90 th LSA Anniversary: Syntax
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1 90 th LSA Anniversary: Syntax D. Terence Langendoen University of Arizona
2 Overview This presentation starts with a discussion of two theories of morphology and syntax developed during the structuralist era from 1924 to the mid 1950s: immediate constituents (IC) and morpheme to utterance (MU). It considers three seminal papers in some detail, all reprinted in Readings in Linguistics I: Leonard Bloomfield, A set of postulates for the science of language (1926) Zellig Harris From morpheme to utterance (1946) Rulon Wells, Immediate constituents (1947) It then examines the ways in which these theories were adapted in the early development of Noam Chomsky s theory of generative grammar (GG). It concludes with a brief discussion of how these theories have fared. Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 2
3 Framework of definitions in Bloomfield (1926) Some critical definitions Utterance: An act of speech (boldface identifies defined terms) Language: Totality of utterances that can be made in a speech community Form: Vocal features common to same or partly same utterances Meaning: The corresponding stimulus reaction features Morpheme: A minimum form Free form: A form which may be an utterance Bound form: A form which is not free Word: A minimum free form Formative: A bound form which is part of a word Phrase: A non minimum free form Phrase formative: A bound form which is part of a phrase Sentence: A maximum form in an utterance (from Antoine Meillet, Introduction à l étude comparative des langues indo européennes, 1912) Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 3
4 An assumption and more definitions in Bloomfield (1926) Assumption: Different non minimum forms may be alike or partly alike as to the order of the constituent forms. The order may be successive, simultaneous, substitutive, and so on. (emphasis mine DTL) Construction: Recurrent sames of order Constructional meaning: the corresponding stimulus reaction features Syntactic construction: A construction of free forms (and phrase formatives) in a phrase* Position: Each of the ordered units in a construction Function: The position in which a form occurs Form class: All forms having the same functions Word class: A form class of words Part of speech: A maximum word class *To support more than one level of IC analysis, a construction (whether morphologic or syntactic) must be able to have another construction in a position, an assumption not made explicit in Bloomfield (1926). Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 4
5 Suggested IC analysis of the form of a syntactic construction in Bloomfield (1926) the man is beating the dog the man is beating the dog the man is beating the dog man be z beat ing dog Each node in the graph also has a meaning; in particular that s what distinguishes the two occurrences of man and dog. Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 5
6 Bloomfield s outlook for the future The assumptions and definitions so far made will probably make it easy to define the grammatical phenomena in any language, both morphologic (affixation, reduplication, composition) and syntactic (cross reference, concord, government, word order). Other notions, such as subject, predicate, verb, noun, will only apply to some languages, and may have to be defined differently for different ones. Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 6
7 Reductionist goal of Harris (1946) This paper presents a formalized procedure for describing utterances directly in terms of sequences of morphemes. When applied to a particular language, the procedure yields a compact statement of what sequences of morphemes occur in a language, i.e. a formula for each utterance (sentence) structure in the language. (emphasis mine) Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 7
8 Main procedure in Harris (1946) The procedure consists essentially of repeated substitution. [W]e take the form A in the environment C _ D and then substitute another form B in place of A. If, after such substitution, we still have an expression which occurs in the language we say that A and B are members of the same substitution class. The chief novelty of the procedure is the extension of substitution classes to include sequences of morphemes, not merely single morphemes. Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 8
9 MU is distinct from IC [T]he analysis into immediate constituents requires a technique based on comparing the apparent structures of utterances and parts of utterances. In this paper we seek to arrive at a description of the structure of an utterance, without having any prior way of inspecting these structures or of saying whether two utterances are equivalent in structure. The[se] procedures could be paralleled by a series of substitutions beginning with the whole utterance and working down, instead of with single morphemes and working up. In that case we would have to find formal criteria for breaking the utterance down at successive stages. This is the problem of determining the immediate constituents of an utterance. It is not clear that there exists any general method for successively determining the immediate constituents, when we begin with a whole utterance and work down. Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 9
10 Response to Harris s challenge in Wells (1947) [E]laborating somewhat [Harris s] operation [of substitution], we arrive at a concept of expansion. This characterizes one special variety of patterning: two sequences of morphemes, insofar as one is an expansion of the other, pattern alike. The leading idea of the theory of ICs here developed is to analyze each sequence into parts which are expansions: these parts will be the constituents of the sequence. The problem is to develop this idea into a definite code or recipe, and to work out the qualifications required by the implications of each analysis of a sequence into constituents. Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 10
11 Wells (1947) proposed an evaluation procedure, not a discovery procedure This is the fundamental aim of IC analysis: to analyze each utterance and each constitute into maximally independent sequences sequences which, consistently preserving the same meaning, fit in the greatest number of environments and belong to focus classes with the greatest possible variety of content. (emphasis mine) Wells considered all the ways available to him of parsing the king of England opened Parliament and identified the structure in the next slide to be optimal based on the criteria to this point. Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 11
