o n i s thus defined by Schane as: ... a process whereby phonological d i s t i n c t i o n s are reduced i n a p a r t i c u l a r environment. Hence, segments which contrast i n one environment have the same representation i n the environment of n e u t r a l i z a t i o n . In t h i s section, n e u t r a l i z a t i o n as a topic w i l l be treated i n the t r a d i t i o n a l manner as a part of the phonological description. II.7.2  Aufhebung i n T l i n g i t  In T l i n g i t , the archiphonemes represented  i n the phonology would  appear to be t y p i c a l of Troupetskoy's (1969: 80) Case II i n that: The representative of the archiphoneme i s i d e n t i c a l with the r e a l i z a t i o n of one of the opposition members, the choice of the archiphoneme being conditioned ' e x t e r n a l l y . This i s possible only i n cases where the n e t u r a l i z a t i o n of a neutralizable opposition depends on the proximity of some p a r t i c u l a r phoneme. The opposition member that "bears a closer resemblance or r e l a t i o n " to such a neighbouring phoneme, or i s even i d e n t i c a l with i t , becomes the representative of the archiphoneme. 1  This i s i l l u s t r a t e d i n modification (colour-rounding), where there i s a suspension of opposition between simple velars and uvulars and rounded v velars and uvulars i n three positions: next to rounded back vowels, before close front vowels, and following a rounded consonant i n a double consonant c l u s t e r .  Story (1966: 32) has noted that  velars and uvulars do not contrast with rounded velars and  simple uvulars  "following either a l a b i a l i z e d velar or uvular or labiovelar semi-vowel nr  a seque:c.C3  of  - 54 -  or a sequence of /u/ and a velar or uvular."  In glides, there i s a  general suspension of opposition before close front vowels, and after rounded close back vowels.  In manner, opposition of p l a i n and a s p i r -  ated stops and a f f r i c a t e s i s suspended at s y l l a b l e coda, a case of p a r t i a l complementation  II.8  (v. Naish 1966: 21, Story 1966: 15).  TONE Tone i n T l i n g i t i s phonemic, and i s marked on stem vowels which  have a high or low tone, thus furnishing a t o t a l of sixteen d i s t i n c t i v e 23 syllables.  According to Velten (1939: 66)':  T l i n g i t s y l l a b l e s may have high, low, or i n d i f f e r e n t p i t c h . The difference between high and low tone may have a semantic value, as i n eq (high tone) 'beach' and eq (low tone) 'cooper', xat 'salmon' and xat 'root'. The d i s t i n c t i o n between low and i n d i f f e r e n t p i t c h , however, i s less e s s e n t i a l . Stress, though generally associated with high tone, i s not  22  In Shuswap, an Interior Sallish language, Kuipers (1974: 34) d i s tinguishes between 'automatic' and 'inherent' rounding of consonants. A l l consonants which are correlated f o r the rounding features are automatically rounded before and after u, as w e l l as contiguous to rounded consonants (or separated only by schwa).  23  According to Naish (1966: 26), a tone group consists of the tonic s y l l a b l e , always word f i n a l i n a tone group, plus optional s y l l a b l e ( s ) . However, not a l l T l i n g i t d i a l e c t s have tone. H i s t o r i c a l l y , according to Krauss (Kinkade, p . c ) : "... Eyak and PCA [ P a c i f i c Coast Athapaskan], instead of developing tone l i k e so much Ath, have instead kept g l o t t a l modification of the stem-vowel. Southernmost T l i n g i t (Tongass, under Tsimshian influence) has also done the same, the rest of T l i n g i t having developed tone instead."  - 55 -  phonemic.  According  to Velten (1944: 168), neither quantity  nor  stress i s phonemic, while a non-distinctive difference i n lower and neutral tones i s apparently 29), who  based on sentence rhythm.  Story (1966:  has i d e n t i f i e d four contrastive tone patterns, notes:  The tonic s y l l a b l e i s generally the stressed s y l l a b l e though s y l l a b l e s are l i t t l e d i f f e r e n t i a t e d by stress, and i n tone patterns 1 and 2, the s y l l a b l e immediately before the tonic s y l l a b l e , when i t contains a long vowel, may be equally stressed with the tonic s y l l a b l e . Stem tone i s not absolutely stable, since high tone may certain compounds.  be l o s t i n  Boas (1917: 12) has given the following examples:  xuts-nuwu^ "bear's f o r t "  xutsnuwu  "Bear Fort" (place name)  ?ak  ?ak qwan  " L i t t l e - L a k e " (tribe)  " l i t t l e lake"  w  w  Naish (1966: 29) suggests that a free-form stem with tonic s y l l a b l e has a variant form with no tonic s y l l a b l e as the f i r s t element of a compound. his  Velten (1939: 70) states, i n reference to  word l i s t , that nouns may  compounds.  change t h e i r p i t c h when entering into  Velten (1944: 168) notes as well that the opposition of  high and low tone i s neutralized i n certain s u f f i x e s , e.g.,  -de,  - y l , yln. According  to Naish (1966: 28), c e r t a i n function words have no  associated tone.  Tone d i s t i n c t i o n also d i f f e r e n t i a t e s members of a  verbal paradigm.  Story  (1966: 63-5)  has postulated a number of  hitherto unmentioned patterns of the verbal paradigm. verb stems, always of CV(C)  shape, may  Variable  be i n f l e c t e d by the opposition  of high vs. low tone and of long vs.' short stem vowel.  For example,  with stem-final consonant, Stem Type 2, probably the most common, i s  - 56 -  postulated to occur with four i n f l e c t e d stem forms and the following opposition of tone: 1 Cv:C  2  3 Cv:C  Cv:C  4 Cv C  Stem form 1 (with a f f i x e s ) corresponds to the English pluperfect 2 to the future, 3 i n part to a s i m i l i t u d i n a l clause "as" + perfect, and 4 to the imperative. As i d e n t i f i e d by Story (1966: 29), there are four contrastive tone patterns i n normal tone groups: three with high tone on the f i n a l , penult, or antepenult s y l l a b l e ; and one with low tone on the f i n a l s y l l a b l e of the tone group.  According to Story (1966: 29):  The pitch of the pre-contour to the tone group (that i s , the pitch of those s y l l a b l e s ^ i f any, preceding the tonic s y l l a b l e ) , i s on a low-mid l e v e l . The f i r s t s y l l a b l e of the pre-contour i s s l i g h t l y higher than any following s y l l a b l e s i n the pre-contour. The post-contour, i f any, following a high tone f a l l s to low i f the vowel of the s y l l a b l e following the tonic s y l l a b l e i s long; the pitch of the s y l l a b l e following the tonic s y l l a b l e i s maintained at a high l e v e l i f the vowel i s short. Tone i s not inherent i n a l l morphemes.  For example, from Boas'  data (1917: 17, 84, 87-91), two suffixes of a neutral tone, - y i with a variety of functions including nominal possession and verb nominali z a t i o n , and - y i n indicating past tense, when affixed to a stem, take the tone opposite the stem vowel. Minimal pairs indicate the contrastive differences i n high and low tones.  High tone i s marked by acute accent, low by grave accent.  The following data, i l l u s t r a t i n g this tonal opposition, are taken from Boas (1917: 11-12)..  - 57 -  5  1 *  r  ta  "king salmon"  ta  '/board"  xat  "root"  xat  "salmon"  til  "scar"  til  "shoe"  xas  "to cut" (past)  xas  '(future)  qin  "to f l y " (past)'  qin  (future)  han  "to stand"  han  (future)  V  (past)  V  In addition to his examples previously c i t e d , Velten (1944: 168) also c i t e s : tu  II.9  "inside, i n t e r i o r "  tu  "mind, thought".  BORROWING - PHONOLOGICAL INLOANS  As a means of tracing ^ofitjaCC-i'-pPeliistory anddesteablishing areas of l i n g u i s t i c d i f f u s i o n , borrowing has been discussed i n some d e t a i l by Haas (1969: 80) who has suggested important  that "...loan words are as  i n tracing h i s t o r i c a l contacts as cognates are i n tracing  historical origins."  In addition, l e x i c a l borrowing offers insights  into phonological adaptation when a loanword i s adopted from the donor language (DL) to the recipient language (RL). Since T l i n g i t phonology lacks b i l a b i a l s and labiodentals as well as the voiced alveolar f r i c t i o n l e s s continuant / r / and the v o c a l i c lateral / l / ,  certain changes are made i n adaptation.  Although as  Swanton (1908: 472) noted, i n studying the Sitka d i a l e c t with material from Wrangell and Yakutat, the use of m occurs " i n a few words imitating natural sounds and i n words introduced from other stocks such as Tsimshian; 1, however, is' usually t r a n s l i t e r a t e d as n."  - 58 -  More recently, Dauenhauer (1976: 10) has concurred: The T l i n g i t language has no b i l a b i a l s or labio-dentals, no p, b, f or v. M appears as a d i a l e c t v a r i a t i o n of w. Also there i s no r, and 1 only appears as a d i a l e c t v a r i a t i o n of n. There are, however, several examples i n T l i n g i t of inloans from Tsimshian, Athapaskan, English, Russian and French, where loanword phonemes or features have been changed to conform with the existing phonological system.  Examples below (Boas 1917: 10, 1-3; Dauenhauer  1976: 10, 4-6) show the adaptation of a foreign l a b i a l to a T l i n g i t labiovelar, since l a b i a l s are noticeably lacking i n T l i n g i t .  Donor Language  Gloss  Original  Tlingit Borrowing  1.  Tsimshian  "Tsimshian"  cem-sian  c'ucxAn  2.  Northern Athapaskan  "mountain sheep"  tXme  t Aw£  3.  Northern Athapaskan  "caribou"  mAd?  WAClX  4.  English  "machine"  math i n e  washeen  5.  English  "watchman"  6.  English  "commissioner"  'watchman commissioner  waachwaan kawxshan  In terms of major class features, the change i s perhaps best characterized as  + son + cor  - cons + back  That class of consonantal  sonorant segments marked for the feature coronal, i . e . nasal  /m/,  backs, rounds, and loses the feature of consonantality when borrowed. Further examples from Dauenhauer (1976: 10) i l l u s t r a t e the ^ adaptation of foreign b i l a b i a l sounds into T l i n g i t as velars  (Dauen-  - 59 hauer's orthography and tone markings are followed in*his foreign examples where double l e t t e r s indicate long vowels).  Donor Language  Gloss  Original  Tlingit Borrowing  7.  Russian  "beer"  'pivo  gee waa  8.  Russian  "priest"  batyushka  wadooshka  9.  EEnglish  "peanuts"  'pi:nats  gweelats  10.  EEnglish  "molasses"  me'lffisoz  ganaashish  11.  French  "priest"  le'p^et-J  nakwneit  12.  French  "table"  la'tab}  nadaakw  Russian  p  Tlingit  :bi French  p  g" w  Tlingit  b English  r  p m  Tlingit  w  g g  According to Dauenhauer (1976:' OiO) also " . . . i n English words spoken with a T l i n g i t accent, b i l a b i a l s are commonly realized as velars. Thus ' t i p ' becomes ' t i c k ' and 'helicopter' becomes 'helicockter'." Further borrowings  (Dauenhauer 1976: 10, 12; Story 1966)  illu-  strate the t y p i c a l adaptation of foreign l i q u i d s to nasal or s y l l a b i c segment (tone indicated where given).  However, I. Brenzinger (p.c.)  notes that for orthographic consistency i n Russian examples 8 and 16, the p a l a t a l i z e d t of batyushka would be indicated as batushka.  - 60 -  Donor Language  Gloss  Tlingit Borrowing  13.  English  "dollar"  daanaa  14.  English  "gold"  goon  15.  English  "rum"  naaw  16.  Russian  krest ("cross")  kaneist  Characterizing the change, i t would appear than an adapted l i q u i d retains the major class features of sonorance and  consonance  i n the environment of a consonant, gaining a s y l l a b i c feature i n the environment of a vowel (depending on the s y l l a b l e  placement).  In  addition, a further rule to do with tone may be deduced from the examples above.  Tone Transfer  Tlingit + high tone  1 stress  Donor languageepriiiiary stress becomes high tone i n T l i n g i t . Illustrative  of phonemic adaptation i s the evidence of in-loan  borrowing, from which a few general rules may be deduced: Donor Language  Adaptation  Northern Athapaskan, English  (1) DL m  English  (2) DL|r-J  RRussian  (3) DL Cr  French  ( 4 )  ^fbj  Source >-Tl w  >  ft n  Boas (1917)  <v  fcory  (  l  g  U  )  > T l Cn ffiauenhauer (1976) >  ^  Dauenhauer (1976)  - 61 -  11.10  DIALECTAL VARIATION  Outside of the i d i o l e c t a l v a r i a t i o n (mentioned i n section II.6), minor differences i n d i a l e c t also occur.  For example, the ethno-  grapher Swanton (1911: 163) noted, and c l a s s i f i e d geographically, 24 certain d i a l e c t a l differences observed: Although each town appears to have had certain d i a l e c t i c p e c u l i a r i t i e s , i t would appear that the language nowhere varied very widely and that differences were mainly confined to the different arrangement and handling of p a r t i c l e s ; the l e x i c a l changes being very few and the structure p r a c t i c a l l y uniform. The greatest divergence i s said to exist between the Yakutat people on the one hand and the people of Wrangell and the other southern towns on the other hand - the speech at Sitka, Huna, Chilkat, Auk, Taku and K i l l i s n o o being intermediate.  Though very l i t t l e has been published, f i e l d workers appear to have covered the major areas of divergence. two or three d i a l e c t areas.  There are, evidently,  According to Story (1966: 11), who  has  described the speech of the Angoon, or central, d i a l e c t : There are d i a l e c t a l differences but these appear to affect extensor forms, close vowels and intonational features f o r the most part, and divergence between d i a l e c t s i s small. Two papers by Velten (1939, 1944) are descriptive of the southern d i a l e c t ; Boas' work i s i n the northern d i a l e c t . 24  Interestingly, with regard to Swanton's s k i l l s as a Northwest Coast ethnographer, Levine (1973: 28) has noted: "Research on the Haida language and n o n - l i n g u i s t i c .-..culture was conducted i n the f i r s t part of the twentieth century by John Swanton, whose s k i l l as an ethnographer r i v a l s that of Franz Boas, the founder of ethnographic methodology i n North America. In addition to a monograph on Haida, which i s without question the most detailed, accurate and objective work on Haida ever written, Swanton presented a c o l l e c t i o n of myths and a grammar, based on the texts of those myths."  - 62 -  However, i t has not been ascertained d e f i n i t e l y whether there are two or three, or more, d i a l e c t areas i n existence.  Swanton  (1911) and Story (1966) evidently subscribe to three:  northern,  southern and central.  The ethnographer de Laguna (1960) and Velten  (1944: 168 n. 1), following Boas, mention two. According to Pinnow (1970: 26-7), Buschmann (1855, 1857) and Swanton (1908, 1909, 1911) worked i n Chilkat (N) and Sitka (N); Swanton also i n Yakutat (N) and Stikine (S). Krause (1885) dealt mostly with Chilkat and Sitka.  D a l l (1877) touched upon Taku (N),  Stikine, Sitka and Tongas (S). The most r e l i a b l e work, however, i s that of Boas (1917) i n Chilkat, Velten (1939, 1944) i n Klawak (which Velten asserts as the most southern of d i a l e c t s ) , and that of Naish (1966) and Story (1966) i n the Angoon or central d i a l e c t t Velten (1939: 65) has perhaps noted most thoroughly the s l i g h t v a r i a t i o n i n the northern Chilkat and southern Klawak d i a l e c t s : The main p e c u l i a r i t i e s of the southern d i a l e c t consist i n the transformation of certain verb c l a s s i f i e r s and i n the tendency to open closed vowels of high pitch and to close the open vowels a, e, I, U, especially when they have low p i t c h . Thus, along with a few minor morphological and l e x i c a l changes, the major differences appear to be tonal and v o c a l i c . II.10.1  Vocalic and Tonal V a r i a t i o n  According to Velten (1939: 70 n. 1), d i a l e c t s generally agree on p i t c h , though with many differences i n vowel q u a l i t y . notes, however, that  Velten  - 63 -  ...the rules concerning p i t c h after certain nouns and prefixes, as set forth by Boas (75-7), do not always seem to hold good i n the southern d i a l e c t .  Although Velten provides no examples f o r these tonal differences, Boas' (1917: 75-7) northern d i a l e c t material shows that certain of the 'locative prefixes require an open vowel and low p i t c h , when occurring with the past tense form of the verb stem.  In addition, some  of Velten's (1939: 71-72) examples show a d i a l e c t a l morphophonemic alternation of e^A  (Boas 1917: 92., 104),  Velten  e.g.:  Boas (1917: 92,  -ye  p a r t i c l e of place  yA  yex  "likeness, i n l i k e manner"  yAx  '  5  kenen  11  to jump"  104)  5  kAn, ken  Other sound change has been noted i n Velten (1939: 72-73): southern  ^ a;.  xan  anpc:  anger  northern kan  k gwA-  (future prefix)  gUgA-  taq  "inland"  d/\q  w  L e x i c a l v a r i a t i o n other than sound change has not been noted i n Velten's data. Close vowels of low pitch occur more often i n the southern dialect.  In addition, as previously noted, there i s a tendency, i n  contrast with the northern d i a l e c t s , f o r the closed vowels of high p i t c h to open and for the open vowels, e s p e c i a l l y those with low p i t c h , to close.  Examples from Velten (1939: 71, 72; 1944: 178)  and  - 64  -  Boas (1917: 107, 123-125) showing v o c a l i c and/or tonal change are: Velten  Boas  ylt  "son"  yit  te*  "stone, rock"  te  taq  "inland"  dXq  yax  "border, edge, shore"  yXx  Velten notes that the form /dAq/ may appear only without a p r e f i x i n southern speech. Because features of tense vs. lax, or even those suggested by Halle (1974) of [+ advanced tongue root] and [+ constricted pharynx], do not adequately characterize the change from open to close i n southern vowels, the suggested feature £or r e f l e c t i n g t h i s change i s that of length, e.g.: Southern Dialect  V a high tone  i ^  [-a long]  As a feature of the southern d i a l e c t , vowels with high tone become short; low-toned vowels lengthen.  That this i s the right feature  characterization seems confirmed by Naish (1966: 22) who  suggests  that there i s ...some contrast i n phonetic duration between vowels... only maintained i n tonic s y l l a b l e s .  II.10.2  Classifiers  As previously noted, an important difference i n the extensor forms or c l a s s i f i e r s i s evidenced d i a l e c t a l l y .  ' C l a s s i f i e r ' i s the  - 65 -  t r a d i t i o n a l term used by Boas (1917), Swanton (1911), Sapir (1915), Velten (1939), Krauss (1969) and Pinnow (1970).  Krauss  (1969: 81 n . l ) ,  noting that the term ' c l a s s i f i e r ' i s a "blatant misnomer", defines c l a s s i f i e r s as a "set of morphological segments occurring i n p r e f i x a l position immediately preceding the stem i n the Athapaskan, Eyak and T l i n g i t verb."  'Extensor' i s the term devised by Naish (1966) and  Story (1966) to express the derivational and i n f l e c t i o n a l element which, when affixed to a verb stem, comprises the major component of the verb theme. Of the four series of extensors, one of which w i l l precede the verb stem, one series, i n the northern and central d i a l e c t s , i s of the s y l l a b l e structure CV, while i n the southern dialects these forms are mainly consonantal.  Velten (1939: 69-70) has described these  changes i n s y l l a b l e structure. li-,  The northern c l a s s i f i e r s  s i , s i - , di-, Ai-, dzi-, j i -  appear i n southern speech as T—,  S , S—, L —,  7T  , C , C—•  In addition, there i s an apparent loss of voicing i n the southern stop and a f f r i c a t e forms. As a result of these changes i n s y l l a b l e structure, Velten (1944: 70) notes that: ...the approximate d i s t i n c t i o n between d e f i n i t e and i n d e f i n i t e c l a s s i f i e r s traceable i n the northern d i a l e c t s . . . has, to a great extent, broken down i n southern speech. It must be remembered, however, that the o r i g i n a l functions of the c l a s s i f i e r s are largely effaced i n the whole T l i n g i t language, and that i n the consciousness of the native speaker verb stem and c l a s s i f i e r form an i n d i v i s i b l e u n i t .  - 66 -  Velten (1939: 69) c i t e s the following verbs i n the southern dialect  (the northern equivalents are given i n brackets): V  V  wU-l-sat  (wU-li-s at)  "he was carrying"  wu-s-ha  (wU-si-ha)  "he missed him"  wU-s-geq  (wU-si-geq)  "he was stingy"  wU-t-9iax  (wU-di—?tax)  " i t was grey"  wU-A-gUt  (wU-Ai-gUt)  "he was going"  qiy-c-ti  (qiy-dzi-ti)  "thou art born"  -.  v  •.  wU-c-xix II.10.3  r  K  \  (wU-ji-xix)  "he ran"  I d i o l e c t a l V a r i a t i o n as a Dialect Feature  I d i o l e c t a l v a r i a t i o n (v. II.6.3) has been noted by Story as a d i a l e c t feature.  For example, Story (1966: 31))suggests:  In IPA terms i t may be said that regressive p a l a t a l i z a t i o n and progressive l a b i a l i z a t i o n occur. When these c o n f l i c t , which takes precedence, or the degree to which either i s operative, depends on i d i o l e c t . I d i o l e c t s i n which regressive p a l a t a l i z a t i o n i s dominant are c a l l e d y - i d i o l e c t s (a y - i d i o l e c t i s standard i n the central area) and i d i o l e c t s i n which progressive l a b i a l i z a t i o n i s dominant are c a l l e d w - i d i o l e c t s .  Thus, one of the more i n t e r e s t i n g d i a l e c t features i s the a l t e r nation next to high vowels of semi-vowels which, depending on r e l a t i v e glide strength i n an area, results i n either regressive p a l a t a l i z a t i o n ( y - i d i o l e c t ) , or progressive l a b i a l i z a t i o n (w-idiolect).  The y-  i d i o l e c t , standard i n the central area, was also evidenced i n 'the speech of Boas' (1917: 16) northern Chilkat informant. In treating d i a l e c t v a r i a t i o n as a phonological process, an  - 67 -  alternation i n form, rather than as an inherent constraint  (a much  stronger view), i d i o l e c t a l v a r i a t i o n may be handled by two phonol o g i c a l rules.  I f these i d i o l e c t a l variations are to be regarded  as P-rules and thus handled under the heading of d i a l e c t v a r i a t i o n , the suggested rule for p a l a t a l i z a t i o n wand*, a further rule f o r labialization  follow:  Rule: Y - i d i o l e c t (Central and Northern Area) Regressive Palatalization Rule:  - cons - syll  [- round]  /  - cons - syll  [+ round] /  V [- round]  W-idiolect  Progressive Labialization II.10.4  [+ round]  Other Features  A further feature of the southern dialects cited by Velten (1939: 66 n. 1) i s an apparent d e l a b i a l i z a t i o n , which often occurs word-finally  after vowels.  For example, Velten (1939: 72, 74; Boas  1917: 126, 128) noted: kux  "marten"  kux  w  naq  "devil f i s h "  naq  w  southern  northern  The suggested optional ruHe*- f o r d e l a b i a l i z a t i o n i n the southern dialect, iapplying to tone-bearing stems, i s : DELABIALIZATION (optional) SOUTHERN DIALECT  C  > ' [- round]  A consonant may unround optionaiiylword f i n a l l y .  /  #  - 68 -  For the Angoon or Central d i a l e c t , Story  (1966: 33), however,  has suggested a general rule applying to stem-final consonants and consonantal suffixes where "stem-final velar or uvular, or velar or uvular constituting a s u f f i x , [which are] l a b i a l i z e d without a following s u f f i x , are simple when preceding a s u f f i x with i n i t i a l vowel".  Examples given by Story  (1966: 34)  are:  xuw  "blanket"  du xiiwu  "his  xuwx  "blankets"  du xuwxu  "his blankets"  yag  "boat"  du yagu  "his boat"  " l i t t l e boat"  du yag ku  "his l i t t l e boat"  w  yag k w  w  blanket"  However, as Kinkade (p.c.) has pointed out, t h i s apparent n e u t r a l i z a t i o n (of consonant preceding a rounded vowel) may kind of orthographic  be a  self-deception since, phonetically speaking,  the l a b i a l i z a t i o n of vowels w i l l necessarily affect consonant articulation.  As noted by Kuipers (1974: 34) for Shuswap, a back  consonant contiguous to a rounded consonant or vowel w i l l most commonly show some rounding whether or not indicated orthographically. As indicated by Kinkade ( p . c ) , n e u t r a l i z a t i o n of this kind  may  frequently and mistakenly be referred to as d e l a b i a l i z a t i o n . However, in contrast, for the northern d i a l e c t , Boas' (1917: 17) example shows rounding of an a f f i x following a rounded consonant: gux  w  "slave"  duis gux x u w  w  (<du-is gux -x-yi) w  "his father's slave"  - 69 -  I I . 11  SUMMARY Using transcribed material from Boas (1917), Velten (1939, 1944),  and Naish  (1966) and Story (1966), who used respectively pre-phonemic,  phonemic and adapted tagmemic models, this Chapter has examined i n some d e t a i l aspects of T l i n g i t phonology generally within the confines of transformational generative  theory.  Under various section headings, we have dealt with T l i n g i t phonology using the methodology of generative phonology.  At the l e v e l of  observational adequacy we have found that generative theory accounts s a t i s f a c t o r i l y f o r the data, using the proposed phonemic modifications of Schane (1971), though perhaps certain questions are raisedaand not answered i n examining morpheme structure conditions. However, having examined the phonological structure i n some d e t a i l , the next Chapter w i l l proceed to a discussion of phonological processes.  - 70 -  III.O  PHONOLOGICAL PROCESSES This Chapter, based exclusively on Boas' (1917) Chilkat data,  w i l l cover a few of the most simple and general phonological processes i n T l i n g i t within a transformational generative framework considered to include a theory of natural phonology.  (It should  be noted that the rather extensive morphophonemic complexities of the i n f l e c t i o n a l aspects of the verb word, recently explained i n Story (1966), w i l l not be touched upon.)  For, as Dinnsen (1974: 29)  has described the goal of l i n g u i s t s : The task of descriptive l i n g u i s t i c s i s to provide a correct characterization of natural language. We, as l i n g u i s t s , are therefore concerned with proposing a t h e o r e t i c a l model which describes natural language and only natural language. Chomsky and Halle (1968) offered generative phonological theory as the most comprehensively defined model of natural language; and since that time much work has concerned i t s e l f with elaborating on that model.  The phonological processes described, such as f i n a l consonant devoicing, i n t e r v o c a l i c v o i c i n g , and a s s i m i l a t i o n , w i l l , as discussed by Schane (1973) and others, be simple and natural, and the rules w i l l be unrestricted i n a p p l i c a t i o n . Although the d i s t i n c t i o n w i l l not be made here, natural processes, which are innate and universal, have been characterized by Vennemann (1972) as allophonic or phonemic in e f f e c t , while natural rules may or morphological  be considered to be morphophonemic  (cf. Rudes 1976).  Although according to Boas (1917: 14) no phonetic  processes  'occur consistently i n T l i n g i t because of d e f i n i t e sound combinations,  - 71 -  phonetic change results from contact of the stem with c e r t a i n a f f i x e s or endings, as w i l l be i l l u s t r a t e d throughout i n a number of simple and universal processes which occur.''' While Schane (1972) has suggested that natural or context-free, or universal, rules w i l l f a l l mainly into the three categories of assimilation, preferred s y l l a b l e structure, and maximum d i f f e r e n t i a t i o n , the phonological processes which have been especially noted in T l i n g i t are f i n a l consonant devoicing (a natural process, Stampe 1969) , pre-vocalic stem voicing before suffixes (an assimilation process), yod deletion (a s y l l a b l e structure process), and an assimilation process which includes l a b i a l i z a t i o n and a feature to be 2 here interpreted under the heading of vowel harmony.  1  G l o t t a l insertion i s apparently an example of an exceptionless low l e v e l phonetic process which occurs with the p r e - g l o t t a l i z a t i o n of s t e m - i n i t i a l vowels. See Boas (1917: 14) where: "Initial vowels open with a g l o t t a l closure". Example: 0 —  >? / #  V  ?uk  w  "to b o i l "  wu±?ugun  See also Story and Naish (1973: 264) where':' verb stem begins with just a vowel." 2  " i t has b o i l e d "  "... no T l i n g i t  I t should be noted that, although this analysis includes underlying yod deletion and vowel harmony assimilation processes, M. Dale Kinkade (personal communication) has pointed, out that a simpler alternative, and perhaps more l i k e l y , hypothesis would be that of i n t e r v o c a l i c glide i n s e r t i o n with v o c a l i c a s s i m i l ation. Kuipers (1967: 36) noted a kind of progressive vowel assimilation i n Squamish, perhaps i l l u s t r a t i v e of the kind of process Kinkade suggests. Since this explanation of glide i n s e r t i o n and vowel assimilation i s a highly plausible one, examples of this alternative analysis w i l l be noted where appropriate i n the data.  - 72 -  In order to c l a r i f y the basic assumptions of this paper, however, with respect to phonological theory, a b r i e f r e c a p i t u l a t i o n of the transformational generative model w i l l be given f i r s t , along with recent modifications to the theory i n the f i e l d of natural phonology.  III.l  STANDARD TRANSFORMATIONAL GENERATIVE THEORY In the standard theory of the 1960's expounded p r i o r to Chomsky  and Halle (1968) i n The Sound Patterns of English, the phonological component of the grammar was said to consist of morpheme structure rules and phonological r u l e s , the l a t t e r accounting f o r morphophonemic alternations i n form i n the phonetic representations (v. Lightner 1971: 499-564, Anderson 1974). In theory, the phonetic representations were considered to be segmentally discrete bundles of d i s t i n c t i v e features, while the ordered or p a r t i a l l y ordered phonological rules were given formal and precise status.  Phonological descriptions were evaluated simply  by counting the number of features i n each, with the lowest i n number being the most highly valued. After Chomsky's (1965) Aspects model, the phonological component i n a generative grammar, l i k e the semantic component, was considered to be interpretive of the central syntactic component. Exceptions to phonological rules were marked i n the lexicon, and the alpha convention to a s s i s t with problems of assimilation and d i s s i m i l a t i o n was recognized.  - 73 -  Further formal refinements to the theory i n rule and i n representation, though perhaps not widely welcomed, were suggested as the s i x t i e s .-progressed:  Bach's (1968) neighbourhood convention, L.  Anderson's (1967) l e f t - t o - r i g h t s y l l a b i c cycle, McCawley's (1969) i t e r a t i v e rules, and, most important t h e o r e t i c a l l y , Kiparsky's (1968) investigation into the abstractness of underlying representations . As suggested by Dinnsen (1974: 29): Elaborations on the Chomsky-Halle theory of phonology (henceforth, the 'standard theory') have been of two types. On the one hand, i t has been argued that a given descriptive device may be too powerful, i n that i t permits statements which cannot be supported by evidence from any natural language. In such cases, a more constrained descriptive device i s offered. On the other hand, some elaborations on the standard theory have involved adding a descriptive device which i n creases descriptive power. In these cases, i t i s argued that there i s some fact about natural language which must be accounted f o r , and which escapes a proper characterization i n the standard theory.  Major issues i n rule ordering were raised i n the l a t e s i x t i e s and early seventies by Chafe's (1968) persistent '("anywhere") r u l e s , Chomsky and Halle's (1968) marking conventions and l i n k i n g r u l e s , Lightner's (1968) minor r u l e s , Kiparsky's (1968, 1971)  feeding and  bleeding relationships, and opaque and transparent r u l e s , Kisseberth's (1970, 1971,  1972) d e r i v a t i o n a l constraints, and c y c l i c a l segmental  rules, S. Anderson's (1972) l o c a l ordering, Norman's (1972) i n s u f f i ciency of l o c a l ordering, and Koutsoudas, Sanders and Noll's (1974) i n t r i n s i c rule order.  Problems i n underlying feature representation  arose through an interest i n Stampe's (1969) natural processes and  - 74 -  natural phonology, Schane's (1968) non-uniqueness of  phonological  representations, and Vennemann's (1972) natural generative phonology based i n part on the serious acceptance of Postal's (1968) Naturalness Condition. to, generative  Therefore, based on constraints of, or  extensions  theory the major phonological issues of rule order-  ing and of underlying representation appeared to dominate l i n g u i s t i c discussion u n t i l the mid 1970's. Although i t has been suggested by Dinnsen that further major issues i n innovations to the standard  theory include  conspiracies (Kisseberth 1970), surface-phonetic  phonological  constraints  (Shibatani 1973), and c y c l i c segmental rules (Kisseberth 1972) , i t seems that stemming d i r e c t l y from the aforementioned issues of rule order and abstract versus concrete representation 'there has arisen a major theme of naturalness  III.2  i n phonology.  NATURALNESS IN PHONOLOGY  A r i s i n g p a r t l y from a recurring interest i n the hierarchy of phonological development put forth i n the implicational laws of Jakobson's (1940) Kindersprache and continued  research i n c h i l d  language a c q u i s i t i o n , as well as from an ongoing search for tighter phonological constraints i n standard theory, naturalness  transformational  generative  i n phonology i n the guise of natural segment,  natural c l a s s , natural system, natural process or natural rules has been a recent goal of l i n g u i s t i c theory.  According  to Stampe (1969:  540), however, Jakobson's implicational laws, and the markedness  - 75 -  theory of Chomsky and H a l l e , unlike Stampe's (1969) theory of natural phonology, are merely a subset of context-free phonological processes. Thus, according to Bach and Harms (1972: 5): A number of l i n g u i s t s have begun to emphasize the serious limitations i n this account of phonological [ c l a s s i c a l generative phonology] theory. The main c r i t i c i s m has been directed at the lack of substantive assumptions about the context of r u l e s , the p a r t i c u l a r generalizations that are available for the human (as opposed to the dolphin) communicator and so on. Under the headings of "markedness", "naturalness" or "archetypal r u l e s " l i n g u i s t s have begun to search for tighter constraints on phonol o g i c a l systems and rules.  Characterized by a l i n g u i s t i c c r i t e r i o n of s i m p l i c i t y , n a t u r a l ness i n phonology has been defined as a search for phonetic plausibility  (v. Hyman 1975,  Schane 1972), although Bach and Harms (1972)  and Skousen (1972) have recently c r i t i c i z e d naturalness conditions for being e s s e n t i a l l y diachronic, and subject to the process of denaturalization through time.  While opponents to naturalness may  raise interesting points, i t seems important to allow proponents of naturalness an adequate synchronic forum, remembering as well the dictum of Saussure (1915/1959: 99) that ... each language i n practice forms a unit of study, and we are induced by force of circumstances to consider i t alternately from the h i s t o r i c a l and s t a t i c viewpoints. Above a l l else, we must never forget that this unit i s s u p e r f i c i a l i n theory, whereas the d i v e r s i t y of idioms hides a profound unity. Whichever way we look at studying a language, we must put each fact i n i t s own class and not confuse the two methods.  Archetypal rules (cf. Foley 1968) w i l l not be discussed i n this paper.  Chomsky and Halle's (1968) markedness, Stampe's (1969) theory  - 76 -  of natural phonology, and Vennemann's (1972) natural generative phonology w i l l be discussed b r i e f l y below. III.2.1  Markedness  Markedness theory has been the recent proposal of Chomsky and Halle to incorporate within transformational generative phonology the i n t r i n s i c feature content of a universal sound inventory i n a natural manner. To r e c t i f y e a r l i e r attempts at capturing "naturalness" with the notion of natural c l a s s , Chomsky and Halle (1968: 400) noted that The entire discussion of phonology i n this book suffers from a fundamental t h e o r e t i c a l inadequacy. Although we do not know how to remedy i t f u l l y , we f e e l that the outlines of a solution can be sketched, at least i n part. The problem i s that our approach to features, to r u l e s , and to evaluation has been overly formal. They therefore posited the Praguian concept of a set of universal feature values i n thefform of 'markedi'i versus  'unmarked' segments.  According to Anderson (1974), these universal marking conventions, intended as a substitute for language-specific morphemestructure conditions, are used to interpret l e x i c a l matrices to the desired 'natural' configurations, while the accompanying 'linking' rules applying to these derivations adjust feature values i n an attempt to characterize naturalness within the generative framework. Marking conventions have been c r i t i c i z e d , however. approving  While  the move to universalize phonological theory by removing  i t s "arbitrary and formal character", Anderson (1974: 291S2) has  - 77 -  suggested that marking conventions  are i n relevant respects  "simply  a version of Stanley's, with u n i v e r s a l i t y posited", and that these conventions  s t i l l do not capture naturally c e r t a i n u n i v e r s a l phono-  l o g i c a l processes  that occur, such as voicing a s s i m i l a t i o n i n  consonant c l u s t e r s . Marking conventions  have been used i n this paper as a notational  abbreviation characterizing features and rules throughout. III.2.2  Natural Phonology  The theory of natural phonology, advanced by Stampe (1969) since 1965,  i s based on a postulated innate system of a complete  sefctof phonological processes i n which the. residual l e f t by l i n g u i s t i c experience i s the result of a number of mergers of a "potential phonological opposition into that member of the opposition which least t r i e s the r e s t r i c t i o n s of the human speech capacity." As Stampe (1969: 444) has stated: I assume, then, that i n i t s language-innocent state, the innate phonological system expresses the f u l l system of r e s t r i c t i o n s of speech: a f u l l set of phonological processes, unlimited and unordered. The most extreme processes are usually observable only i n infancy: unstressed s y l l a b l e s are deleted, clusters and c o a r t i c u lations are s i m p l i f i e d , obstruents become lax stops, Unguals become coronals, vowels merge to a.  According to Stampe's theory, these contradictory and binary phonetic r e s t r i c t i o n s impinging on the phonological may  be limited i n three ways:  or by ordered rule application.  by suppression, by p a r t i a l  apparently processes  suppression,  - 78 -  For example, the suppression of a natural process would ensure the appearance of voiced obstruents i n a l l contexts though obstruents are, through o r a l c o n s t r i c t i o n , by nature v o i c e l e s s .  Partial  suppression, or l i m i t a t i o n , of a process would allow voicing of obstruents i n voiced contexts, for example i n t e r v o c a l i c a l l y through assimilation.  Ordered a p p l i c a t i o n has reference to changes which  result from a d i f f e r e n t ordering of phonological processes. example, i n the case of obstruents, the devoicing process  For may,  through ordered a p p l i c a t i o n , either precede or follow i n t e r v o c a l i c voicing. Stampe's system of natural phonology may  be compared with  Vennemann's (1972) natural generative phonology i n that no d i s t i n c t i o n i s made between redundancy rules (morpheme -structure conditions) and phonological rules.  Instead, a difference occurs between morpho-  phonemic and phonolggical (phonemic) r u l e s , termed respectively phonological rules and phonological processes as noted by Rudes (1976: 142 n. 1) where ... within the framework of natural phonology proposed by David Stampe (1973) [where] phonological process i s used i n the sense of our phonological rule or process and phonological rule i s used i n the sense of our mprphophonemic rule....  III.2.3  Natural Generative Phonology  Natural generative grammar has been defined by Vennemann (1972: 110)  as  - 79 -  ... a generative theory of language which i s characterized primarily by the absence of a provision for e x t r i n s i c rule ordering. The goal of this theory i s to establish a system of universal constraints which i s powerful enough to free the l i n g u i s t analyzing a language to construct a grammar which d i r e c t l y models the mental representation of the generative and analytic capacity underlying that language.  A r i s i n g from e f f o r t s to constrain or l i m i t the power of transformational generative phonology (TGP), a theory of natural generative phonology (NGP), based on i n t r i n s i c rule order ( c f . Koutsoudas, Sanders and N o l l 1974), the strong naturalness cond i t i o n (Postal 1968), and the basic category p r i n c i p l e , has been developed  from Vennemann (1972), and the recent work of Hooper  (1975). Differences between transformational generative phonology and natural generative phonology have been discussed by Vennemann (1972: 110-11): In morphology, the constraint that a l l rules are unordered (a term which I w i l l use with 'random sequentially ordered' or 'applying whenever a rule's structure description i s met') leads to a number of consequences which make this portion of a grammar look r a d i c a l l y d i f f e r e n t from a TG phonology. For example, there i s no difference between l e x i c a l redundancy rules and phonological rules (NG phonology shares this property with Stampe's 'natural phonology') ... Instead, there i s a d i s t i n c t i o n between phonological rules (allophonic and phonemic rules) on the, one hand and morphbphonemic, morphological, and sandhi rules on the other.  Recent a r t i c l e s i n Glossa of Hooper and T e r r e l l (1976) and Rudes (1976) have discussed stress assignment, and l e x i c a l representation within this theory.  According to Hooper and T e r r e l l (1976: 65):  - 80 -  NGP d i f f e r s from TGP i n that NGP has stronger cons t r a i n t s on abstractness. In p a r t i c u l a r , the rules of the grammar are not e x t r i n s i c a l l y ordered, rather aarule applies each and every time i t s s t r u c t u r a l description i s met... In discussing natural processes we w i l l , after some discussion, adhere to Vennemann's theory of natural generative phonology i n the acceptance of unordered  III.3  rules.  CONSONANT DEVOICING In T l i n g i t , voiced obstruents are devoiced word f i n a l l y or at  morpheme boundary as shown below.  Since there are no examples of  consonants with word-terminal voicing, and because no underlying voiced consonants are posited word-finally, t h i s appears to be an exceptionless rule-an example^of. one^of-Stampe-' s' innate and, i n this context, unsuppressed phonological processes i n which obstruents are devoiced through the natural process of oral c o n s t r i c t i o n (Stampe 1969:  443, 445). The following noun and verb stems i l l u s t r a t e obstruent  devoicing i n word-final position, especially i n these rare stems ending i n consonant c l u s t e r s . orthography  (Data from Boas ^1917: 13 , whose  i s given a current Amerieanist transcription. 4  p. 81 v i a Swanton 1909, v. Boas 1917:7).  Item 14,  - 81 -  Noun Stems  1.  9. cUck  "devil's club"  SAXt \  "bird"  w  •r  2.  ?ixt'  "shaman"  10.  CAlk  3.  sAqs  "a species of tree for making bows"  11.  kink  "stale  4.  gAnc H "leaf  12.  tlnx  "Arctostophylus uva u r s i  5.  yAx c  tobacco"  5  "gopher"  5  ' 'v '  "sea otter"  13.  6. xlxc  "frog"  14.  kwAlx  7.  "ground"  15.  SAtX  w  *Atk  xesx  salmon-head"  "bluejay, blue"  w  "green fern root"  f  "elder s i s t e r "  /  8.  nusk  w  "wolverine"  16.  taql  "hammer"  Verb Stems  1.  suwq  "to laugh"  3.  xlxc  "to be suspended"  2.  nA±x  "wealthy"  4.  klks  "to shake"  Rule 1 CONSONANT DEVOICING  [+ cons]  ->  [- voice]  /  [+ F.B.]  Obstruents are devoiced stem f i n a l l y .  III.4  YOD-DROP In Boas' (1917:' 15) data, na . p a l a t a l voiced continuant (yj)^  appears i n certain marked a f f i x e s where i t i s deleted following a consonant or glide.  Examples given (Boas 1917: 15) show the loss  of underlying /y/ i n the suffixes {-yl} and {-yln}.  - 82 < du-gas-yl  1.  gas  "post"  dugasi  "his  post"  2.  ?an  "town"  yxis rani  "your father's town"  < ?an-yi  3.  