12 Preferred IC analysis of the king of England opened Parliament according to the evaluation criteria the king of England opened Parliament the king of England opened Parliament the king of England opened Parliament king of England open ed of England However, after accepting the analysis of the English king as king and the discontinuous constituent the king, the preferred IC analysis of the king of England becomes the king and of England according to the evaluation criteria Wells adopted. Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 12
13 Existence of structural ambiguity supports IC over MU analysis according to Wells (1947) Wells showed that IC analysis provides an account of the purely structural ambiguity of utterances like old men and women and the king of England s people. He concluded that the import for grammar is very great. For it means that the grammarian must include among his data something more than morphemes and their sequences. Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 13
14 Discontinuous constituents Wells (1947) proposed that an optimal IC analysis can contain discontinuous constituents as long as there are corresponding continuous sequences that occur in constructions that are semantically harmonious with the constructions in which the discontinuous ones occur. For example: easy book to read can be analyzed into book and easy to read since easy to read occurs as a continuous sequence in the book is easy to read, with essentially the same meaning as easy to read has in easy book to read. wake your friend up can be analyzed into your friend and wake up Without the condition limiting discontinuous constituents, IC analysis would become a tremendously intricate affair. Harris (1946) also dealt with the relation between continuous and discontinuous sequences, for example: did you talk with him? vs. you talked with him? I ll knock your opponent down vs. I ll knock down your opponent Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 14
15 Transformational relations in Harris (1946) In She made him a good husband because she made him a good wife, [w]e know that there is a difference in meaning between the two occurrences of made; and since we know this without any outside information beyond hearing the sentence, it follows that indication of the difference, in meaning and in construction, can be derived from the structure of the utterance. These differences depend on the fact that the second phrase involves dative shift, which is accounted for by Harris s system of equations (she made him a good wife is equivalent to she made a good wife for him), but not the first. Harris also noted the syntactic relation between relative clauses as in the clock he fixed and corresponding full sentences as he fixed it: [Since] there is no the clock he fixed it we may say that [the clock] replaces (i.e. deletes DTL) [it]. This indicates the semantic relation between these two noun phrases, since each of them represents the object of [fixed]. Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 15
16 Noam Chomsky s restructuring of syntactic theory (mid 1950s to mid 1960s) Chomsky used the formal theory of production (rewriting) systems to reorganize post Bloomfieldian syntactic theory, using parts of both IC and MU analysis, in the development of the theory of generative grammar (GG), as briefly expounded in Syntactic Structures (1957). The base component s context free phrase structure productions, using category symbols, model IC expansions in the null context, disallow discontinuous constituents and generate (specify) a finite set of sequences of pre terminal categories underlying kernel (simple, positive, active, declarative) sentences. The transformational component included various sorts of operations: Unary transformations are sequence to sequence mappings, like MU equations. Binary ( generalized ) transformations (S x S S mappings) combine IC and MU aspects; they are expansions, but also could alter strings. Lexical insertions assume morpheme identification and model IC expansions in non null contexts. The latter two types of operations were moved to the base in Chomsky s Aspects of the Theory of Syntax (1965), better aligning the two components with IC type expansions (but without discontinuous constituents) and MU type transformations. A semantic component was also added to interpret the output of the base component, which remained unchanged by transformations. This formulation was different from the strictly parallel analysis of form and meaning prevalent in most structuralist work. Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 16
17 Evaluation vs. discovery of grammar Chomsky famously proposed that rather than formulating methods for discovering the best grammar given some data, linguistic theory should provide a metric that determines which of two given grammars provides a more adequate account of the data. This is not entirely fair to Wells s proposed methods for determining the best IC analysis for given data; they are designed in practice to evaluate alternatives at every step. Harris s methods for finding the most compact (redundancyfree) representation of the data using MU are actually in line with Chomsky s own use of simplicity criteria, such as eliminating duplicate statements (e.g. of selection restrictions). Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 17
18 Evaluation vs. discovery of universals On the other hand, Chomsky proposed that linguistic theory should aim at discovering universals, which taken together constitute the initial state of the human language faculty. This reformulation of linguistic theory as part of the theory of mind was controversial, but stimulated the development of a vigorous research program in language acquisition and processing. Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 18
19 Some proposed formal universals Formal universals are those that constrain the form and consequently the generative power of grammatical systems. The class of all grammars containing productions in the form of: IC expansions in the null context without discontinuities generates the class of context free languages (CFLs). IC expansions in any context generates the full class of context sensitive languages (CSLs). IC expansions in the null context with discontinuities generates a proper sub class of CSLs (essentially the class of non CFL languages with crossing dependencies). Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 19
20 Chomsky hierarchy of classes of formal languages and grammars Recursively enumerable Fully context sensitive (Recursive) Mildly context sensitive grammars of natural languages a subclass? Context free Regular (Finite state) Friday, January 3, 2004, 2pm CST 90th LSA Anniversary: Syntax 20
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