XWAA  "tired"  xweXIn  "having been t i r e d "  < xwe^t-yin  In the framework of generative phonology adopted here, there are two ways of representing this s u f f i x - i n i t i a l segment with regard to the underlying representation. The f i r s t method would o f f e r the underlying h i s t o r i c a l and etymological voiced post-palatal continuant as an abstract representation with rule-governed loss or assimilation. The second, and more concrete, method would consider the glide as being morphologically marked for loss i n certain environments, for assimilation i n certainoothers. Primarily because Boas' orthography  i s not always consistent  with regard to a /y^y/ alternation i n words or s u f f i x e s , the second method of morphological marking has been a r b i t r a r i l y chosen. Therefore, the suggested rule of yod drop (in which a necessary s t i p u l a t i o n i s that this rule must apply to underlying forms as the s t r u c t u r a l description i s met, unless rule ordering i s presumed) i s : Rule 2 [+ cons] YOD DROP  - syll - cons  ->  0  /)\~-  syll"] ( - cons  [+  F.B.]  The glide /y/ i n certain morphologically marked suffixes i s dropped following a consonant across a morpheme boundary. However, although following Boas (1917) this analysis includes processes oftyod deletion and vowel assimilation,  - 83 -  M. Dale Kinkade (personal communication) has suggested that a simpler, and perhaps more natural, hypothesis involving a commonly occurring phonetic process would be that of i n t e r v o c a l i c glide i n s e r t i o n with v o c a l i c assimilation.  This appears to be the accepted  analysis as well of Story and Naish (1973: 348) where:  "... i f a  stem ends i n a vowel, then the consonant y or w comes between the stem and the s u f f i x , y i f the s u f f i x i s -ee, w i f the s u f f i x i s -oo." For several reasons, however, including the etymological o r i g i n of the glide /y/, I have rejected t h i s alternative.  F i r s t , there  are, i n T l i n g i t , a number of morphophonemic alternations involving consonant change or vowel assimilation which, i n a generative analysis, would require the positing of an underlying form to  be changed i n  certain phonological contexts by r u l e , for a more l i n g u i s t i c a l l y general solution. Second, other functional i n f l e c t i o n a l suffixes of the same type as {-yi} and {-yin}, such as {-iq} and {-it} show.vowel loss, rather than glide i n s e r t i o n , after stem-final vowel, while stemi n i t i a l vowels, as previously noted, are automatically preceded by g l o t t a l stop (cf. Story and Naish 1973:  349).  Third, since Boas' data are the r e s u l t of concentrated e f f o r t with his native Chilkat informant, Louis Shotridge, one would assume that Boas, l i k e Sapir i n Southern Paiute, would check with the informant for an innate i n t u i t i o n of his mother tongue.  For an  important, and often f i n a l , question i n generative phonology i s : would the i n t u i t i o n of a native speaker account for the data?"  "How  - 84 -  III.5  PRE-VOCALIC STEM VOICING  A related, though opposing, process to consonant devoicing i s the voicing of stem obstruents before v o c a l i c s u f f i x e s .  This  process, according to Stampe's theory of natural phonology, shows the p a r t i a l suppression of the devoicing process through l i m i t a t i o n . According to-Stampe - (1969: .443)'; phonological processes form opposing sets of c o n f l i c t i n g phonetic r e s t r i c t i o n .  In the  case of obstruents which are voiceless by o r a l constriction, thoughi: voiced, for example, through voicing assimilation i n t e r v o c a l i c a l l y , a confict of processes arises, one of which must then be p a r t i a l l y suppressed or limited. F i n a l stem voicing (noted also i n entries i n Story and Naish 1973, Part II), with the q u a l i f i c a t i o n s on voicing noted i n Chapter I, i s limited to occur only before v o c a l i c s u f f i x e s .  According to  Boas (1917: 14-15), stem voicing does not occur before glides, nor before a phonemic g l o t t a l stop plus vowel.  Examples are: V  \  \  /  1.  xat  "root"  - iduxadl  2.  ?at .  "to go":(pl)  ?adin  "having gone"  at-yin  3.  yek  "spirit"  duyegl  "his  spirit"  du-yek-yi  4.  yak  w  "canoe"  duyagu  "his  canoe"  du-yak -yi  5.  ?uk  w  "to  wul?ugfin  " i t has b o i l e d "  wu-l-?uk -yin  6.  wAq  "eye"  duwagl •/ > \  "his  eye"  du-waq-yi  7.  ke^c  "dog"  dukeXI  "his  dog"  du-ke9t-yi  \  ."hisiroot"  du-xat-yi  r  ^  boil"  \  \  ^  \  t  /  w  w  r  - 85 -  8.  XWA*  "tired"  xweAin  "he was t i r e d "  ,x', we*-yin  9.  xliV  "to f i s h with rake"  xlXa  "herring rake"  xl*-a  yAq  "to p u l l "  kAyAga  "stern sheets" (= p u l l e r )  k A-yAq-a  10.  :  Rule 3 PRE-VOCALIC STEM VOICING  _ , [+ cons]  . . . >• [+ voice]  rj  . /  r  , „ „ ., [+F.B.] [+ s y l l ] r  A consonant may be l i g h t l y voiced before a following vowel across a morpheme boundary. As the examples show, consonants are voiced i n t e r v o c a l i c a l l y , a second natural process.  However, a l e x i c a l exception to the f o r e -  going r u l e noted by Boas (1917: 14) i s ? i t "place" which i n composi t i o n with a v o c a l i c s u f f i x appears to be morphologically frozen, e.g. » • • . * • '  *.  xan ? i t l  III.6  "fireplace"  ASSIMILATION:  <xan ? i t - y i  LABIALIZATION OR VOWEL HARMONY  Of some i n t e r e s t y perhaps., to l i n g u i s t s has been the  suggestion  by Boas (1917) of the occurrence of vowel harmony i n T l i n g i t . Following Boas' analysis, we have chosen to consider the implications of certain of these harmonic processes within a generative framework and to discuss  them i n some d e t a i l .  Although Boas included l a b i a l i z a t i o n of glide and consonant as a vowel harmony process, we w i l l find i t somewhat simpler at the beginning to separate the two processes  for discussion.  - 86  -  As the discussion w i l l show, there i s approblem, of course, as to whether to include glide assimilation under l a b i a l i z a t i o n or under vowel harmony.  If glide assimilation occurs under l a b i a l -  i z a t i o n , the rule becomes somewhat awkward.  I f , however, glide  assimilation occurs under vowel harmony, then c y c l i c i t y , simultane i t y , or persistent rule application i s required.. These approaches w i l l be^considered' i n turn.  •  . tu-'  Kinkade (p.c.) has suggested that l a b i a l i z a t i o n may be a more general occurrence than suggested by Boas' data.  For example, on  reviewing verb roots i n Story and Naish's T l i n g i t dictionary, Kinkade (p.c;)"has perceptively commented: I note that i n the T-lingit dictionary, only a few roots are l i s t e d with f i n a l l a b i a l i z e d consonants after jL or e_ (there are many after a^, but i f , as you say, that may derive [sometimes?] from p_, that can be explained). Their i n i t i a l d i s t r i b u t i o n i s even more peculiar: there are only f i v e roots with i n i t i a l l a b i a l i z e d consonants before i ^ or e_; those before a. are presumably from forms with e a r l i e r o_. The fact that they are not written before back vowels i s misleading; i t i s u n l i k e l y that velars and uvulars are not rounded before back vowels, but the acoustic impression of rounding i s masked by the rounded vowel. Note also that S and N do not write rounded consonants after rounded vowels and rounding (in a root) a f t e r a rounded vowel may be blocked by a following front vowel." r  III.6.1  Labialization  Progressive l a b i a l i z a t i o n , or rounding of velar and uvular (Boas: p a l a t a l and velar) consonants as well as p a l a t a l g l i d e , occurs i n certain suffixes and prefixes after a l l l a b i a l i z e d soundsvowel, consonant or glide-and. after certain'words ending, i n phonetic  - 87 -  [a] which may  be recognized as underlying /o/.  be discussed  separately.  III.6.1.1  These cases w i l l  After Rounded Segments  The a f f i x e s marked for t h i s process are the velar "k" suffixes, the f i r s t person pronominal prefix, suffixes {-yi} the p r e f i x {ya-} 1917:  16-18).  and  {-yin}, and  which only l a b i a l i z e s after the vowel /u/  The vowels of suffixes {-yi}  and  (Boas  {-yin}, l i k e  the  vowels of other functional i n f l e c t i o n a l suffixes l i s t e d by Story and Naish (1973: 349),  are also marked for vowel harmony.  However, i n a stem, there i s no rounding a s s i m i l a t i o n r e s u l t ing from stem-affix *  '  composition, as the following examples show:  5  1.  duyitk  "her  2.  qukit'  "to pick b e r r i e s "  3.  wUxix  " i t fell"  5  l i t t l e son"  du-yit-k qu-kit' wU-xix  although an exception to t h i s rule occurs, an example of i d i o l e c t a l v a r i a t i o n (a further example (Boas 1917: t'iy  kUwAt'  160)  occurs i n the compound:  (<yAt' (v.)) "long-elbowed"):  v /j\ 4.  /  ?AkUwati  " i t s length"  A-ku-yat'-I  A few general examples of l a b i a l i z a t i o n follow. -"k"  suffixes  1.  ±14 inuguq  2. 3.  gux x yAawk w  w w  w  "do not be sick"  414  i-nuk -iq  "slaves" "a l i t t l e strap"  gux -x yA-aw-k  w  w  - 88 -  Examples are from Boas (1917: 16).  The optative verbal s u f f i x / i q /  i s subject to vowel harmony or rounding a s s i m i l a t i o n , as w e l l as to vowel loss following a f i n a l stem vowel (Naish 1966: 31).  1st person pronoun  Although weak l a b i a l i z a t i o n of k-sounds a f t e r /u/ i s found i n 1st person pronoun combinations, i n slow speech i t tends to disappear: \  \  \  t  1.  kUq A-4A-sIn  "I s h a l l hide i t myself"  2.  gUx -Al-sIn  "I hid i t for myself"  w  w  The combinatorial changes of verbal prefixes are covered i n d e t a i l i n Story (1966 Ch. 7). (It has been noted by M. Dale Kinkade (personal communication) that the lax vowel ( i n examples 1 and 2 above) contiguous to velars might, i n a phonemic treatment, be treated as schwa phonetically predictable i n rounded  Incorporated noun x  1.  yuxW XAtAnk A  environments.)  "mouth"  "I am t a l k i n g "  yu-XA-XA-tAn-k  Verbal p r e f i x yAThe verbal p r e f i x {yA-} i s l a b i a l i z e d only a f t e r /u/ i n the morphophonemic combination /UWA/ from /wu-yA/, and i s thus r e s t r i c t e d grammatically and l e x i c a l l y to l a b i a l i z a t i o n only after 1.  xat ?uwAdjAq  "he k i l l e d me"  + syll +• round xat  [+ F.B.]  ?u-yA-djAq  - 89 -  The nominal s u f f i x {-ya} i s not marked for l a b i a l i z a t i o n , and does not assimilate. If glide and consonant l a b i a l i z a t i o n i s treated as a single process, a suggested rule for l a b i a l i z a t i o n i n these marked a f f i x e s , incorporated nouns, and i n pronoun combinations i s thus:  Rule 4' CONSONANT AND  r  GLIDE ROUNDING  i  n  1  I"^  1  1  . , r  !  > [+ round]  . , r  /  r  , _ _ .  A t N  [+ round] [+ F.B.]  (V) _  Consonants and glides are rounded following a rounded segment. However, i f l a b i a l i z a t i o n applies only to consonants, and the glide i s treated more generally as part of vowel harmony or rounding assimilation, a more acceptable rule i s t h i s :  Rule 4" CONSONANT ROUNDING  r [  ^  C O n S  ^  ,  v  '  _ , ^ round] /  rj  ,, , _, _ , [+ round] [+ F.B.] r  (V)  Consonants are rounded following a rounded segment. Though less general, the rule of consonant rounding allows for the s p e c i a l behaviour of yod (etymologically y) i n the yod-drop r u l e . The bracketed vowel i n the rule allows for an epenthetic vowel which also occurs i n the Angoon or central d i a l e c t of Naish and Story. A further, though u n l i k e l y , p o s s i b i l i t y , other than anaptyxis before the diminutive s u f f i x , i s that this vowel may be an underlying stemending, deleted f i n a l l y .  (This optional vowel, inserted by r u l e ,  occurs automatically i n certain stated environments, v. II.5).  - 90 -  III.6.1.2  After marked segment /a/  In some l e x i c a l l y marked cases, l a b i a l i z a t i o n of the a f f i x follows nouns ending i n phonetic [a], which i n a transformational generative treatment may also be regarded as underlying /o/. In these special cases, following the usage of Hyman (1970), morphemes marked [+ L.R.], i . e . , plus l i p rounding, indicate that rounding assimilation of the a f f i x follows. 1'.  q'a  "man"  qawu  2'.  nawun  "having died"  " i t s man"  qa-yi [+ L.R.]  na-yin [+ L.R.] 5  The diminutive s u f f i x /-k/ i s also affected by this  rounding.  Even when epenthetic / A / , which Boas relates to /a/, i s inserted between two consonants across a morpheme boundary as noted by Boas (1917: 18, 86) i n examples 4 and 5 below, l a b i a l i z a t i o n occurs. 1.  ?ak  2.  ?akw  3.  tak  4.  hinAk v  w  "a s m a l l pond"  ?a-k  "a s m a l l t h i n g "  ?a-k  "a s m a l l s p r i n g salmon"  ta-k  " a a l i t t l e water .!  hin-k  " a little  ?ex-k  t  •> w  w  ">  1  5.  ?exAkw  6.  ?asAkw  "little  tree"  ?as-k  7.  ?anAk  "little  town"  ?an-k  '•>  w  grease"  *-  5  L a b i a l i z a t i o n caused by /a/ may be followed by.vowel harmony or rounding assimilation.  The r u l e ' f o r ..glide and consonant l a b i a l i z a t i o n follows.  - 91 -  Rule 4  a  CONSONANT AND GLIDE LABIALIZATION  [- s y l l ]  ->  + back + round  /  l_+ segj Q+- L.R£|  [+ F.B.]  Consonants and glides are rounded following marked /a/. Because marked /a/ l a b i a l i z e s glides d i r e c t l y , as i n examples 1' and 2' above, no discussion re rule treatment i s warranted since the need f o r two separate rules f o r glides and consonants cannot be justified. III.6.2  Vowel Harmony - Rounding Assimilation  Vowel harmony i s a process which occurs when certain of the features of a vowel i n one s y l l a b l e come to agree or assimilate with certain features of a vowel of another s y l l a b l e as, f o r example, i n Turkish where a high s u f f i x vowel assimilates to the backness and roundness of the preceding stem vowel (v. Schane 1973: 52). This type of progressive assimilation, or vowel harmony, where a high s u f f i x vowel 'assimilates to a preceding morpheme-final high vowel', occurs i n Yawelmani  (Kisseberth 1969, 1970) as an underlying  feature (Schane 1973: 78-80, Hyman 1975: 87), and i n most i d i o l e c t s of Walbiri, a language of Central A u s t r a l i a (Hale 1973: 405). In T l i n g i t , vowel harmony, or progressive assimilation, occurs in certain contexts as automaticealternation. p a l a t a l vowel / i /  For example, the  and the semi-vowel /y/ i n certain a f f i x e s are  velarized a f t e r rounded segments or certain nouns ending i n /a/. Application of a phonological rule to s p e c i a l morphemes i s not unknown.  - 92  -  For example, accidental reference of a harmony r u l e to a single s u f f i x occurs i n Turkish (Zimmer 1970) where, according to Hyman (1975: 182), a single morpheme ' s a t i s f i e s the conditions of a phonological r u l e . ' While no longer a productive process, the exception to harmony noted by Boas (1917: 18) of dutanu  " i t s navel" from /du-tan-yi/, and  the rounding assimilation caused by certain segments marked /a/ as well as by the inserted vowel / A / , show that the process of distance assimilation or harmony has been a v i a b l e concept, perhaps similar to the process of progressive vowel assimilation noted by Kuipers (1967: 36) i n Squamish. III.6.2.1  After Rounded Segments  The most common assimilations i n T l i n g i t are those of the suffixes / - y i / and /-yin/ i n which p a l a t a l phonemes are l a b i a l i z e d after rounded segments, whether derived or o r i g i n a l (Boas 1917: 17). For this reason, Boas (1917: 16-18, 85, 88) has treated l a b i a l i z a t i o n as part of the vowel harmony process f o r , as the sampling below indicates, the two processes seem inseparable.  Further examples of  vowel harmony and rounding assimilation, to which the rule of consonant and glide l a b i a l i z a t i o n has already applied, i l l u s t r a t e the process relationship.  1.  nu  "fort"  dunuwu  "his f o r t "  du-nu-yi  2.  lu  "nose"  duluwu  "his nose"  du-lu-yi  3.  l'uk  "king salmon"  dul'ugu  "his king salmon"  du-±'uk -yi  w  w  -  4.  saxaw  "hair"  5.  guxw  "slave"  6.  yak r  7. 8. 9. 10.  f  dusaxawu  "his h a i r "  duguxu \ \/  "his slave"  duyagu  "his canoe"  du-saxaw-yi du-gux-yi du-yak -yi w  V  f  hit-t'aq -yi w  hltt'agu  "house timber"  ?AyAawuu.  " i t s handle"  ?uxun  "having blown"  ux -yln  suwgun  "having laughed"  suwq -yln  "his l i t t l e pond"  du-a-k -yi  " i t s navel"  du-tan-yi [+ L.R.]  III.6.2.2 1.  v \vr  "canoe"  w  93 -  \  f w  w  After Segment /a/  duaku \  A-yA-aw-yi  *  ' 5 w  t  2. dutanu  As previously noted, this second example, which must be accounted for i n the lexicon, i s quite exceptional with vowel harmony applying through a nasal segment, and would therefore have to be marked [+ L.R.] i n the lexicon. Vocalic rounding assimilation, however, which occurs i n the above examples, must be accounted for by r u l e .  Therefore, a vowel  harmony rule for marked a f f i x e s applying after the rule of glide and consonant rounding (Rule 4') i s indicated:  •  Rule 5' PALATAL VOWEL ROUNDING  + syll - back  ->  [+ back]  /  [+ round] [+ F.B.]  A high front vowel i n marked a f f i x e s i s backed and rounded following a rounded segment across a morpheme boundary.  - 94 However, f o r a vowel harmony rule applying both to p a l a t a l vowel and glide after the application of Rule 4", the rule of consonant l a b i a l i z a t i o n , the rule would be: Rule 5" PALATAL VOWEL AND GLIDE ROUNDING  - cons + high  ->  [+ back] /  + back + round  [+:'F.B.]  In certain a f f i x e s , the high front vowel and p a l a t a l glide back and round following a rounded segment across a morpheme boundary. Nevertheless, i t seems possible and plausible that these Rules 4', 4" and 4 , respectively f o r consonant and glide rounding, consonant rounding, and consonant and glide rounding following marked a, i n addition to the above Rulesa5<l aridfS" fofapalatalcvowel.rounding and p a l a t a l vowel and glide rounding, can be collapsed one natural and phonetically  together into  plausible assimilation rule that w i l l  apply c y c l i c a l l y or persistently as the s t r u c t u r a l description i s met.  We s h a l l designate t h i s collapsed  or reduced rule as Rule 4*.  Rule 4* ROUNDING ASSIMILATION  + cons + high  + back + round  (+ roundjy  &  se  §_T (  [+ F.B.] (V)  In certain a f f i x e s , a high consonant, glide or vowel backs and rounds after rounded or marked round segment across a morpheme boundary. An interesting feature of the above r u l e , of course, i s the  - 95 -  addition of the d i s t i n c t i v e feature of height, which relates the p a l a t a l and velar consonants to the high vowels and glides, correl a t i n g i n this way with features of backness and rounding, characteri s t i c of types of vowel harmony as i n Turkish (Schane 1973: 52) where "the high vowels of a s u f f i x agree i n backness and rounding with the stem vowel". As can be seen, the rules and processes discussed above have been phonetically plausible, inherently natural assimilation rules which, to some degree, i l l u s t r a t e the remarks of Schane (1972: 207): Rules of assimilation provide some of the clearest examples of natural rules. In a l l such rules the values for one or more features of a segment are changed so as to agree with the values f o r the same features i n some other segment. Following from the discussion above, i t w i l l be seen that some comments on rule ordering and/or rule r e s t r i c t i o n are necessary i n order to achieve the desired forms of a phonetic representation.  III.7  TONE DISSIMILATION  The vowels of a number of s u f f i x e s , including {-yi} and {-yin}, have a neutral p i t c h .  When added to a stem with high tone, the  s u f f i x takes a low tone; when added to a stem with a low tone, the s u f f i x has a high tone. While tonal processes were not discussed by Stampe (1969) as a natural process, tone d i s s i m i l a t i o n would q u a l i f y under the category of rules f o r maximum d i f f e r e n t i a t i o n (Schane 1972: 207).  As noted,  - 96 -  the acute accent indicates high tone, while the grave indicates low tone.  Examples from Boas (1917: 11) are given below.  1.  dutayl  "his king salmon"  du-ta-yl  2.  dutayl  "his board"  du-ta-yl  \  \  /  3.  duxadl  "his  root"  du-xat-yl  4.  duxadl  "his  salmon"  du-xat-yl  \  \  t  5.  dutill  "his  scar"  du-til=yl  6.  dutiil  "his  shoe"  du-tii-yl  7.  nugun  "having been sick"  nuk -yln  8.  xasm  "having cut"  xas-yln  \ V  t  w  The tone d i s s i m i l a t i o n rule for these neutrally marked suffixes i s the following: Rule 6 TONE DISSIMILATION  high' tone  V higtf -a tone  stem  +  (G)  .The neutral-toned vowel of a s u f f i x w i l l have the opposite tone to the stem vowel.  III.8  RULE ORDERING In the standard theory of transformational generative grammar  put forth by Chomsky (1965) and Chomsky and Halle (1968), the phonol o g i c a l component, a n c i l l a r y to the syntactic component of the  - 97 -  grammar, must operate on the syntactic strings or surface structures generated during the operation of the transformational cycle.  This  phonological component has been defined by Chomsky and Halle (1968: 9) as the system of rules that applies to a surface structure and assigns to i t a c e r t a i n phonetic representation drawn from the universal class provided by general l i n g u i s t i c theory.  However, since the output of the syntactic component, the syntactic surface structures, may  not exactly coincide with the  input to the phonological component, the readjustment rules (or morpheme structure conditions) may  need to reanalyze the underlying  l e x i c a l representations of the base into the appropriate phonological representations. The function of the phonological component i s , then, to convert the underlying abstract phonological representations of the phonol o g i c a l surface structure to concrete phonetic representations by means of a series of ordered and organized phonological rules which can apply to words, or to strings of formatives which include phrases, words or morphemes.  III.8.1  Linear Ordering  These p r i n c i p l e s of rule order have been enunciated by Chomsky and Halle (1968: 18): It i s always possible to order the rules i n a sequence and to adhere s t r i c t l y to this ordering i n constructing derivations without any loss of generality as compared to an unordered set of rules or a set ordered on a  - 98 -  different p r i n c i p l e . Such l i n e a r ordering makes i t possible to formulate grammatical processes that would not otherwise be expressible with comparable generality.  Because p r i n c i p l e s underlying theories of natural language are assumed to be divided into two categories of l i n g u i s t i c universals, formal and substantive, the formal universals are considered  the  organizational or rule component of a transformational generative grammar, while substantive universals deal with the categories, features, and l i n g u i s t i c u n i t s .  According to Chomsky and Halle  (1968: 4): the theory of transformational generative grammar proposes certain formal universals regarding the kinds of rules that can appear i n a grammar, the kinds of structures on which they may operate, and the ordering conditions under which these rules may apply. With regard to rule a p p l i c a t i o n i n a transformational generative grammar, the underlying p r i n c i p l e of rule order i n the phonological component (Chomsky and Halle 1968:  341) i s the convention  that a l l  rules apply e x t r i n s i c a l l y i n a l i n e a r order, with each r u l e operating on a s t r i n g modified by " a l l e a r l i e r applicable rules". However, because Rule A must apply before Rule B i n some examples, while Rule B must apply before Rule A i n others, the convention of the phonological transformational cycle (Chomsky and Halle 1968:  349),  which applies mainly to prosodic or closely related segmental phenomena, has been introduced.  - 99 -  III.8.2  Refinements to Rule Ordering  The convention of the phonological transformational cycle for other than prosodic phenomena at, above, or below word-level, though not a s i g n i f i c a n t factor i n recent generative phonology (and rejected by White (1972) and Brame  1972)' has been noted i n  treatments of several Amerindian languages (v. Zwicky 1976:  267-8).  However, instead of the transformational cycle convention, i t e r a t i v e - r u l e a p p l i c a t i o n , through the device of i n f i n i t e schema which would allow a rule to apply to i t s own output, has been the suggested modus operandi of Chomsky and Halle (1968).  Anderson  (1974: 124-133), i n dismissing this solution, has noted that this formal device, by reducing l i n g u i s t i c generality, creates more problems than i t solves. Further modifications to a s t r i c t l i n e a r rule ordering have been suggested by Kiparsky (1969).  (1968, 1971), Chafe (1968), and Anderson  For example, Kiparsky  (1968) has created the notion of  feeding and bleeding relationships i n rules where the unmarked or natural order i s a feeding r e l a t i o n s h i p and where, i n a bleeding relationship, the other order i s the unmarked.  I f there i s no rule  relationship, rules are then neutral with respect to each other. A feeding relationship has been defined by Kiparsky "one way  (1968: 196)  as:  i n which two rules, A and B, can be f u n c t i o n a l l y related i s  that the application of A creates representations to which B i s applicable."  - 100 -  A further p r i n c i p l e enunciated by .Kiparsky regard to rule ordering i s the dictum: so as to become maximally transparent."  (1971: 623)  "Rules tend to be  with  ordered  The converse of transpar-  ency, opacity, i s defined by Kiparsky as follows: A rule A  } B / C  D i s opaque to the extent that there  are surface representations of the form (i) or  A i n environment C  D  ( i i ) B i n environment other than C  D.  Chafe (1968), using examples from Caddo, an American Indian language, proposed that the rules of grammar be organized i n several depths, with rules of the greatest depth to be applied simultaneously  to underlying forms.  A persistent r u l e would be  one that would apply at any depth as the s t r u c t u r a l description was met,  an "anywhere" r u l e .  His additive and subtractive i n t e r -  ference are the equivalent of Kiparsky' s feeding and bleeding relationships. As Anderson (1974: 202) has stated, however, i n c r i t i c i s m of Chafe's theory: We see, therefore, that the theory of persistent rules including the most l i b e r a l view of the p o s s i b i l i t y of simultaneous ordering cannot accommodate an example l i k e that of Icelandic u-Umlaut. The reason, of course, i s the fact that u-Umlaut behaves d i f f e r e n t l y i n i t s r e l a t i o n to d i f f e r e n t rules...A theory such as Chafe's, which divides rules into f u l l y l i n e a r and f u l l y 'anywhere', cannot accomodate these facts; even the use of simultaneity does not help, i f the r u l e with respect to which a putatively persistent rule i s r e s t r i c t e d cannot be ordered l a s t among the l i n e a r rules.  - 101 -  Anderson (1969) has put forth a theory of l o c a l ordering i n which rules may  be related n a t u r a l l y , as discussed by Kiparsky  (1968), or e x p l i c i t l y .  Only e x p l i c i t l i n e a r ordering w i l l be stated  i n the grammar, since natural ordering i s predictable by universal principles. Even so, as Norman (1972: 491-2) has suggested with respect to the l o c a l ordering hypothesis  (LOH):  An a l t e r n a t i v e to the LOH i s the complete elimination of e x t r i n s i c ordering, with a l l ordering being absolutely determined by a set of universal p r i n c i p l e s , as proposed by Koutsoudas, Sanders and Noll...The p r i n c i p l e that a rule must apply whenever i t s s t r u c t u r a l description i s met i s s u f f i c i e n t to account for a l l feeding and counterbleeding orders and to eliminate the p o s s i b i l i t y of natural languages rules i n the orders of bleeding and counter-feeding.  III.8.3  No Ordering Hypothesis  Recently, however, i n phonological theory, a d i s t i n c t i o n between e x t r i n s i c rule order, that imposed by the data of a s p e c i f i c language, and i n t r i n s i c rule order, that governed by the formal properties of the rules, has been discussed.  According to Dinnsen (1974: 29):  Rule ordering, for example, has been an issue of current concern. The standard theory provides for the proper sequencing of most phonological rules by statements of e x t r i n s i c rule ordering, i . e . language-specific conditions in a grammar which assign one l i n e a r order to the rules. However, Koutsoudas, Sanders and N o l l 1974 claim that such rule ordering provides greater descriptive power than can be shown to be necessary. As a more constrained a l t e r native to language-specific conditions on r u l e application, they propose universal p r i n c i p l e s which determine applicat i o n a l precedence r e l a t i o n s between rules.  - 102 -  Like Vennemann's No-Ordering P r i n c i p l e , the effect of Koutsoudas, Sanders and Noll's Proper Inclusion Precedence, which accounts  as  well for Kiparsky's feeding and bleeding relationships, i s that a rule must apply whenever i t s structural description i s met  i n random  sequential ordering. According to Koutsoudas, Sanders and N o l l (1974: 13) with regard to  the elimination of e x t r i n s i c rule ordering: F i r s t , arguments suggesting the necessity of e x t r i n s i c ordering based on a very limited range of facts often f a i l completely as soon as additional facts about the langugage are brought into consideration. Second and more important, i n a theory that excludes the p o s s i b i l i t y of e x t r i n s i c ordering, the l i n g u i s t i s forced at the outset to look f o r general explanatory p r i n c i p l e s which there would otherwise be l i t t l e reason to look for. Theories of grammar which prohibit languages p e c i f i c r e s t r i c t i o n s on the application of phonological rules thus provide a degree of stimulation and d i r e c t i o n in the search for s i g n i f i c a n t l i n g u i s t i c generalizations which i s lacking i n those theories which permit such restrictions.  Recently, however, Cathey and Demers (1976) have, using Old Icelandic examples, maintained that Koutsoudas, Sanders and Noll's universal p r i n c i p l e s are i n s u f f i c i e n t and that e x t r i n s i c ordering should hot be eliminated from a grammar. However, as formally argued by Levine (1976: 115) with respect to  the current debate of e x t r i n s i c versus i n t r i n s i c ordering i n  syntax, "unless a concept of naturalness of transformations can be incorporated into grammatical theory, the debate seems to be of  c o n f l i c t i n g methodology, taste and  terminology."  one  - 103 -  III.8.4  Application of Rules  Questions of application i n rule ordering have formed an issue i n l i n g u i s t i c discussions  recently.  According to Anderson (1974:  221): Problems of a substantive nature begin to a r i s e , however, when we consider the application of a rule to a s t r i n g which contains several instances of substrings s a t i s f y i n g the rule's s t r u c t u r a l description. When several potential applications of a rule exist i n a single s t r i n g , how i s the change s p e c i f i e d by the rule to be carried out? Numerous alternatives can be imagined: apply the rule simultaneously everywhere; apply the rule i n one place at a time, i n random sequence; apply the rule i n only one place, making the choice either randomly or on some universal or language p a r t i c u l a r basis; etc.  Thus, a review of the simple processes of voicing, yod-drop and  l a b i a l i z a t i o n including vowel harmony assimilation  that a few comments are necessary.  indicates  For example, how or how often  does the rounding assimilation rule apply to an underlying form? When does yod-drop apply? For convenience, the rules are summarized and ordered i n Table I, with categories  designated according to Chafe (1968).  Derivations  including the underlying representations w i l l be discussed on the accompanying data sheet. B r i e f l y , i n reference to the data sheets, examples #1 - 5 indicate derivations r e s u l t i n g from a simultaneous application to one s t r i n g at a time of l i n e a r l y ordered rules (Table I ) . In examples #2 and #4, however, rule 4 must apply to i t s own output i n order to obtain the desired representation,  thus v i o l a t i n g  TABEEBIE I Table of T l i n g i t Phonological Processes  Rule  Label Devoicing  [+"cons]  -> 0 /  Yod-drop rPreevocaiic Stem-Voicing  -> [- voice] /  + cons + high_  Tone Di s similat ion  v  [F.B.]  [+ F.B.][+ s y l l ]  + back + round high tone  V -a high tone  Occurs before prev o c a l i c suffixes. A natural assimilation process. Persistent. A f f i x e s or stems must be l e x i c a l l y marked.  t  x  Obstruent devoicing one of Stampe's (1969) natural processes. Persistent rule (Chafe 1969). Persistent; s e l f ordered before #4.  [F.B.]  [+ cons]  Vowel Harmony Assimilation  Categbryegor>  ^tem  + (G)  Applies to toneneutral s u f f i x e s .  - 105 -  DATA SHEET Example 1.  2.  3.  4a.  4b.  Rule  •  UR  du-gas-yi  2  du-gas-i  5  v r, o du-gas-i  UR  na-yin  4  nawin  4  nawun  5  nawun  UR  du-gux -yi  2  du-gux -i  4  du-gux -u  5  du-gux-u  2  du-yak -i  3  du-yag -i  4  du-yag -u  5  du-yag-u  UR  du-yakw-yi  2  du-yakw-i  4  du-yakw-u  3  du-y.agw-u  5  du-yag-u  UR  du-a-k-yi [+L.R.]  2  du-a-k-i  4  du-a-kw-i  4  du-a-kw-u  5  du-a-k-u  w  "his post"  15  "having died"  18  "his slave"  88  "his canoe"  88  "his l i t t l e pond"  18  w  w  w  w  w  \  v  5a.  Boas Reference  \  >  /  »  * < ' 5  V  /  ,  V  - 106 Example  5b.  Rule  UR  Boas Reference  Representation  du-[a-£]-yi  18  [+L.R.] 4  du-[a-i ]-yi  2  du-a-£ -i  4  du-a-£ -u  5  du-a-k-u  w  w  w  \  f  j \  In example 5b, rules"must first"apply-within square brackets. A l a b i a l i z a t i o n rule has not been offered following Kinkade's perception (v. II.10.4) of i n d i c a t e d . l a b i a l i z a t i o n f o l l o w i n g rounded 1  consonants as an orthographic a r t i f a c t .  - 107 -  the convention that a rule may  not apply to i t s own output except  through an extra p r i n c i p l e such as the transformational cycle or a costly device such as i n f i n i t e schema.  However, the use of the  transformational cycle i n example #2 would s t i l l necessitate the reapplication of rule 4. Example 5b i l l u s t r a t e s the e f f e c t of the transformational cycle with l i n e a r l y ordered rules applying f i r s t to the innermost constituents of a syntactic bracketing, then reapplying after erasure of the innermost brackets.  Although the p r i n c i p l e of the  transformational cycle has been used i n a few treatments of segmental phonology i n American Indian languages with some success, the cycle does not appear workable i n example 2, unless some extra syntactic bracketing i s warranted. The remaining examples w i l l i l l u s t r a t e the application of rules applying i n random sequential order as the s t r u c t u r a l descr i p t i o n i s met, with the r e s u l t that rule 4 may  apply to i t s own  output i n order to achieve the desired phonetic representation. It should be noted that r u l e 2, yod-drop, i s i n a feeding relationship to rule 3, pre-vocalic stem-voicing, and thus, according to p r i n c i p l e , occurs before rule 3 i n a natural, unmarked order. Thus, i n the few simple processes we have described i n T l i n g i t , (as evidenced i n the application of the rules i n the  examples),  rules are best applied when the s t r u c t u r a l description i s met.  No  rule ordering, although rules could be ordered as i n Chomsky and Halle (1968), or l o c a l ordering (Anderson 1972), or even unmarked  - 108 -  ordering, appears to be necessary, although given a f u l l set of grammatical processes and a f u l l s t r u c t u r a l description of T l i n g i t some t h e o r e t i c a l amendments might be required. Similarly, i n the limited number of examples given, no notion of c y c l i c i t y appears to be needed and, given the nature of the r u l e s , even seems warranted. ing  Nor need a s t r i c t linear or even l o c a l order-  apply, were c y c l i c i t y a pre-requisite i n longer derivations. These language-general rules thus appear well s a t i s f i e d to apply  either i n conjunction with Chomsky and Halle's universal markedness conditions, or Stanley's language-specific morpheme structure conditions, or within the theory of natural phonology which includes the Basic Category P r i n c i p l e (v. Rudes 1976).  Although a l e x i c a l  marking i s necessary on certain morphemes, e.g., nouns ending i n /-a/, of  i n order to stimulate a rule to apply, the un- or non-ordering  the rules given here i s e n t i r e l y consistent with Koutsoudas?  (1973) (and with Koutsoudas, Sanders and N o l l 1974)  enunciated  principle: A l l r e s t r i c t i o n s on the r e l a t i v e order of grammatical rules are determined by universal rather than by language-specific p r i n c i p l e s .  III.9  SUMMARY In  this chapter, having b r i e f l y discussed the standard theory  and recent modifications or constraints i n the f i e l d of natural phonology, we have examined a few of the simple  language-general  phonological processes of T l i n g i t which, while serving, to i l l u s t r a t e  - 109 -  the theory, provide as well a minor description of language data i n the theory of transformational generative grammar. Thus, with regard to rule ordering of the simple phonological processes i n T l i n g i t , we have arranged our system of rules i n accordance with the no-ordering hypothesis put forward by Koutsoudas, Sanders and N o l l (1974), not only as a matter of "methodology, taste and terminology" as suggested by Levine (1976), but i n accordance with the search for universal p r i n c i p l e s i n l i n g u i s t i c theory, which in Chomsky's view, according to Cole (1976: 564) should play a c r u c i a l r o l e i n the analysis of s p e c i f i c languages. It should provide c r i t e r i a to determine the r e l a t i v e inadequacy of a number of apparently adequate descriptions. A theory of this sort would be i n a symbiotic rather than a p a r a s i t i c relationship . to description: l i n g u i s t i c theory would a s s i s t i n the refinement of l i n g u i s t i c description by r u l i n g out unacceptable analyses, just as description a s s i s t s i n the refinement of theory by f a l s i f y i n g incorrect t h e o r e t i c a l hypotheses.  In the following chapter, we w i l l examine morphophonemic representation by using various treatments of vowel harmony assimilation i n T l i n g i t i n order to discuss current issues i n abstractness.  - 110 -  IV.0  APPLICATION AND APPROACH IN PHONOLOGY  Abstractness  i n phonology i s thought to account for deeper,  underlying patterned r e g u l a r i t i e s i n a language.  Concerning abstract-  ness, Hyman (1970:58) has raised two questions for generative phonologists: (1)  "To what extent do the underlying forms of the most  highly valued phonological system of a language d i f f e r from those forms i n surface phonetics? (2)  "Does a phonology that 'explains' certain processes at  an abstract l e v e l necessarily coincide with the one explanatorily adequate (that i s , the most highly valued) form of phonology?" In this Chapter, using a preferred i n t e r p r e t a t i o n of vowel harmony i n T l i n g i t phonology as examplar (and Lyons' (1962) motto that "the actual cannot be properly described (or  recognized)  except i n the framework of what has been previously envisaged as possible"), possible solutions to the problem of abstractness i n generative phonology raised by Kiparsky  (1968) and others are set  out. In this context, Lyons:'; (1962:127) rationale i s worth noting, for i n a l l s o c i a l sciences i n recent decades, i n a formulative process i n which l i n g u i s t i c s and i t s p a r t i c u l a r f i e l d s of enquiry have not been immune, methodological  questions of the most funda-  mental nature have arisen: To those of you who, having heard these views, might f e e l i n c l i n e d to say that they are of "only t h e o r e t i c a l  - Ill -  i n t e r e s t " and that the l i n g u i s t ' s job i s to describe what actually occurs i n p a r t i c u l a r languages without troubling himself about what might occur (for I have heard this s a i d ) , I would suggest that the history of science i s f u l l of examples to support the opinion that the actual cannot be properly described, perhaps not even be recognized, except in the framework of what has previously been envisaged as possible. At the same time, of course, the sphere of what i s thought of as possible i s being constantly revised under the impact of discoveries made i n the description of actual languages. Such i s the r e l a t i o n between the t h e o r e t i c a l and the applied. And, as a consequence of t h i s , l i n g u i s t i c typologies should be b u i l t of a judicious mixture of induction and deduction. This statement of Lyons i s p a r t i c u l a r l y relevant as i t a n t i c i pates and conforms to the propositions advanced by Kuhn (1970) and Popper (1972) as applied to the spectrum of pure science and science.  social  Following Kuhn, l i n g u i s t i c s i s susceptible to the process  of established, competing and ultimately replacement 'world views'. Adapting Popper, a l l theories i n l i n g u i s t i c s are p r o v i s i o n a l (are 'conjectures')  u n t i l refuted by a superior (or more complete, or  general) theory which i s i t s e l f of provisional status. These processes asserted by Kuhn and Popper have been indicated M  Ghapiterf IJ I_in ^ermscofitheir appMcationtitoolainguistic 1  gyerdthenpaSitpdgcadeT^  theory  Of perhaps less fundamental concern, but a  source of continuing methodological controversy,  i s Lyons'- d i s t i n c t i o n  between the ' t h e o r e t i c a l ' and the 'applied' (descriptive, or the empirical testing of hypotheses).  Thus, i n this Chapter, Lyons-.,,  statement i s taken more as a caution than as a touchstone or guide.  - 112 -  IV.1  ABSTRACTNESS IN PHONOLOGY The issue of abstractness i n the relationship of l e v e l s , phono-  l o g i c a l and phonetic, was by Kiparsky  f i r s t raised for generative phonologists  (1968) at the beginning of a b r i l l i a n t and productive  essay: What i s the form of morphophonemic representations? How far removed are they from the phonetic and phonemic surface? The whole gamut of possible answers to this question has been given In modern l i n g u i s t i c s . Characterized as a distinguishing feature of generative phonology over more t r a d i t i o n a l theories, abstractness i s the r e s u l t of absolute n e u t r a l i z a t i o n : the appearance i n the underlying phonological representation of a non-alternating segment, unrealized phonetically and set up solely to c l a s s i f y and distinguish that segment i n order to meet the structural description of a r u l e . Interestingly, and i n this context h i s t o r i c a l l y , McCawley (1967) has compared the m e n t a l i s t i c representations of Sapir with the underlying phonological representations of generative phonology, i n that only two levels are considered of relevant significance: an underlying representation representing "the speaker's 'mental image' of the various morphemes and a phonetic representation which corresponds to the actual a r t i c u l a t i o n made by the vocal organs i n producing utterances". According to McCawley (1967:106): No systematic significance i s attached to any intermediate representation i n the sense of e.g. Bloch and Trager's Outline of L i n g u i s t i c Analysis, although i n both Sapir and transformational grammar, 'underlying' phonological representations are converted into phonetic representations through several intermediate stages, since some 'rules'  - 113 apply to the output of other ''rules' . That the representations which Sapir c a l l e d 'phonemic' or 'phonological' were not 'phonemic' as the term i s used i n the 'NeoBloomfieldian' tradition-6f Bloch and Trager op. c i t . i s apparent from a perusal of almost any of Sapir's grammars; to c i t e an example, i n h i s Takelma grammar, Sapir gives four forms of the verb to shoot which he observes are a l l pronounced [sak'][but have d i f f e r e n t phonological representations. Although Gregg (p.c.) has referred to D. Jones' (1957, 1964, 1967:6-7, 204) discussions of abstract'..vs. concrete sounds, abstractness was apparently not an issue i n phonemic theory to the dominant post-rBloomfieldian s t r u c t u r a l i s t s who were bound, according to Chomsky (1964), by constraints of bi-uniqueness,  l i n e a r i t y , invariance, and l o c a l determinancy.  How-  ever, abstractness has remained a concern i n recent theory of transforma^ t i o n a l grammar.  According to Harms (1973:439) one important  unresolved  issue "concerns the abstract relationship between the phonological shape of morphemes i n the lexicon and their phonetic manifestations".  IV.2  MORPHOPHONEMIC REPRESENTATION T r a d i t i o n a l l y , morphophonemic representation has been regarded  t h i r d , though generally undefined,  as a  l e v e l i n the s t r a t i f i e d hierarchy  consisting of phonetic, phonemic and morphophonemic levels of s t r u c t u r a l ^ i s t phonemic theory. Anderson (1974), i n a highly l u c i d exposition of morphophonemic representation i n both phonemic theory and generative phonology, has argued that the s t r u c t u r a l i s t s made no attempt to r e l a t e the morpho^ phonemic l e v e l to the concrete phonetic basis.  According  to Anderson  (1974:33): Morphophonemes, however, could not be given the kind of operationalist d e f i n i t i o n that appealed to the positivism  - 114 of the period. It i s not possible to recover morphophonemic information d i r e c t l y and unambiguously from the speech event i t s e l f . Accordingly, the morphophoneme was never regarded as a legitimate or 'real' entity within taxonomic theory, but rather as a pure descriptive a r t i f a c t , a convenient f i c t i o n devised by the l i n g u i s t to shorten his description. Thus, no effect was made to impose any sort of condition of naturalness on the e l e ments of a morphophonemic representation: these could be l i t e r a l l y anything at a l l , with any a r b i t r a r y set of rules to specify the correspondence between morphophonemic and phonemic e n t i t i e s . Withinitransf ormatlohMng morphophonemic representation, here used interchangeably with the terms phonological or systematic phonemic representation following the usage of Chomsky (1964), Kiparsky  (1968) and Schane (1968), (but  not of Chomsky and Halle (1968), has been defined by Chomsky (1964) and Chomsky and Halle C1968) as' the representational l e v e l which results from the effect of the readjustment rules or morpheme structure conditions on formative strings generated by the syntactic component; and the l e v e l which forms the input to the phonological component of a transformational grammar from which the output - the systematic phonetic l e v e l or derived surface representation - then results. And although Schane (1968), i n defining a phonological representation as one more abstract than a narrow phonetic one, though related to phonetic representation by a set of i n t e r p r e t i v e rules, has argued (1971) that the output of generative phonology i n most cases i s not the detailed phonetic s p e c i f i c a t i o n i t purports to be, but rather i s akin to a Smith-Trager phonemic representation (in other words, the output of the p-rules on the morphophonemic  - 115 -  representation i s phonemic i n nature); within transformational generative theory  morphophonemic .(systematic phonemic, or phono-  l o g i c a l ) and systematic or universal phonetic levels are  separated  and related only by a system of phonological rules (or p-rules) which form the phonological component of a transformational generative grammar. Since this system of r e l a t i o n leaves a tremendous amount of leeway as to interpretation within generative theory, various cons t r a i n t s and conditions, previously reviewed, have been proposed to allow for a unique phonological representation, including that of Schane, Postal's naturalness condition, Kiparsky's a l t e r n a t i o n cond i t i o n , Stampe's natural phonology, and Vennemann's natural generative phonology.  IV.3  APPROACH Within, and without,  transformational generative theory various  viewpoints have been entertained with regard to the r e a l i t y of the morphophonemic l e v e l .  For example, Chafe (1968:115) has suggested:  In some fashion v i r t u a l l y a l l serious l i n g u i s t s , both now and i n the past, have recognized the v a l i d i t y of phono-. l o g i c a l structures which are more abstract than phonetic less d i r e c t l y related to physical sound - and i t has usually been held that phonetic structures are i n some sense derived from these more abstract forms. Bloomfieldian l i n g u i s t s , because of t h e i r unwillingness to stray very f a r from observable data, admitted only the v a l i d i t y of 'phonemes', units which d i f f e r e d from the phonetic only by v i r t u e of the avoidance of complete phonetic redundancy. Both before and a f t e r the Bloomfieldian period, however, bolder abstractions were and have been posited, many of them far removed from the phonetic realm.  - 116 -  In his 1968  essay on abstractness, Kiparsky defined three  schools of thought regarding the approach to an accepted morphophonemic representation i n l i n g u i s t i c phonology - those of abstract, concrete, and process theory.  According to Kiparsky, i n the abstract  view, morphophonemes are purely c l a s s i f i c a t o r y i d e a l elements with no phonic function.  Abstractionists bamhraaistratifiieationalis't, and  Householder, a p o s t - s t r u c t u r a l i s t , as well as Fudge of the London school, and a glossematist Hjelmslev,  a Saussurian d i s c i p l e of the  Copenhagen school, exemplify this viewpoint.  As described by  Fudge (1970:89): The p a r a l l e l between an 'abstract' view of the phoneme and modern approaches i n the philosophy of science i s brought out by Shaumjan (1968): while allophones and d i s t i n c t i v e features are e n t i t i e s with a physical basis, phonemes and 'differentors' (the abstract e n t i t i e s corresponding to d i s t i n c t i v e features, c f . cenemes) are purely abstract and have the status of 'constructs' within the phonological theory - their purpose i s to account for the complexities of the observed physical data (utterances by speakers of the language), and not d i r e c t l y to describe them. Furthermore, this insistence on a s t r i c t d i s t i n c t i o n between the (abstract) phonemic elements and the (at least p a r t i a l l y concrete) phonetic elements would appear to be well suited to a psychologically r e a l theory of speech production. On the other hand, l i n g u i s t s favouring a concrete or ' r e a l i t y ' view expected that a morphophonemic representation would furnish a l l the realized forms of a p a r t i c u l a r morphemic a l t e r n a t i o n . This stand, by Kiparsky's d e f i n i t i o n , was  that of the post-Bloomfieldian  item-and-arrangement s t r u c t u r a l i s t s of the 1940's (though not of  - 117 -  Bloomfield himself) and of the early Prague school of l i n g u i s t s , including Troubetzkoy."*" The t h i r d view, called process morphophonemics, of Sapir, Jakobson 1948, Kiparsky  (1968), and Chomsky and Halle (1968),  presumably derives i t s t i t l e from the item-and-process s t r u c t u r a l i s t school t y p i f i e d by Z e l l i g S. Harris (1951).  Process morphophonemics  combines the ideas of both 'ideal' and 'real' i n that morphophonemes are considered level.  as abstract e n t i t i e s r e a l i z e d on a concrete  As Kiparsky  phonetic  (1968:1-2) states:  Like f u l l y abstract morphophonemics, i t recognizes that there i s an underlying phonological pattern which i s not necessarily i d e n t i c a l with the phonetic pattern (e.g., s u p e r f i c i a l [q] may function l i k e /ng/)*, which f u l l y concrete morphophonemics i s forced to deny. On the other hand, i t recognizes that this pattern, while abstract, i s not a r b i t r a r y , but i n general i s related to the phonetic l e v e l e d Q ] i s hardly l i k e l y to function as /o/ or /p/ or / l / ) , a relationship which f u l l y abstract morphophonemics, with inexplicable joy, throws overboard. In adhering to Postal's naturalness  condition ( i . e . , a natural  relationship exists between concrete phonetic and abstract phonol o g i c a l structures), morphophonemes are l a r g e l y "but not wholly" determined by their surface phonetic  realization.  As Postal (1968:  56 n. 3) has noted i n comparing the three approaches - abstract,  1  In contrast to this view, i t has been noted that one of the defining c r i t e r i a of generative phonology i s the acceptance of absolute n e u t r a l i z a t i o n : the setting up of phonetically unrealized phonological d i s t i n c t i o n s i n a morphemic l e x i c a l representation - v. Kiparsky (1968:9). Later Prague school l i n g u i s t s i n c l i n e d to an abstract, f u n c t i o n a l i s t view though with a more or less concrete phonetic r e a l i z a t i o n of contrast and opposition: v. C r y s t a l (1971:179).  - 118 -  concrete, and process - as exemplified i n three t h e o r e t i c a l models: It i s thus proper to look upon the theory of systematic phonemics as intermediate between autonomous phonemics, which assumes i n effect that phonological structure i s mechanically determinable from phonetic information plus contrast, and a theory, l i k e that i n part approximated by s t r a t i f i c a t i o n a l grammar, i n which phonological structure would be an arbitrary code. Systematic phonemics i s intermediate i n the sense that i t recognizes phonetic structure as providing a substantial, but f a r from complete, portion of the information relevant for the determination of phonological structure, the rest being provided by grammatical information, i . e . information about word boundaries, syntactic and morphological categorizations, morphophonemic alternations, etc.  IV. 4  A P P R O A C H E S VAPEEBSATJJON.ON  As delineator, however, Kiparsky has not c l e a r l y distinguished between approach or school of thought and application or method i n the use of abstract, concrete and process terminology.  For example,  while prosodists of the London school regard morphophonemes as abstract e n t i t i e s , t h e i r methodology as i l l u s t r a t e d by Fudge also tends toward complete abstraction with a s t r i c t separation of morphophonemic and phonetic l e v e l s , and with the usage of non-phonetic symbols i n both mutation (sound-change) and r e a l i z a t i o n level) rules.  Approach and method may  Thus, Fudge, (1967:23, 1969)  (phonetic  therefore be c a l l e d synonymous.  (rebutted i n part by Kiparsky 1968),  has offered rather stern c r i t i c i s m of the f a i l u r e of Chomsky (1964, 1967)  and Chomsky and Halle (1968) to maintain a "consistent and  r a t i o n a l d i s t i n c t i o n " between levels which appear to be "rooted i n actual imprecisions of thought... and lead i n turn (as often happens) to further confusion".  For example, i n Fudge's (1969:24) opinion:  - 119 -  Obviously the fact that the symbol B within the slant l i n e s i s the same as the symbol B within the square brackets (bundles of d i s t i n c t i v e features i n each case) counts f o r very much more than the fact that the slant l i n e s are d i s t i n c t from the square brackets. In other words there i s not r e a l l y s t r a t i f i c a t i o n - the alleged d i s t i n c t i o n between systematic phonemics and systematic phonetics i s not r e a l l y drawn. I would suggest (cf. Fudge, 1967:6-7) that this i s empirically unsound: thus i t i s not (or at least not only) Lamb who i s arguing on 'conceptual' grounds (Chomsky 1967:107) - Chomsky and Halle's insistence on using d i s t i n c t i v e features at both phonemic and phonetic levels i s equally a p r i o r i s t i c . And although Aoki (1966), Lightner (1965), Bach (1968), and Chomsky and Halle (1968) and other generativists of the process school, tend also to make use of abstract methods, e.g. root marker or i n i t i a l vowel or absolute n e u t r a l i z a t i o n , i n their solutions to certain phonological problems, Kiparsky (1968:11) has stated that within present generative theory the decision among the three alternatives i s a r b i t r a r y "because the evaluation measure assigns no r e l a t i v e weight to rule features vs phonological features". However, i n the newer natural generative phonology, where greater constraints are placed upon abstractness, a concrete or "surface" solution i s preferred. Thus, c l e a r l y , at the outset, a d i s t i n c t i o n of approach or school versus application or method i n terms of abstract, concrete and process terminology has been necessary.  Therefore, using, where  possible, examples of vowel harmony i n various languages possessing this feature, a t h e o r e t i c a l review of methods i n generative phonology with solutions, c r i t i c i s m s and discussions according to the three categories of application i s now  commenced.  - 120 -  IV.5  ABSTRACTNESS IN METHODOLOGY  An abstract methodology using absolute n e u t r a l i z a t i o n w i l l permit the use of non-alternating underlying phonological segments which do not appear on the phonetic surface (Hyman 1970).  Within  current abstractness theory various solutions have been devised using archiphonemes, neutralized segments unmarked for certain matched features; the d i a c r i t i c use of phonological features, e.g., the use of schwa as an underlying phonetically unrealized feature; and the phonological use of d i a c r i t i c features, e.g., the use of the feature {a GRAVE} to specify roots (v. Kiparsky 1968). Three solutions w i l l be investigated:  the root marker, a  prosodic method which regards vowel harmony as a property of the morpheme; the i n i t i a l vowel method, which regards vowel harmony as an assimilation process; and absolute n e t u r a l i z a t i o n , which i s thought to account f o r the deeper underlying r e g u l a r i t i e s i n the s p e c i f i c grammar of a language (Hyman 1970).  These three solutions  are now examined i n t h e i r contexts.  IV.5.1  Root Marker  The root marker, a morphological  solution involving a r c h i -  phonemes and the phonologicaibsusefofiidiacritieefieatures^awas intro-duced by Lightner as a solution to vowel and velar consonant harmony i n C l a s s i c a l Mongolian.  Evidently inspired by Z. Harris' (1951)  "Phonemic Long Component" (v. Lightner 1965:247 n.8), the intention  - 121 -  of the root marker, prosodic, non-assimilating and non-directional, i s to capture formally the i n t u i t i v e notion of harmony (Lightner  s  1965:249). By vowel harmony r u l e , roots are furnished with abstract markers which specify simultaneously  every vowel i n the root, plus attached  a f f i x e s , with a harmonizing feature.  According  to Lightner (1965:247),  the rationale for root marker method i n vowel harmony i s thus.specified: With each root we s h a l l associate an abstract marker specified f o r the binary feature GRAVE. Each root w i l l thus carry either the marker {+ GRAVE} or the marker {- GRAVE}. This marker i s not to be confused with the binary feature grave. The d i s t i n c t i v e feature grave i s a phonological feature l i k e v o c a l i c , d i f f u s e , and so forth; d i s t i n c t i v e features are properties of sound segments. The marker GRAVE i s an abstract i d i o s y n c r a t i c property of roots analogous to the markers ANIMATE, TRANSITIVE and others; the markers ANIMATE, TRANSITIVE have primarily syntactic reflexes, the marker GRAVE primarily phonological reflexes.  Two examples of vowel harmony prosody i n Finnish and i n C l a s s i c a l Mongolian i l l u s t r a t e the specified representation and the vowel harmony r u l e . A.  Vowel Harmony - Finnish An example of Finnish vowel harmony from Kiparsky  (1968), using  the root marker method suggested by Lightner, shows the l e x i c a l l i s t i n g using unmarked vowel archiphonemes and the morphological feature {GRAVE} from Halle (1962). / pOUtA /  / pOUtA /  + GRAVE  - GRAVE  - 122 -  A prosodic rule from Bach (1968) assigns features to each unspecified vowel of the root, marking the vowel f o r backness as indicated by the morpheme-sized  feature.  Rule HABMONY  [ +  >  s y l l ]  [ a  g  r  a  V  e  ]  1  [ a  G  R  A  V  E  ]  A s y l l a b l e agrees i n backness according to the assigned morphemefeature marking.  A further assimilation rule f i l l s i n the missing  features of the vowel archiphonemes with the resultant phonological words: / poyta / B.  and  / pouta /.  Vowel and Consonant Harmony - C l a s s i c a l Mongolian A second example using root marker i l l u s t r a t e s the application  of root marker morphemes i n describing vowel and consonant harmony i n pre-sixteenth century C l a s s i c a l Mongolian.  In C l a s s i c a l Mongolian,  a l l vowels i n a word are either a l l acute (front) or a l l grave (back), except f o r i which may occur with either type.  Velar consonants also  agree i n graveness with vowels, becoming pre- or post-velar (v. Lightner 1965:245) as marked below.  UGUtA {+ GRAVE}  "bag"  KObAGUn  "son, boy"  {- GRAVE}  A suggested rule f o r vowel and velar consonant harmony i n C l a s s i c a l  - 123 Mongolian has been given by Bach (1968): Rule VOWEL AND CONSONANT HARMONY  '[+ s y l l ] + obs - strid + high  •>• [a grave] / [a GRAVE]  According, to this r u l e , vowels and velar consonants within a morpheme boundary are specified by the morpheme, feature [GRAVE] to agree i n backness with the phonological, feature [grave].  Assimilation rules  f i l l i n the missing features and the phonological words / uyuta / and / kobegiin / appear. Because the t r a d i t i o n a l solution to vowel and velar consonant harmony i n C l a s s i c a l Mongolian requires, an a r b i t r a r y decision as to progressive or regressive assimilation, the root, marker method, applicable to other vowel harmonic languages,- has been suggested. Discussion  Zimmer (1967) suggested a possible use for root-marker i n languages where both prefixes and suffixes have pre-determined vowels, thus requiring progressive and regressive assimilation r u l e s . C i t i n g Igbo, an A f r i c a n language, and Nez Perce, an Amerindian language, Zimmer admitted that an e s s e n t i a l l y prosodic statement, would successfully handle the data i n each.  A further  argument c i t e d i s the general economy of statement, with the need not  to account for intervening consonants i n root marker.  However,  - 124 -  a decision involving s i m p l i c i t y would be a r b i t r a r y i n view of the d i f f i c u l t y i n equating morphological with phonological features. Noting that d i r e c t i o n a l assimilation rules are more e f f i c i e n t i n handling cases such as l a b i a l harmony i n Turkish, Zimmer (1967: 171), giving q u a l i f i e d support to root marker, has suggested: But i f , as has been suggested above, root-marker rules are i n some general sense simpler, then i t i s rules of this kind that would be chosen for languages l i k e Mongolian. Such rules could be considered as unmarked; i t would be the d i r e c t i o n a l a s s i m i l a t i o n type of rules that would require some language-specific reason for adoption. One might therefore after a l l agree with Lightner that a root-marker does i n some sense capture the notion of harmony more adequately and i s to be considered as the basic format for the description of vowel harmony.  Arguing against root marker, Bach suggested the obvious advantage for C l a s s i c a l Mongolian of the neighbourhood convention,  an  abbreviating rule device both capturing and generalizing the order of environment i n assimilation processes, which would obviate the need for a decision as to progressive or regressive a s s i m i l a t i o n , should velar consonant harmony not, indeed, be a universal phonetic rule. However, the main objection to root marker i s i n the use of the ad hoc morpheme marker which i s only spuriously related to the phonological features.  According to Bach (1968: 144), the morpho-  l o g i c a l feature {GRAVE} bears no more r e l a t i o n to the phonological feature of gravity than would, say, the NOUN or ANIMATE. Moreover, unlike the l a t t e r features i t plays no r o l e i n the language outside of just this r u l e .  - 125 -  The main thrust of Kiparsky was to r e s t r i c t the power of generative  theory gained through abstractness by the use of the  alternation condition which would end the use of devices such as archiphonemes and morphological markers. as a quasi-phonological  In c r i t i c i z i n g root marker  solution, s i m i l a r i n approach to f u l l y  abstract phonology, Kiparsky, while concurring with Zimmer and Bach, s p e c i f i c a l l y noted that the method overgeneralized by recognizing only neutral vowels, thus cutting the t o t a l number of vowels i n h a l f . IV.5.2  I n i t i a l Vowel Method  The i n i t i a l vowel method, with a s p e c i f i e d f i r s t vowel i n a morpheme occurring with vowel archiphonemes, and a r u l e of progressive assimilation, i s the t r a d i t i o n a l way of treating vowel harmony (v. Lightner 1965: 245 n.4).  Preferred by Troubetskoy (1958) and others  i n describing vowel harmony i n Finnish, Hungarian, Turkish and Mongolian and related languages, the i n i t i a l vowel method has been adopted as well by Zimmer and Bach.  Examples A.  Vowel Harmony - Finnish An example i n Finnish i l l u s t r a t e s the l i s t i n g i n the lexicon  with the f u l l y s p e c i f i e d f i r s t vowel and the neutralized, unspecified archiphonemes: / pSUtA /  / poUtA /  - 126 -  Using the neighbourhood  convention, the suggested assimilation rule  (adapted from Bach 1968) would specify the gravity feature of the f i r s t vowel to following vowels: ASSIMILATION RULE  r  , ^  1 i n S y  .. ^  r  ^  g  r  a  v  e  , , J '  |+ s y l l a grave'  X  A s y l l a b l e agrees i n backness with the preceding (and following) syllable. Under the neighbourhood  convention, the f u l l y expanded rule  applies regressively and vacuously.  A lower-level rule would assign  s p e c i f i c values to the archiphonemes involved with the same forms resulting as with the root marker method. B.  Vowel Harmony - Turkish A second example (Bach 1968: 140) u t i l i z i n g the i n i t i a l vowel  method i s furnished i n Turkish where both gravity vowel harmony and rounding assimilation of high vowels i n certain contexts occur.  Two  forms show the l e x i c a l l i s t i n g with a d i f f e r i n g specified i n i t i a l vowel: / g e l d l k l E r l / " t h e i r having come"  / g U l d l k l E r l / " t h e i r having laughed"  The progr The progressivesassimilationaruiLe belowb(.from(Bach)Billustrates the transfer of the backness feature to the archiphonemes while a further rule furnishes the r e a l i z a t i o n of the archiphonemes. + syll X ASSIMILATION , ^ -, , a grave [+ s y l l ] > [a grave] / r  R  U  L  E  r  - 127 -  A s y l l a b l e agrees i n backness with a preceding s y l l a b l e . Another rule i s necessary to determine-rounding, which, occurs with amiimmediately 'preeeding^higE :y.owel£ , giving the resulting formscrms% /geldikleri/  /guldUkleri/  Discussion Lightner, while setting f o r t h the root marker method, c r i t i c i z e d the  i n i t i a l vowel method as being a r b i t r a r y i n a choice of progressive  assimilation.  Zimmer, noting that progressive assimilation was a  natural process, commented that such assimilation could account equally w e l l f o r consonant harmony i n C l a s s i c a l Mongolian and Turkish, while being a more convenient and s a t i s f a c t o r y device f o r Turkish l a b i a l harmony.  However, i n terms of s i m p l i c i t y and economy of  statement, the i n i t i a l vowel method might be less successful than root marker. Bach was highly prejudiced i n favour of assimilation rules i n vowel harmony with the use of the proposed neighbourhood convention to account f o r both back and front assimilation.  While acknowledging  the possible existence of languages i n which either the f i r s t , or the l a s t , vowel might be independently specified, Bach (1968: 147) suggested that: The use of the neighbourhood convention f o r situations l i k e vowel harmony, i n short, expresses the view that (at least i n situations l i k e vowel-harmony) the d i r e c t i o n i s predominantly progressive, possibly progressive and regressive (when one value i s dominant l i k e i n Fogny or  - 128 -  apparently, Nez Perce, Aoki:1966: or when other l e x i c a l elements determine a f f i x elements as i n Igbo, I j o , etc.) but never purely regressive. Cognizant of the d i f f i c u l t y i n standard  generative theory i n  having i d e n t i c a l constraints i n both morpheme structure and phonol o g i c a l r u l e s , Bach (1968:142) noted that "within current phonol o g i c a l theory i t i s impossible  to use one rule both to f i l l i n  redundant s p e c i f i c a t i o n s and switch features as i n Diola-Fogny." The i n i t i a l vowel method, i i k e h f e h e o r i O . o t ' a m a E k e r y a w a s r c r i t i c i z e d by Kiparsky for v i o l a t i n g the alternationr.condition, and for being unworkable under markedness theory where vowels must be f u l l y specified i n the lexicon (v. Stanley 1967), and where l e x i c a l representations must not v i o l a t e Chomsky and Halle's well-formedness conditions. Moreover, arguing for the necessity of morpheme structure conditions and phonological rules i n Finnish, Turkish and Hungarian, where root and a f f i x harmony have d i f f e r e n t sets of exceptions, Kiparsky  (1968:31) has stated that " i t i s impossible  to derive both  root harmony and a f f i x harmony by a single r u l e " , thus rendering  root  marker and i n i t i a l vowel methods i n v a l i d . S p e c i f i c a l l y , the i n i t i a l vowel method i n Finnish, f o r example, would require odd morpheme structure conditions where vowels underl y i n g neutral 111 and /el,  i . e . , /*/ and /a/ (vowels of absolute  n e u t r a l i z a t i o n ) , would be required to appear with at least one occurrence of archiphonemes A,0,U so that morphemes such as */k±vE/ and * / k o l l / would not occur.  - 129 -  IV.5.3  Absolute Neutralization  A t h i r d method, which has been termed concrete  (v. Kiparsky  1968), and which c e r t a i n l y i s less 'abstract' than the two  previous  solutions, but which, following the d e f i n i t i o n and usage of Hyman, we term abstract, uses phonological features such as d i a c r i t i c markers to set up underlying, phonetically unrealized,  representations.  Examples A.  Vowel Harmony - Nez Perce An example of the absolute n e u t r a l i z a t i o n method i s furnished  by Kiparsky's  'concrete' solution of dominant versus recessive vowel  harmony i n Nez Perce where an underlying, neutralized phonetically to / i / ,  [+ dominant] /e/, l a t e r  i s established to d i s t i n g u i s h between  the asymmetric vowel harmony function of the two kinds of 111.  In  this system of dominant versus recessive vowel harmony i n morphemes, an underlying six-vowel system, considered h i s t o r i c a l l y accurate, of dominant vowels /a,o,a/ paired with corresponding recessive vowels /ae , u , i / i s distinguished.  Two rules, a vowel harmony rule changing  feature values of recessive vowels when occurring with a dominant vowel i n a morpheme, and a l a t e r n e u t r a l i z a t i o n rule,aaccount  f o r the  change to dominant feature values i n Nez Perce. ASSIMILATION RULE  + back - high  / * # x  + back - high  A vowel i n a morpheme corresponds i n dominance to i t s paired dominant  - 130 -  vowel when a dominant vowel occurs.  ABSOLUTE NEUTRALIZATION RULE  low round  - back + high  A low-level surface rule changes /s/ to / i / . B.  Vowel Harmony - Nupe Another abstract solution i s i l l u s t r a t e d i n Nupe (Hyman 1970)  where, i n order to explain n a t i v i z a t i o n of foreign words, r e d u p l i cation of certain forms, and certain d i s t r i b u t i o n a l r e s t r i c t i o n s , underlying /o/ and /e/ from /a/ are posited.  For example, d i s t r i b u -  t i o n a l l y i n Nupe, the consonant clusters /Cw/ and /Cy/ occur only before /a/ and /a/; so that the forms  /egwa/  "hand"  /egya/  1  /ega/ occur.  3  2  and  /twa/  1  Vblood"  /tya/  2  "stranger"  / ^3 fc  "to him" "to be mild" "  t o t e l 1  "  I f , as Hyman has reasoned, there aretthree kinds of /a/: one  which causes l a b i a l i z a t i o n , e.g., underlying  one which causes  p a l a t a l i z a t i o n , e.g., /e/, and one which causes no e f f e c t , then the surface clusters are explained by a l a t e r r u l e of absolute n e u t r a l i z ation which account f o r the surface appearance of the neutralized segments. Thus, according to Hyman, with the underlying forms /ego/, /ege/, and /ega/, surface forms can be accounted f o r by three rules,  - 131  -  a l a b i a l i z a t i o n r u l e , a p a l a t a l i z a t i o n r u l e , and  a rule of absolute  neutralization.  ABSOLUTE NEUTRALIZATION, RULE - .;  +  low  + back - round  Underlying low vowels are r e a l i z e d as a low back surface vowel,  >  1  Discussion  The method using, absolute n e u t r a l i z a t i o n was  c r i t i c i z e d by  Kiparsky on the basis of markedness (vowels must be f u l l y specified and  thus predictable  condition.  i n the lexicon) and  the strong alternation  However, absolute n e u t r a l i z a t i o n might be acceptable to  a weak version of the alternation condition, were rule features not available, and were the l i n g u i s t i c cost not too great. Absolute n e u t r a l i z a t i o n i n Nez  Perce (Kiparsky's 'concrete'),  simple and h i s t o r i c by r u l e , l e s s simple than the process solution, does not s a t i s f y the basic alternation In regarding-an abstract  condition.  solution of absolute n e u t r a l i z a t i o n i n  Nupe as being more explanatory with regard to "the l i m i t a t i o n s on surface d i s t r i b u t i o n s of the bi-unique phonemes", Hyman intended with manipulation of Nupe data, to demonstrate that abstractness  and  absolute n e u t r a l i z a t i o n were more productive and psychologically  real.  Harms (1973), i n rejecting both the notion of morpheme structure and absolute n e u t r a l i z a t i o n i n Nupe, while positing the underlying  - 132 -  vowel clusters / i a / and /ua/ to account for Hyman's n e u t r a l i z a t i o n , suggested the recognition of surface-structure constraints to i l l u s trate skewness of consonant p a l a t a l i z a t i o n and l a b i a l i z a t i o n before [a]. For those supporting  the existence of morpheme structure, however,  there i s evidently no "non-arbitrary basis" for deciding between the generality of morpheme structure conditions  (consonant and glide  clusters) over absolute n e u t r a l i z a t i o n of /o/ and /e/ i n the phonology. Harms also rejected a supposed n a t i v i z a t i o n as o f f e r i n g support f o r absolute n e u t r a l i z a t i o n , while suggesting that Hyman's stated p a l a t a l i z a t i o n rules are not correct. In responding to c r i t i c i s m s of his analysis of Nupe, Hyman (1973) suggested that The challenge 'of Harms 1973 to my abstract Nupe solution (Hyman 1970) i s not so much a p r i n c i p l e d account of how Nupe must be analysed as i t i s a negative demonstration of our frequent i n a b i l i t y to provide sound empirical evidence concerning the nature of phonological systems. Hyman further reiterated that loan words might indeed provide strong empirical support for absolute n e u t r a l i z a t i o n and that economy and naturalness  were not s a t i s f a c t o r y substitutes for badly needed psycho-  l o g i c a l evidence. IV.6  CONCRETE PHONOLOGY  Reviewing the basis of a concrete phonology which, for Nupe, Hyman (1970) defined as phonemic, we seek the roots i n phonemic theory.  - 133 -  In an approach s i m i l a r to Kiparsky, Fudge (1970) has suggested four main classes of various approaches to the phoneme, including the mentalistic or psychological views of Baudouin de Courtenay and Sapir; the physical approach of Daniel Jones; the functional view of Bloomfield; and the abstract view, again of Sapir, Hjelmslev, and Fudge. According to Stankiewicz (1976:33), i n Baudouin de Courtenay's psychological viewpoint a speaker aims phonemically at an i d e a l acoustic image composed of acoustic and a r t i c u l a t o r y elements "divorced from the actual speech-sounds".  I d i o l e c t a l v a r i a t i o n s , i n Fudge's  opinion, cannot be accounted f o r . In the words of Baudouin de Courtenay: The phonemes consist of ultimate psychological ( a r t i c u l a t o r y and acoustic) elements ... [1910, 267] which "are not l i k e separate notes, but l i k e chords composed of several elements [1910, 271] ... (Stankiewicz 1976:32). In the physical view, the phoneme i s regarded as a family of sounds (v. Jones 1950) phonetically s i m i l a r , and i n complementary distribution.  Minimal pairs d i f f e r e n t i a t e meanings as a c o r o l l a r y  of the d e f i n i t i o n , while s i m i l a r l y pronounced words must be phonemica l l y s i m i l a r or bi-unique, e.g., German Bund "federation", and bunt "coloured"  (phonemically /bunt/).  The functional viewpoint, converse of the physical (Fudge 1970), defines the phoneme as a minimal meaningful sound unit composed of d i s t i n c t i v e features (Bloomfield 1933). the basis of phonological  D i s t i n c t i v e opposition i s  structure i n the work of Troubetskoy (1939)  - 134  and Jakobson (1956). may  -  The d i s t i n c t i v e feature of voicing, for example,  d i f f e r e n t i a t e meaning i n the minimal pair / l a t t e r / , In the abstract view (cf Kiparsky  /ladder/.  1968), the phoneme i s regarded  as independent of physical properties, able to account for i d i o l e c t a l v a r i a t i o n by the use of non-phonetic c r i t e r i a , e.g.,  the grouping  together of alveolar 1 and v e l a r i z e d ("dark") ±, on the basis of morphological a l t e r n a t i o n .  Bi-uniqueness i s not a requirement of  the abstract view. However, stemming from d i f f i c u l t i e s i n the physical viewpoint of u t i l i z i n g grammatical information, a separate, and higher, l e v e l of morphophonemic representation  (unrelated to the morphophonemic represent-  ation of generative phonology) was  established, though mostly undefined.  For example, to the p h y s i c a l i s t s (v. Fudge 1970:90), German Bund would be morphophonemically /bunD/, where D i s It/  word-finally, and  /d/  elsewhere. And from the early d i s t i n c t i v e feature work of Jakobson (Jakobson and Halle 1956,  Jakobson, Fant and Halle 1952)  has arisen the  modified  set of d i s t i n c t i v e features and phonological representations, currently in vogue, of Chomsky and Halle. Although the phonemic and generative phonological theories, having t h e i r bases i n opposing philosophical biases with methods, respectively, of induction (or discovery) vs deduction (or v a l i d a t i o n or decision) procedures, are not to be construed  as s i m i l a r , a s i m i l a r i t y i n view-  point towards abstract, concrete and process has been noted Kiparsky 1968, (1975: 139):  Fudge 1970)  and reviewed.  For, according  (e.g.  to Gregg  - 135 -  whatever our views on the matter of the phoneme - whether we regard i t as a concrete, p r a c t i c a l unit, useful i n the description of languages and dialects known or hitherto unknown, or whether we consider i t an abstract Platonic idea whose translation to the r e a l world involves a series of Protean adaptations or adjustments to the phonological environment - i n either case, the most important factor to be considered i s d i s t r i b u t i o n . Following Hyman we take note of the concreteness, which Hyman has not defined, of a phonemic solution to the problem i n Nupe, suggesting that a concrete method tends towards a physical basis (v. C r y s t a l 1971:179). IV.7  PROCESS SOLUTIONS The process method, according to Kiparsky  (1968), recognizes  the  abstractness of morphophonemic representation while ascribing "an i n t r i n s i c representation on the phonetic l e v e l ' .  In treating vowel  harmony, Kiparsky i s bound by the alternation condition which i n i t s strong form forbids absolute n e u t r a l i z a t i o n . Adhering to Postal's naturalness condition i n which a phonemic representation must be as l i k e as possible the phonetic representation, process morphophonemics, i n conjunction with markedness and the use of rule features where an asymmetric functioning of segments to rule may occur, treats the l e v e l of morphophonemic representation as being f u l l y s p e c i f i e d , yet as appearing  i n i t s maximally unmarked form,  that i s , i n terms of universal phonetic s p e c i f i c a t i o n , i n i t s most neutral form.  - 136 Examples  A.  Vowel Harmony - Hungarian  Using Hungarian vowel harmony as an example, Kiparsky gives a l e x i c a l l i s t i n g , using minus rule features, of two i d e n t i c a l vowels i n morphemes i n which one vowel undergoes vowel harmony, while the other does not.  (1)  hej  "rind"  (2) kes  "knife"  [- Vowel Harmony] The vowel harmony rule a f f e c t i n g suffixes with basic back vowels would thus apply only to form (2) and the following forms would result:  (1) B.  hej-am  "my r i n d "  (2)  kes-em  "my k n i f e "  Vowel Harmony - Nez Perce  An example of a process solution i s given by Kiparsky's treatment of Nez Perce.  With a f i v e vowel system of / i ,  dominant vowels /a, o, i / ,  33, a, o, u/ -and the  the rule changes a vowel i n which the  features backness and height agree to a plus back, minus high vowel, that i s i n morphemes with dominant vowels: RULE VOWEL HARMONY  V a back a high  + back - high  / * # X  a back - a high  - 137 -  A vowel which agrees (plus or minus) i n backness and height becomes back and minus high i n the environment of a vowel that i s of the same backness, and an opposite degree of height. Discussion For Nupe, Hyman offered a process-type  s o l u t i o n , using r u l e -  exception features, to the problem of l a b i a l i z a t i o n and p a l a t a l i z a t i o n before /a/.  Positing two rule-exception features [-LR] ( l a b i a l i z a t i o n  rule) and [-PR] ("palatalization r u l e ) , Hyman suggested that a single phoneme /a/ might have the variants /a/ [-LR], /a/ [-PR], and /a/ [-LR -PR].  However, the consonant l a b i a l i z a t i o n and p a l a t a l i z a t i o n  rules would imply that a back vowel implies [+LR] and an unround vowel implies [+ER], which, without rule-exception features on each occurrence of /a/, would mean that a consonant would be both p a l a t a l i z e d and l a b i a l i z e d (an i m p o s s i b i l i t y i n Nupe) before /a/, According to Hyman (1970: 71) "the rule-exception feature forces us into an odd constraint, where every occurrence of post-consonantal  /a/ i n Nupe i s an exception".  Hyman also, inddiscussing implications of the alternation condition (one of the supports of process morphophonemics), decided f o r the greater explanatory power of the abstract view.  Recently, theories of  natural phonology and natural generative phonology have been discussed which would obviate the use of markedness theory - a further support of the process approach.  At the l e v e l of descriptive adequacy, process  morphophonemics according to Hyman (1970, 1973) apparently does not account s a t i s f a c t o r i l y f o r data agreeing with a native speaker's  - 138 -  intuitions.  S u f f i c i e n t discussion of process morphophonemics i s yet  to be forthcoming i n the l i t e r a t u r e , although Ingram (1976), i n discussing c h i l d language a c q u i s i t i o n , has recently equated the l e v e l of descriptive adequacy or concern f o r s i g n i f i c a n t generalization with Chomsky and Halle's investigations into markedness, with  Kisseberth's  functional rules, and the search f o r conspiracies; and the l e v e l of explanatory adequacy with the natural rules and processes suggested by Stampe (1977 forthcoming). IV.8  PROSODY The previous solutions have been within the framework of trans-  formational generative  phonology.  Howeverf,Lyons (1962) has discussed  J.R. F i r t h ' s London school prosodic approach to vowel harmony. B r i e f l y , i n describing data, the prosodist distinguishes a m u l t i l e v e l design of system vs structure, with items described i n terms of contrastive phonematic units, and prosodies which are akin to phonetic long components  (cf. Lyons 1962).  In Turkish vowel harmony, f o r example, binary prosodic  contrasts  of front vs back and round vs non-round effect the phonematic units of high / i / /i/  and low /a/.  In an eight-vowel, two-height system (where  = high vowel and /a/ = low vowel), with phonemic vowels / i ,  e, ii,  o, l , a, u, o/, the contrasts are r e a l i z e d prosodically (where F=Front, B=Back, R=Round, and N=Non-Round) as follows:  - 139  The low,  -  FR  gazlar  FN  avlar  /evler/  BR  kallar  /kollar/  BN  adamlar  / adamlar/  prosody, except  and p h o n e m i c a l l y  as  /gozler/  f o r R which a f f e c t s o n l y the f i r s t  covers the whole word, which i s i n d e p e n d e n t l y Lyons suggested  s y l l a b l e when  d e f i n e d by  stress.  the advantage of a p r o s o d i c approach to a v o i d  redundancy of statement,  and  to c a p t u r e g e n e r a l l y the  front-back,  round-non-round o p p o s i t i o n of vowel harmony i n the n a t i v e l e x i c o n . Although  the p r o s o d i c statement  cannot be judged  prosody o f f e r s a simple, economical  and  i n g e n e r a t i v e terms,  a b s t r a c t d e s c r i p t i o n of  T u r k i s h vowel harmony a t the l e v e l of o b s e r v a t i o n a l adequacy.  IV.9  EVALUATION CRITERIA  W i t h i n g e n e r a t i v e t h e o r y , a c c o r d i n g to K i p a r s k y , a c h o i c e of an a b s t r a c t , c o n c r e t e or p r o c e s s  solution i s entirely arbitrary  an adequate e v a l u a t i o n measure.  Where, i n e v a l u a t i n g phonemic  d e s c r i p t i o n s , the c r i t e r i a of c o n t r a s t and s i m i l a r i t y , p a t t e r n c o n g r u i t y , and  complementation,  economy ( c f . Hockett  fundamental, i n e a r l y g e n e r a t i v e phonology n o t i o n s of economy and  lacking  1958)  phonetic were  simplicity,  g e n e r a l i t y were v a l u e d .  For example, H a l l e (1959) suggested be l e s s c o m p l i c a t e d  that phonological r u l e s  should  than morpheme s t r u c t u r e c o n d i t i o n s , w i t h a conse-  quent c o s t to the grammar should the o p p o s i t e be n e c e s s a r y .  In r e c e n t  - 140  -  years, however, generative phonologists feature-counting  have shifted away from  and the simplicity metric to the newer concept of  naturalness. According  to Anderson (1974: 79):  It has often been argued (e.g. Halle 1962; Chomsky and Halle 1965; Chomsky 1967) that l i n g u i s t i c theory must provide not only a framework i n which a l l possible processes that might be found i n a natural language can be expressed, but also some way to decide, given two or more d i s t i n c t accounts of some l i n g u i s t i c fact or process, which i s the most natural, i n the sense of embodying the most l i n g u i s t i c a l l y . y s i g n i f i c a n t generalizations. And as Hyman (1970: 59) suggested i n discussing an increasing non-uniqueness of solution:  We obviously cannot tolerate such a variety of solutions i n a theory that claims explanatory adequacy as i t s goal, since we have assumed that there i s only ONE correct grammar. It i s this one grammar that we s h a l l c a l l 'psychologically r e a l ' . Therefore, we must f i n d some appropriate means to t e l l us which one of these solutions i s the most highly valued i n a given set of circumstances.  Though Hyman (1970, 1973)  has r e i t e r a t e d that psychological r e a l i t y  and psycholinguistic evidence are central i n deciding among alternate descriptions, c r i t e r i a i n phological description of s i m p l i c i t y , economy and naturalness w i l l be b r i e f l y outlined. IV.9.1  Simplicity  The s i m p l i c i t y metric 128; Zimmer 1969)  (cf. Halle 1961)  i s intended  discussed i n Bach (1968:  to " r e f l e c t generality of statement i n  - 141 -  shortness of rules", while predicting a maximally simple phonology to the language a c q u i s i t i o n device i n c h i l d language a c q u i s i t i o n .  However,  using English, Bach pointed out that the s i m p l i c i t y metric, a measurement of the p r e d i c t a b i l i t y of rule correctness by the element of natural class and feature counting, may  not always account for the  most s i g n i f i c a n t generalization or the most natural r u l e . The  s i m p l i c i t y metric, as such, has recently been discounted i n  favour of newer proposals:  of markedness theory where universal  conventions state the most l i k e l y feature change to occur on the basis of universal phonetic mapping; of natural processes (Stampe 1972); of natural generative  grammar (Vennemann 1972); and of psychological  r e a l i t y and productivity (Hyman 1973). IV.9.2  Economy  Economy i n generative  phonology (cf. Halle 1962)  refers to the  frugal counting of features i n a rule so that the most highly valued solution i s that rule most economic i n feature use.  However, according  to Harms (1966: 602):  In evaluating possible analyses of phonemic systems within a d i s t i n c t i v e feature framework, the average number of b i t s per phoneme i s often taken as a measure of economy... That such a scale of economy cannot serve to evaluate phonological systems which are integrated into the t o t a l grammar of a language has been recognized i n p r i n c i p l e (Halle 1959: 29-30, 45) but i s not always considered i n p r a c t i c e .  Although Halle (v. Bach 1968:  610)  considered  that economy of phono-  l o g i c a l rule must take precedence over economy of l e x i c a l  representation  - 142 -  without great cost to the grammar, Stanley (p.c. reported by Zimmer 1969) suggested  that l o g i c a l l y , i n this view, i t would be most economic  to forego phonological rules e n t i r e l y and to l i s t a l l the morphemic variants i n the lexicon. However, as Harms pointed out, i n generative phonology l e x i c a l features cannot be rated on the same scale as morphophonemic rule features.  According to h i s interpretation of Halle's proposal i t  would appear that neither l e x i c a l economy nor morpheme structure economy should be considered at a l l .  According to Harms (1966: 610):  A r e l i a b l e answer - and an e f f e c t i v e evaluation procedure can be found only after our present meagre knowledge of individual languages i n these respects has been substant i a l l y bolstered.  Therefore, because of the d i f f i c u l t y i n evaluating s i m p l i c i t y and economy e f f e c t i v e l y (though these are l i p - s e r v i c e c r i t e r i a which l i n g u i s t s may s t i l l pay), newer forms of evaluation have been . suggested.  For example, Hyman (1973) rejected economy and natural-  ness i n favour of psychological evidence, while Zimmer (1969: 97) has pointed out that: An evaluation measure f o r grammars that r e l i e s exclusively on feature counting would have made what i s c l e a r l y the wrong choice -.. primarily because i t would have had no way of recognizing the oddness of the rule ...  Thus, these newer c r i t e r i a stress naturalness i n rules, processes, or even i n the whole generative grammar.  - 143 -  IV.9.3  Naturalness  Naturalness has been a concern of generative phonologists following a s h i f t away from the e a r l i e r evaluation measures of s i m p l i c i t y and economy.  The naturalness condition, stated by  Postal (1968) i n a tirade against autonomous phonemics, contains the notion of a natural relationship between phonological and phonetic l e v e l s . Anderson (1974: 50), i n adhering to the naturalness condition, has noted that a morphophonemic representation occurs i n a f u l l y specified and maximally natural form, which deviates from the occurring phonetic forms only insofar as such i s dictated by the need to optimize p r e d i c t a b i l i t y of v a r i a t i o n and to capture generalizations about phonolggiealsstructure. Markedness theory, with the userof marking conventions and l i n k i n g rules, has been an attempt to capture naturalness by positing universal values.  However, major c r i t i c i s m s of l i n k i n g rules i n  application and evaluation have been voiced by Bach and Harms (1969), who  suggest  (p. 6) that "what we are concerned with i s the suggestion  that p l a u s i b i l i t y constraints should be reflected d i r e c t l y i n the evaluation metric."  Marking conventions, while apparently capturing  phonetic naturalness, can not provide an adequate evaluation of simplicity in acquisition. Phonetic p l a u s i b i l i t y i s often taken as a measurement of naturalness.  For example, Hyman (1975: 97-8), i n discussing phonetic plaus-  i b i l i t y hypothetically, notes that i t i s e n t i r e l y plausible i n a language for alveolar [s] to p a l a t a l i z e to [s] before front vowels  - 144 -  [ i , e ] , far less l i k e l y i n an alternate solution for [s] to become [s] following back vowels [u, d> a ] .  Rule p l a u s i b i l i t y therefore refers  to phonetic naturalness, including ease of a r t i c u l a t i o n and usually u n i d i r e c t i o n a l assimilation.  According to Hyman (1975: 161):  While the study of rule naturalness i s i n i t s infancy, i t i t clear that naturalness i s not a binary property. Rules are more or less natural or more or less unnatural. IV.9.4 Alternation Applying to absolute rather than contextual n e t u r a l i z a t i o n , Kiparsky's alternation condition has raised yet unresolved issues on abstractness which seemingly hearken back to similar disputes on phonemic r e a l i z a t i o n among the post-Bloomfieldian s t r u c t u r a l i s t s . The alternation condition may be strong, the t o t a l exclusion i n generative theory of absolute n e u t r a l i z a t i o n , or weak.  The weak  alternation condition suggests that not a l l cases of absolute neutrali z a t i o n w i l l be excluded:  Two conditions, that phonetically i d e n t i c a l  morphemes must have the same underlying representation (to avoid the method of absolute n e u t r a l i z a t i o n ) ; and the converse, that phonetically d i s t i n c t morphemes must have d i f f e r e n t underlying representations (to avoid root marker methods), are included.  The weak alternation condition  may well be, according to Kiparsky (1968: 23), the clause of an evaluation measure  which says among other things that absolute n e u t r a l i z a t i o n i s l i n g u i s t i c a l l y complex. In that form the a l t e r n a t i o n condition would, i n any given case, balance out the generalizations gained by absolute neutralization against some  - 145 -  fixed cost assigned to i t i n phonological theory. The r e l a t i o n of absolute n e u t r a l i z a t i o n between underlying and phonetic representations would s t i l l be excluded i n cases such as those analyzed above, where rule features do just as w e l l , but i t would be allowed where this i s not the case. IV.10  VOWEL HARMONY METHODOLOGY  Because of the alternating patterns of roots and a f f i x e s i n vowel harmony languages, vowel harmony offers an interesting way of testing abstractness.  As Kiparsky (1968: 46) has suggested:  Vowel harmony systems are of special i n t e r e s t , because many of their apparently quite strange features can be explained by the complex interaction of several r i c h and detailed phonological universals. Neither markedness, nor the alternation condition, were set up with vowel harmony i n mind. Yet they j o i n t l y lead to just the right solution i n many d i f f e r e n t kinds of cases. As f a r as methodology i n treating vowel harmony i n generative phonology i s concerned,  i t has been generally considered that the  same rule which determines vowel harmony i n alternating suffixes i s also responsible f o r accord i n the root, with vowels unspecified i n the lexicon f o r the alternating feature.  A problem has been the  categorizing of roots, whether by a completely abstract marker or by vowel assimilation (v. Kiparsky 1968: 28). In discussing vowel harmony methodology i n T l i n g i t i n accordance with abstract, concrete and process theory, we w i l l examine each approach i n turn.  These methods w i l l be described with references,  i l l u s t r a t e d with examples, and f i n a l l y c r i t i c i z e d as to economy, s i m p l i c i t y , and p r e d i c t a b i l i t y within generative theory.  Under  - 146 -  abstractness, the most detailed, three methods of application w i l l be discussed: neutralization.  the root marker, the i n i t i a l vowel, and absolute Under concrete, the previously discussed T l i n g i t  l a b i a l harmony w i l l be featured, while under a process heading the use of rule features and markedness w i l l be discussed.  Initially,  however (following Aoki 1968), vowel harmony typology w i l l be b r i e f l y reviewed. IV.11  VOWEL HARMONY TYPOLOGY  In a tentative typological c l a s s i f i c a t i o n of vowel harmony to be used i n conjunction with markedness, Aoki (1968) suggested c r i t e r i a of opposing features of t o t a l versus p a r t i a l harmony, symmetry versus asymmetry, alternating versus non-alternating systems, while rejecting c r i t e r i a of neutral vowels and d i r e c t i o n ality. According to Aoki's typology, i n t o t a l harmony a vowel i s specified only for the feature plus v o c a l i c ( f u l l y abstract), while i n p a r t i a l harmony the features are partly s p e c i f i e d .  Unspecified  features are provided by p-rules that are either of the  root-marker  (prosodic) or assimilation type. Sub-types of p a r t i a l harmony are l a b i a l , horizontal and p a l a t a l harmony.  L a b i a l harmony refers to rounding assimilation, which  generally occurs secondarily i n Aoki's typology with either horizontal or p a l a t a l harmony.  P a l a t a l harmony refers to vowels unspecified with  regard to backness.  In T l i n g i t , this feature depends on the analysis  - 147 -  preferred, e.g., archiphoneme or root marker would need the gravity feature s p e c i f i e d .  Horizontal harmony refers to height, tension,  and tongue root p o s i t i o n . Symmetry implies that the harmonizing vowels (e.g., i , u) are of equal power with no system dominant, as i n Nez Perce or Koryak. Alternating refers to the number of features which are l e f t unspecified i n the lexicon, an example of a non-alternating system being i n t e r n a l harmony i n Turkish. Using Aoki's typology of vowel harmony, T l i n g i t may be characterized as evincing p a r t i a l , symmetric (with i d i o l e c t a l r e s t r i c t i o n s previously noted), l a b i a l and p a l a t a l harmony with respect to certain lexically-marked morphemes.  As previously discussed, the e f f e c t of  this vowel harmony, as described by Boas (1917), i s to round and back p a l a t a l a f f i x segments following rounded, back segments across a morpheme boundary. certain s u f f i x e s .  Nouns ending i n /a/ also may cause rounding of The following a f f i x e s l i s t e d by Boas (1917) are  affected:  /-yi'v.-wu/  ^'possessive"  /yutt^wWA-/'" verbal p r e f i x (this l a b i a l i z e d only a f t e r /u/) i t /-k^-k / w  /-yinv-wun/  "past"  " l i t t l e " {diminutive to nouns)  The p r e f i x /ya-/, of complex morphological discussed.  attached  conditioning, w i l l not be  The problem i s to discover whether any of the t h e o r e t i c a l  solutions—abstract?., concrete or p r o c e s s — o u t l i h e d d i n this  chapter  presents a s a t i s f a c t o r y , or even a unique, solution to the problem of vowel harmony i n T l i n g i t .  - 148 IV.12: • ABSTRACT TREATMENT IV.12.1  Root Marker  In a root marker solution of T l i n g i t vowel harmony, the a f f i x rather than the root must be marked for harmony.  By convention, each  segment of the a f f i x w i l l thus be marked for the morpheme-sized feature grave where, i n terms of the grammar, l e x i c a l items w i l l be termed [ - A f f i x ] , the rest [+ A f f i x ] , an unmarked u n i v e r s a l l y predictable feature (v. Bach 1968). marker method:  There are several variants of root  that of Lightner, reworked by Zimmer; and that of  Chomsky and Halle.  Their suggestions have.here been adapted for  Tlingit.  Rule  Lightner  Data Example  (1965)  - cons + high  [a grave]  du-t'a - y i ,- GRAVE du-l'uk -YI + GRAVE  [a grave] / [ a GRAVE]A f f i x  ?uk^-yln + GRAVE  W  Zimmer (1967) - cons + high  ->  where [ a grave] = [ a GRAVE] These s i m i l a r rules state that a glide or vowel or marked segment /a/ i n an a f f i x i s marked to agree i n backness with the morpheme marker.  - 149 -  Discussion  Lightner's rule d i s t r i b u t e s the feature of the ad hoc morpheme marker {GRAVE} to the a f f i x marking each segment [ a grave], e.g.,  Xn)I(n)  [a grave].  [a grave] With only one nasal, grave feature s p e c i f i c a t i o n of /n/ i s redundant, and v a r i a t i o n i s allophonic. du-t'a-YI  In terms of data marking: du-±'uk -YI W  [- grave]  [+ grave]  A l a t e r rule applying to a l l solutions (1), (2), and (3) would specify the [+ grave]  archiphonemes  Y as [w]  [- grave]  Y as [y]  [+ grave]  I as [u]  [- grave]  I as [ i ] .  Zimmer's improvement formalizes Lightner's convention that each phonol o g i c a l segment s p e c i f i e d i s associated with the abstract marker (of the a f f i x ) and thus would simplify Lightner's r u l e .  Chomsky and Halle (1968) In t h e i r treatment of Nez Perce with i t s three dominant vowels, Chomsky and Halle o f f e r a readjustment rule which d i s t r i b u t e s a [+ dominant] feature to a l l segments of a word occurring with a [+ dominant] morpheme.  Using gravity as the d i s t r i b u t e d feature, and  - 150 -  archiphonemes, e.g., YI, a morpheme structure condition would specify round segments to agree i n backness with the feature round, and thus markethe feature of the a f f i x (v. Kiparsky  qtJx Xu-YIn  1968: 39), e.g.:  qtJx Aki£-YIn  W  W  [+ round]  [- round]  Morpheme Structure Condition - A f f i x Marker  a round - cons  ->  [a grave]  /  # X [a round]  +  }  Affix  A phonological rule states that gravity and backness agree i n high vowels and glides: R u l e — Vowel Harmony - cons + high  [ a back]  /  [ a grave]  A t h i r d rule i s needed to s t i p u l a t e the r e a l i z a t i o n of the archiphonemes Y I.  Comment  A Lightner-and-Zimmer kind of solution apparently may be applied to T l i n g i t with some success i f one i s w i l l i n g to overlook  the use of  what previously has been termed an ad hoc and unrelated morpheme feature (v. Kiparsky  1968).  Problems with root marker have been  discussed i n d e t a i l i n the preceding  section.  A root marker solution  i n T l i n g i t captures a certain generality i n g l i d e and vowel harmony.  - 151 -  Chomsky and Halle's suggested solution, actually a morphological marker, e n t a i l s two or three rules and a certain i n t r i c a c y i n r u l e writing which suggests that the rules are none too natural. addition, the f i r s t rule i s actually a morpheme structure which marks the a f f i x f o r the s p e c i f i e d feature.  In  condition  No s i g n i f i c a n t  generalization i s captured by the rules. The problem with applying  a root marker solution to T l i n g i t i s  that the affected a f f i x e s are most c e r t a i n l y the r e s u l t of progressive assimilation, and this can not be formally  shown by a prosodic solution.  However, i n the s t y l e of Lightner and Zimmer, a root marker type with harmonic a f f i x e s specified i n the lexicon would appear to be a workable, and perhaps even psychologically IV.12.2  r e a l , solution.  I n i t i a l Vowel  An i n i t i a l vowel solution which acts i n terms of a progressive assimilation would cause problems i n T l i n g i t vowel harmony i n those cases where /y/ i s not removed d i r e c t l y following a consonant, although one could, i n the s p i r i t of terminological  quibbling, choose  to change the theory to I n i t i a l Glide and Vowel, i n which case (rule 3), a simple assimilation 'rule', would s u f f i c e . necessary, e.g., Y  > 0  /  C  +  A persistent rule i s also  .  Rule 1  ->  [a back]  /  [a round]  +  - 152 -  This rule accounts only f o r vowel agreement i n backness and rounding across a morpheme boundary. Rule 2  AGREEMENT  [  "  S y l l ]  >  [ a  r o u n d  ]  /  [ round] a  +  _  Where the glide i s not omitted, rule 2 must apply, then rule 1. A glide i s rounded following  a rounded segment across a morpheme boundary.  Rule 3 GLIDE OR VOWEL AGREEMENT  - cons (+ high)  ->  [ a back]  /  [ a round]  +  A glide or vowel agrees i n backness and rounding across a morpheme boundary.  Rule 3 applied p e r s i s t e n t l y would obviate the need of Rules  1 and 2 and would provide a s a t i s f a c t o r y solution: Data du-Saxaw-YI  "his h a i r "  Persistent  du-gux -YI  "his slave"  Y  du-lu-YI  "his nose"  du-?ia-iYI  "his lake"  W  i 0  /  rule C  +  A l a t e r rule would specify the r e a l i z a t i o n i n backness of the a r c h i phonemes. A rule 3 solution i n T l i n g i t i s c e r t a i n l y plausible and natural. However, p l a u s i b i l i t y of t h i s method would have to be determined i n  - 153 terms of productivity, since there might be a more explanatory or even more descriptive  solution.  A l t e r n a t i v e l y , an i n i t i a l vowel solution could also have been approached i n terms of both progressive and regressive when the glide i s not deleted.  assimilation  Example:  Rule 4  [+ s y l l ]  >  [ a back] / [a round/ +  Rule 5  [- s y l l ]  >  [a back] / +  • [a back]  This solution i s obviously less economical than Rule 3 above. IV.12.3  Absolute Neutralization  From the Boas data, i t i s evident that the voiced  post-palatal  continuant /y/ and the voiced p a l a t a l glide /y/ have but l a t e l y merged i n southern T l i n g i t . [yi]  Indeed, Boas gives the a f f i x e s / y i / and / y i n / as  and [yin], orthographically  <yi> and <yin>.  Thus the continuant  may be assumed to be the underlying form of the glide /y/ i n certain marked a f f i x e s , although the continuant [y] i s , of course, not the underlying form of a i l p a l a t a l glides, nor do a l l a f f i x e s with i n i t i a l [y] automatically undergo vowel harmony.  The glide /w/ i s tentatively  marked as a l a b i a l i z e d p a l a t a l continuant i n Boas' chart. Because the segment /a/ i n certain nouns also causes rounding of + syll  Rule 1(a) CONTINUANT BACKING  + voiced + cont - syll  •>  [a round] / [ a round] +  - 154 -  A voiced continuant  i s rounded following, a rounded segment across a  morpheme boundary. Rule 1(b) + voiced + cont - syll  ABSOLUTE NEUTRALIZATION  ->  [- cons]  The underlying p a l a t a l continuant loses i t s consonance. Rule 2(a) + cons + dim  DIMINUTIVE  ->  [+ round] /  J  + syll + low + round  +  t The- /-k/ s u f f i x rounds following /o/, Rule 2(b) + syll + low + round  ABSOLUTE NEUTRALIZATION x. e.  o  ->  ->  [- round]  a  As f a r as a T l i n g i t solution i s concerned, the absolute n e u t r a l i z a t i o n of [y] and of /y/ provides a neat explanatory  device f o r round-  ing, b'£. the affected affixes although,, since other a f f i x e s may also be postulated to have i n i t i a l [y] (as shown orthographically) and do not round, a phonological explanation i s not the complete answer.  The  answer possibly i s to be found i n the p a r t i c u l a r kind of syntax involved. Though.Kiparsky's c r i t i c i s m of the d i a c r i t i c use of features perhaps may be j u s t i f i e d , i n T l i n g i t , u n t i l the recent past, a surface representation of the abstract feature [y] occurred which i s now  - 155 -  posited f o r rounding f o r certain probably gramatically marked forms. With regard to /o/ i n T l i n g i t phonology, there are only two back vowels, with tense and lax manifestations, and i t i s e n t i r e l y possible that an o-type of vowel may previously have been neutralized.  Though  diachronically the positing of such underlying forms may be correct and well motivated, the assimilation rules, while plausible, are neither economic nor p a r t i c u l a r l y simple, while natural solutions are available. IV.13  CONCRETE TREATMENT A concrete solution to the problem of vowel harmony i n T l i n g i t  within the confines of generative phonology would demand that no s  underlying forms are posited that are not phonetically r e a l i z e d , and that a l l features be f u l l y s p e c i f i e d i n the dictionary  representation.  With the aid of minor rules (v. Lightner 1968) to account f o r those a f f i x e s which do not undergo vowel harmony, a possible i s offered.  Lightner (1968: 70) has described  solution  the use of minor r u l e s :  The convention f o r application of a minor rule i s that no form i s subject to application of a minor rule unless the form i s s p e c i f i c a l l y marked as undergoing a certain r u l e . In the case of minor rules, redundancy rules would have to specify that certain groups of morphemes are exceptions i n that they undergo minor rules.  The use of minor rules (i<?e. + rule features) i n a  concrete solution i s suggested by Kiparsky's strong alternation cond i t i o n which allows for the categorization of elements into and exceptional  classes with respect  to phonological r u l e s .  regular  - 156 -  The following, rules would account f o r the data i n a concrete solution where the a f f i x i s specified as undergoing vowel harmony •£•*- V.H. ].  Minor rules would account f o r these exceptional cases  without the need of postulating underlying forms. Rule PROGRESSIVE ASSIMILATION  + cons + high  + back + round  r  JI  +  1'  High segments back and round across a morpheme boundary following a rounded segment or a segment marked ..for vowel harmony.  In addition,  nouns ending i n /a/ which cause l a b i a l i z a t i o n would have to be marked i n the lexicon as [+ V.H.]. Underlying Forms  yAnAlge*n-yin  [+ V.H.] qUx  Au-yin  [+ V.H.] h i t ' t'aq - y i [+ V.H.]  "he was getting big"  a -k [+VH][+VH]  "a small pond"  "I was dwelling"  qa ' - y i [+VH][+VH]  "its  "house timber"  na - y i n [+VH][+VH]  "having died"  W  man"  The concrete method, provides a neat and economical solution to the problem of vowel harmony i n T l i n g i t .  The use of minor rules to mark  exceptional forms i s economical i n T l i n g i t where only a few forms are so marked.  This solution provides naturalness and s i m p l i c i t y , as well as  s u f f i c i e n t motivation and generalization, although i t lacks psychol i n g u i s t i c insights of a native speaker.  - 157 IV.14  PROCESS TREATMENTS A process treatment of T l i n g i t vowel harmony requires that every  stem vowel and consonant be specified i n the lexicon, while the variable vowel and glide ' archiphonemes.' are represented i n their " f u l l y specified maximally unmarked" forms according to the theory of markedness, the alternation condition, and naturalness (v. Kiparsky 1968:  39). Rule features of the suggested  [ - r u l e feature] type would account  for sound change of the unmarked features.  The systematic phonemic  l e v e l i s related to universal phonetic features, f i r s t according to universal p r i n c i p l e s , and second by means of language s p e c i f i c p-rules which may s h i f t one or more mapped features (Postal 1968: 60-2). i s no unmarked high vowel.  The use of / i /  There  i s arbitrary.  Rule VOWEL HARMONY  + cons + high  •> [a round]  +  A high segment rounds following a rounded segment.or a minus V.H. rule segment across a morpheme boundary. Data (1)  hit taq -yi  II house  (2)  xuc ha^-yi  II g r i z z l y  (3)  a-k  II a  W  timber II bear's dung'  small thing II  - 158 (4) (5)  xat h i n - y i i t'a-k  "salmon creek" "a small spring salmon"  As seen from the data, i n order for the rule to apply to diminutive forms i n nouns following, /a/, a [- rule feature] would not be s a t i s f a c t o r y or even workable, and a [+ rule feature] or minor rule must be involved instead e.g., qa-yi " i t s man [+ V.H.][+ V.H.]  1  Minus rule features are not s a t i s f a c t o r y i n T l i n g i t i n any case since so many features would have to be marked as [- rule feature], and i t i s the exception i n this analysis that must undergo the r u l e .  In  order to have the rule account f o r a l l forms, the rule must then be amended as follows:  Rule (1)  T ++ rcons nn*l  + high  0  a  -> [a round] /  roundj}  + seg + V.H.  [+  F.B.]  A process treatment i s s a t i s f a c t o r y i n adhering to naturalness and alternation, although a l l treatments so far have u t i l i z e d markedness marking conventions as an abbreviatory device. lyl  However, although  i s the maximally unmarked glide under markedness, there i s no  maximally unmarked high vowel, according, to Chomsky and H a l l e , and must a r b i t r a r i l y assign / i / to apply.  one one  as the unmarked high vowel i f one rule i s  Outside of this requirement,  the rule i s simple and  economical,  - 159 -  though the use of [+ rule feature] as a device rather than [- rule feature] i s entailed. If the goal of the theory as set out by Kiparsky (1968:41) for processhmoEpKophdnemics.ais'ltoshandilehso.und change in the directest possible way, without either setting up either d i a c r i t i c features where an equivalent phonetic contrast exists, or setting up underlying phonological d i s t i n c t i o n s which have to be undone where there i s no phonetic contrast then both concrete and process solutions handle the problem equally well.  The concrete solution, however, does not v i o l a t e the assigned  values of markedness. IV.15  METATHEORY - AN ADDENDUM  Basing his theories on a number of attested language-general assimilation rules, Schachter  (1970: 342)  suggested that the incor-  poration of his universals "into the general phonological model can simplify the description of p a r t i c u l a r phonological systems and explain otherwise  can  i d i o s y n c r a t i c features of these systems" by extend-  ing the notion of naturalness to the p-rules themselves, defining a metatheoretical model of assimilation universals which might be applied to vowel harmony.  Schachter  argued that the general theory, using the  s i m p l i c i t y metric,, f a i l s to give explanatory adequacy by not predicting normal or natural rules with the same number of features as less natural, or universal, rules.  For example, i n rules of i n t e r v o c a l i c consonant  voicing and inter-consonantal v o c a l i c devoicing, the former i s not predicted as being a natural process.  Schachter  (1970: 343)  defined  - 160 -  assimilatory p-rules as those " i n which the values of some feature (or set of features) of one segment i s changed to agree with the value of that feature (those features) i n a neighbouring segment, or i n neighbouring segments".  This adheres to Postal's naturalness condition as  w e l l as to the idea of process morphonemics set forth by Kiparsky. Schachter postulated that the c r i t e r i o n of naturalness should thus be extended to certain p-rules and that i n p a r t i c u l a r "a metat h e o r e t i c a l d i s t i n c t i o n should be made between natural and unnatural assimilation rules".  Two  of these universals may be adapted to T l i n g i t  vowel harmony (v. Schachter 19 7 0 : 344>-9). First: "Feature values of non-vowels assimilate to those of adjacent vowels, rather than conversely." For example:  (1)  [- cont]  >  [+ cont]  [+ s y l l ] (+ cont)  /  [+ s y l l ] (+ cont) A  A non-confcinuantiheGomesecont^  * of  this type characterizes l a b i a l i z a t i o n and p a l a t a l i z a t i o n as normal assimilation types, following l a b i a l or p a l a t a l vowels. Second: "Unmarked feature values assimilate to adjacent marked feature values, rather than conversely." For example, a minus nasal feature assimilates to a marked nasal feature i n the environment of a nasal:  (2)  [- nas]  •>  [+ nas]  /  [+ nas]  - 161 -  However, according to Schachter, because universal (1) (v. below) does not account f o r a l l cases of assimilation, universal (2) must be considered within the scope of (l),aarid as taking precedence  over  although not superceding (1). Using data from T l i n g i t and markedness, we can see r e a d i l y how  these generalizations would apply.  With - y i , - y i n as base forms,  natural assimilation rule (1) correctly predicts rounding f o r the marked affixes following the feature [+ back].  However, i t does  not predict rounding of a f f i x vowels following a [+ round] segment, nor the rounding of base a f f i x e s after a [+ round] consonant, a l though universal (2) w i l l .  To allow for the f u l l application of  universal (1) i n this case, i t i s necessary to forego the naturalness condition i n order to account f o r l a b i a l i z i n g /a/ as underlying  /of.. r+ + +  syll back high round  Universal assimilation rule (2) suggests that unmarked features assimilate to adjacent marked features rather than conversely.  This  i s true for T l i n g i t i n the case of [+ round] consonants, which are marked, and which cause consequent  rounding (and backing) of following  sounds. Data ii his nose II  du-lu-yi  dulu-wu  II his  du-nu-yi  du-nu-wd  f o r t II  - 162  "he never was known"  -  Xe*i-, wuduskti-yin  I used to pick b e r r i e s "  quj x A K i t - y i n  Xii wuduskd-wun  qU, x A k i t - i n  Schacter's universals are c e r t a i n l y workable i n T l i n g i t , a l though universal (1) must be extended i n some way the assimilation of the a f f i x vowels / i / theory neither /u/ nor / i /  to account for  ~ /u/, since i n markedness  i s more, or l e s s , marked than the  other.  Rather than tampering with markedness theory i t would probably be wiser to specify that, as a morpheme structure condition or as a surface phonetic constraint, - cons must agree i n backness i n certain + high specified affixes.  The  application of Schachter's  metatheoretical  model to T l i n g i t vowel harmony suggests, however, that analysis of /a/ as underlying  /o/ might be a natural solution i n which, as a  result of the bleaching process (Stampe 1972), a restrained form of n e u t r a l i z a t i o n which depalatalizes and d e l a b i a l i z e s , vowels such as lol  have been neutralized to /a/ by a completely natural and normal  process of sound change.  This apparently  has happened phonologically  in T l i n g i t . As previously discussed, T l i n g i t phonology manifests a number of natural processes suggested by Stampe (1969), e.g.,  final  de-  voicing, i n t e r v o c a l i c v o i c i n g , l i m i t e d c l u s t e r s , lack of Unguals, (undefined by Stampe, Unguals refer to dentals, alveolars, p a l a t a l s and velars i n t r a d i t i o n a l terminology or to the d i s t i n c t i v e [+ coronal], [+ high] (v. Chomsky and Halle 1968:  features  304-305)), and i n  - 163  -  the back vowel series the merging (one assumes f o r a symmetric chart) of [- high] vowels to /a/. Although recent developments i n opposition to markedness, expressed by Vennemann (1971), Hyman (1973) and Stampe (1969), have brought within the scope of generative phonology some of the i m p l i cations of Schachter's assumptions of assimilation universals, Schachter's naturalness conventions, informally expressed above as universals, would, i n the case of T l i n g i t vowel harmony at l e a s t , offer the basis of a more explanatorily adequate treatment and a better basis for judgement and problem solving. IV.16  THEORETICAL VALIDITY While o f f e r i n g no replacing world-view, the s o c i o l i n g u i s t Labov  (^^jl-o^S^glrainp'ropo'sMgtandItfo-tln'g  the Tacksof tlfevgoricept of v a l i d i t y  irislinguis.bicesci'enceughvasits^gge'sted  that  Just as impressionistic phonetics should be calibrated against the readings of various instruments, so the i n t u i t i o n s of the theorists should be matched against observations of the unreflecting speech or ordinary men. In noting the rejection of v a l i d i t y  a  (the independent judgement of  right or wrong according to a measurable, observable basis of any theory)  s  by Chao 1934,  Harris 1965  outside  and Chomsky (1965), Labov has  suggested that the competence-performance d i s t i n c t i o n blurs  the  r e a l i t y that theories ought to be tested against r e a l language.  Noting  that a generative grammar according to an i n t e r n a l evaluation i s only one model of many that are d e s c r i p t i v e l y adequate, Labov, on the basis of recent  studies, has questioned the v a l i d i t y of certain  convincing  - 164 -  l i n g u i s t i c analyses.  Skousen (1972: 567) also, i n disputing theor-  e t i c a l , versus the actual, r e g u l a r i t i e s captured by a native speaker, has confirmed the methodological problems involved i n choosing a single solution or a single theory to a l i n g u i s t i c problem: In general, there i s no single way to account for a set of l i n g u i s t i c data. And given a set of s t a t i c data, there i s no a p r i o r i method to determine i n what ways speakers might account for the data. A simple analysis might be better than a complex analysis, but only i f i t i s true that speakers would account f o r the data by means of the simple analysis. By just looking at s t a t i c data, there i s no way at present for a l i n g u i s t to determine what r e g u l a r i t i e s speakers w i l l capture. A reasonable goal of phonology would be, i n f a c t , to develop such a theory, one that w i l l predict from a given set of data which r e g u l a r i t i e s speakers would account f o r . . „ „  Within generative theory, Hyman (1970), i n assuming a single, correct and psychologically r e a l grammar at the l e v e l of explanatory adequacy to beethe end result of a transformational generative model, has demanded that means be provided to distinguish the most highly valued grammar i n "a given set of circumstances".  However, Lightner  (1971), i n an excellent t h e o r e t i c a l review of generative phonology, has suggested that the effect of a phonetic representation on the underlying representation i s d i f f i c u l t to formulate e x p l i c i t l y i n generative theory and that under present theory the abstractness issue i s apparently deadlocked.  In advancing the notion of l i n g u i s t i c  indeterminancy, Lighner has suggested that one may have to accept the idea of an abstract t h e o r e t i c a l grammar which w i l l account for a native speaker's presumed rather than actual competence, with yet undefined l i m i t s on the abstractness of grammar.  - 165 -  IV.17  SUMMARY  Although Kiparsky raised the current controversy on the i n c l u s i o n of abstractness of morphophonemic representation i n the grammar, Hyman (1970) questioned the basis of whether explanatory phonological solutions may indeed coincide with a l e v e l of explanatory adequacy. In reviewing t h e o r e t i c a l viewpoints or approaches to the issue, along with p r a c t i c a l methods, applications, and solutions, we have also explored some of the possible solutions to the problem of vowel harmony i n T l i n g i t , using Kiparsky as mentor and Hyman as touchstone. In discussing t h e o r e t i c a l approaches to the issue of abstractness, given the present evaluation c r i t e r i a , we have been able to perceive, l i k e phonemicists  decades e a r l i e r , no one right perception i n the  present framework of generative grammar. Although Roberts (1976) has termed the abstractness controversy the result of i d e o l o g i c a l l i m i t s i n l i n g u i s t i c s , u n t i l , or unless, the constraints and conditions of natural generative grammar and of natural processes more widely replace the current standard generative model, the issue may remain at a standoff. P r a c t i c a l l y , i n applying various t h e o r e t i c a l methods to a solution of vowel harmony i n T l i n g i t  (the acceptance of which i n  i t s e l f has been arguable), we have discerned under the present c r i t e r i a of economy, s i m p l i c i t y and naturalness that certain solutions are perhaps more appealing, natural, normal, economic orpproductive than others.  However, lacking the measure of explanatory adequacy  which must be the unique solution to the acquisition of grammar i n a  - 166 -  c h i l d , i n this case of those rare Tlingit-speaking children, while possessing the i n t u i t i v e insight of Boas' native speaker with regard to our interpretation of /-yi~-wu/, /-yin~-wun/ alternations, we  can  offer no preferred solution except methodologically i n terms of the previously discussed evaluations of economy, s i m p l i c i t y and naturalness.  Therefore, f a c t u a l l y and t h e o r e t i c a l l y , what we can o f f e r i s  i n terms of our own analysis of data, our own  interpretation of theory,  our own determination of observational adequacy.  Like the Saussurean  paradox (v. Labov 1971), where the i n d i v i d u a l 'parole' must r e a l i z e the s o c i a l and i d e a l 'langue', because we are unique as individuals, we seek our unique solutions, while adhering to the i d e a l that there must be, of course, only one.  - 167 -  V.1  SUMMARY  Methodologically, using pre-phonemicized data from Boas (1917), phonemic data from Velten (1939, 1944), and material from the tagmemic grammars of Naish  (1966) and Story (1966), we commenced our analysis  by investigating i n the second Chapter the descriptive phonology of T l i n g i t i n the framework of a transformational grammar.  In this  process, we noted and discussed certain problems a r i s i n g from the application of derivational constraints and morpheme structure conditions to the yi~wu a l t e r n a t i o n i n T l i n g i t phonology. In the t h i r d Chapter, we examined some of the simpler phonol o g i c a l processes of T l i n g i t according to a -framework of natural phonology and natural processes advanced by Stampe (1969), an analyt i c a l approach we perceived to be p a r t i c u l a r l y appropriate. found that, unlike the undiscussed morphological verbal compositions  We  complexities of  (for which, v. Story and Naish 1973), the phono-  l o g i c a l processes cited i n T l i n g i t are indeed simple and languageuniversal. In the fourth Chapter, while using the t h e o r e t i c a l issue of abstractness to discuss approaches to morphophonemic representation according to abstract, concrete and process theory, we applied these various models to the problematical i n t e r p r e t a t i o n of vowel harmony i n T l i n g i t , using formal c r i t e r i a of economy, s i m p l i c i t y , and naturalness. In this context, we discovered c e r t a i n problems applicable to l i n g u i s t i c science as a whole.  With present evaluation measures,  - 168 -  and lacking the psychological r e a l i t y and validated hypotheses of language a c q u i s i t i o n deemed necessary, a non-unique solution oriented to the investigator's own i n t e r p r e t a t i o n of available data (no matter what the s p e c i f i c language at issue) and based on the constraints of the current grammatical model, as discussed, remains the i n e v i t a b l e option.  To expand the range of discussion v i s - a - v i s t h i s more general  problem, we incorporated b r i e f treatments of prosodic and metatheoreti c a l approaches i n order to give these issues further point. Theoretically, we discovered i n the second Chapter that, while a phonemic framework featuring surface phonetic  constraints  provides  a good descriptive f i t f o r the phonology, c e r t a i n d i s t i n c t i v e features described y i e l d a n a l y t i c a l insights into the opposition of features, while o f f e r i n g the necessary basis f o r the operation of the featurechanging phonological r u l e s . In the t h i r d Chapter, we determined that T l i n g i t conforms to a natural framework of natural processes which i n r e a l i t y the language-universal  processes involved.  describes  No claim to explanatory  or even descriptive adequacy has been put forward at this  stage,  lacking any basis respecting a native speaker's insights into T l i n g i t , a matter c l e a r l y requiring s p e c i f i c and previously unattempted f i e l d research. In the fourth Chapter, we discussed t h e o r e t i c a l problems of morphophonemic representation i n generative theory with i n t e r n a l evaluation c r i t e r i a .  In applying various t h e o r e t i c a l approaches to  methodological solutions we have found s a t i s f a c t o r y , or better,  - 169  -  solutions, though by present theory no notion of v a l i d i t y has been incorporated.  Here, we raised what might be termed f o r l i n g u i s t i c s  the v a l i d a t i o n problem to which (unlike certain companion s o c i a l sciences) i n s u f f i c i e n t attention, i n our derivations^ has yet been addressed.  V.2  CONCLUSIONS More than f o r t y years have passed since Chao 1934 f i r s t raised  the problem of non-uniqueness i n phonemic theory.  Not only has  this problem been unresolved, but the problem of non-uniqueness i n generative grammar, s t i l l lacking i n psychological evaluation c r i t e r i a , remains to perplex.  As discussed i n some d e t a i l , a number of theor-  e t i c a l constraints and conditions have been proposed i n recent years to deal with s p e c i f i c cases of non-applicability and thus indeterminancy.  Thus, p r a c t i c a l problems of workability and non-uniqueness  frequently are j o i n t l y associated.  The problem i s , of course, that  given the l i m i t a t i o n s of the current, and generally established and accepted theory, no unique solution has been presented, or may even be possible, within the theory; f o r i t has appeared evident, given the options i n the range of approaches, that certain solutions are more to be preferred than others i n terms of the c r i t e r i a examined. In this context, Skousen (1972) has argued that "nearly a l l of the arguments f o r the t h e o r e t i c a l machinery of generative phonology" have been based on the assumption that speakers capture natural, phonetically statable rules.  Skousen <(19^2^§75')' asserts further: r  - 170  -  Yet a l l of the p a r t i c u l a r arguments for these notions c r u c i a l l y depend upon the assumption that speakers are actually capturing the r e g u l a r i t i e s that l i n g u i s t s claim they are. If speakers are not r e a l l y capturing these r e g u l a r i t i e s , then any argument for a p a r t i c u l a r theore t i c a l notion that i s based on such r e g u l a r i t i e s i s without foundation . . . A proper theory of phonology can only be based on rules that speakers actually capture. Skousen's injunction notwithstanding,  matters cannot adequately be  l e f t merely with some perhaps clearer d e f i n i t i o n of the problem of indeterminancy, for i t i s e n t i r e l y possible (though, i n t u i t i v e l y , we would tend to doubt this would be the case) that the incorporation of psychological r e a l i t y more firmly and consistently intoothe treatments we have discussed would s t i l l leave gaps to be closed i n l i n g u i s t i c analysis, or create further areas which are r e s u l t a n t l y opened up. While these matters have been indicated perhaps only i m p l i c i t l y , i t has been clear i n the discussion throughout that l i n g u i s t i c s (at least i n the context we have elaborated) i s i n the process of fundamental, perhaps reformative, attempts at synthesis. we  conclude t h i s summary discussion with a suggestion  For t h i s reason, of Lyons (1962:  131 n. 16) with respect to certain implications for l i n g u i s t i c s generally which the analysis i n Chapter 4 has perhaps indicated: Prosodists seem generally to prefer the 'hocus-pocus' philosophy of language . . . It seems clear, however, that on this question (as on so many t h e o r e t i c a l questions of l i n g u i s t i c s ) i t i s possible to adopt an intermediate position. 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Chomsky and Halle 1968: 176.  +  +  - 191 -  CHART I I I  T l i n g i t Vowel Markedness (after Chomsky and Halle 1968)  Feature Value  i  I  u  U  e  e  a  A  o  0  low  u  u  u  u  u  u  u  U  u  m  high  u  u  u  u  m  m  u  m  m  u  back  -  -  +  +  -  -  u  ik  +  u  tense  u  m  u  m  u  m  u  m  u  m  round  u  u  u  u  u  u  u  m  u  m  complexity  1  2  1  2  2  3  0  4'  2  3  -  192 -  DATA APPENDIX  burtac^ Manifestation  Gloss  Underlying Form  "having blown"  ?ux -yin  suwgun  "having  suwq -yin  3.  ?adin  "having gone"  at-yin  4.  wu±?ugun  " i t has b o i l e d "  wul?uk -yin  5.  xweAin  "he was t i r e d " "having been t i r e d "  xwe*-yin  6.  yAnAigenin  "he was getting b i g "  yAnAlgen-yin  7.  xAt  "I used to be strong"  XAt  lAcin-yin  8.  TVEI wuduskuwun  "he was never known"  kil  wudusku-yin  9.  qUx Auwun  "I was dwelling"  qUx AU-yin  qUx Akitin  "I used to pick b e r r i e s "  qUx Akit-yin  I.  -yin Verbal Forms  1.  ?uxun  2.  10.  II.  V\  /  lAcinin  w  w  - y i Pronominal  laughed"  w  w  w  w  >/»  « w  Possession  1.  duxadi  "his root"  du-xat-yi  2.  duyegi  "his  spirit"  du-yek-yi  \  '  3.  duyagu  "his  canoe"  du-yak -yi  4.  duwagi  "his  eye"  du-waq-yi  "his dog"  du-keft-yi  "his k i n g salmon"  du-ta-yi  "his board"  du-ta-yi  5. 6.  \  \  dutayi \ . r  7.  ,  dukeXi \  dutayi \  r  \  w  f  8.  du?ayi  "his  lake"  du-a-yi  9.  dunuwu  "his  fort"  du-nu-yi  10.  v x, duluwu  "his nose" ( i . e . , of someone else)  du-±u-yi  - 193 5  11.  dulugu  "his king salmon"  du-luk -yi  12.  dutili  "his  scar"  du-til-yi  13.  dutxli  "his shoe"  du-til-yi  14.  dusaxawu  "his h a i r "  du-saxaw-yi  15.  duguxu  "his  slave"  du-gux -yi  16.  duyagi  "his  mussel"  du-yak-yi  17.  du?Axayi  "his paddle"  du-Axa-yi  III.  w  w  Nominal Possession  1.  h i t tagu  "house timber"  hit-taq -yi  2.  xuc haXi  " g r i z z l y bear's dung"  xuc haA-yi  3.  xat  "salmon creek"  xat-hin-yi  IVa.  hini  w  Nouns ending i n /a/ - with diminutive ending  1.  ?ak  2.  "a l i t t l e pond"  a-k  duaku  "his l i t t l e pond"  du-a-k-yi  3.  ?akw  "a small thing"  a-k  4.  du?aku  "his l i t t l e  du-a-k-yi  5.  tak  "a small spring salmon"  IVb.  w  w  thing"  >  >  ta-k  Exceptions - l a b i a l i z a t i o n without diminutive  6.  qawu  "its  7.  nawun  "having died"  man"  qa-yi na-yin  

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