Introduction to Linguistics
Introduction to Linguistics LING 20
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Introduction to Linguistics Marcus Kracht Department of Linguistics UCLA 3125 Campbell Hall 450 Hilgard Avenue Los Angeles CA 90095 1543 kracht humnet ucla edu 2 Contents Contents Lecture 1 Introduction 3 Lecture 2 Phonetics 12 Lecture 3 Phonology I Lecture 4 Phonology II 41 Lecture 5 Phonology III 55 Lecture 6 Phonology IV 66 Lecture 7 Morphology I 79 Lecture 8 Syntax I 86 Lecture 9 Syntax II 98 Lecture 10 Syntax III 109 Lecture 11 Syntax IV 119 Lecture 12 Syntax V 134 Lecture 13 Morphology II 144 Lecture 14 Semantics I 154 Lecture 15 Semantics II 160 Lecture 16 Semantics III 168 Lecture 17 Semantics IV 177 Lecture 18 Semantics V 186 Lecture 19 Language Families and History of Languages 194 Lecture 1 Introduction Languages are sets of signs Signs combine an exponent a sequence of letters or sounds with a meaning Grammars are ways to generate signs from more basic signs Signs combine a form and a meaning and they are identical with neither their exponent nor with their mean mg Before we start I have tried to be as explicit as I could in preparing these notes You will nd that some of the technicalities are demanding at rst sight Do not panic You are not expected to master these technicalities right away The technical character is basically due to my desire to be as explicit and detailed as possible For some of you this might actually be helpful If you are not among them you may want to read some other book on the side which I encourage you to do anyway However linguistics is getting increasingly formal and mathematical and you are well advised to get used to this style of doing science So if you do not understand right away what I am saying you will simply have to go over it again and again And keep asking questions New words and technical terms that are used for the rst time are typed in bold face If you are supposed to know what they mean a de nition will be given right away The de nition is valid throughout the entire course but be aware of the fact that other people might de ne things di erently This applies when you read other books for example You should beware of possible discrepancies in terminology If you are not given a de nition elsewhere be cautious If you are given a di erent de nition it does not mean that the other books get it wrong The symbol in the margin signals some material that is di icult and optional Such passages are put in for those who want to get a perfect understanding of the material but they are not requried knowledge End of note Language is a means to communicate it is a semiotic system By that we simply mean that it is a set of signs Its A sign is a pair consistingiin the words of Ferdinand de Saussureiof a signi er and a signi ed We prefer to call the signi er the exponent and the signi ed the meaning For example in English the string dog is a signi er and its signi ed is say doghood or the set of all dogs I use the slashes to enclose concrete signi ers in this case sequences of letters Sign systems are ubiquitous clocks road signs pictogramsithey all are parts of 4 Lecture 1 Introduction sign systems Language differs from them only in its complexity This explains why language signs have much more internal structure than ordinary signs For notice that language allows to express virtually every thought that we have and the number of signs that we can produce is literally endless Although one may nd it debatable whether or not language is actually in nite it is clear that we are able to understand utterances that we have never heard before Every year hundreds of thousands of books appear and clearly each of them is new If it were the same as a previously published book this would be considered a breach of copyright However no native speaker of the language experiences trouble understanding them apart from technical books It might be far fetched though to speak of an entire book as a sign But nothing speaks against that Linguists mostly study only signs that consist of just one sentence And this is what we shall do here too However texts are certainly more than a sequence of sentences and the study of discourse which includes texts and dialogs is certainly a very vital one Unfortunately even sentences are so complicated that it will take all our time to study them The methods however shall be useful for discourse analysis as well In linguistics language signs are constituted of four different levels not just two phonology morphology syntax and semantics Semantics deals with the meanings what is signi ed while the other three are all concerned with the exponent At the lowest level we nd that everything is composed from a small set of sounds oriwhen we writeiof letters Chinese is exceptional in that the alphabet consists of around 50000 letters but each sign stands for a syllableia sequence of sounds not just a single one With some exceptions for example tone and intonation every utterance can be seen as a sequence of sounds For example dog consists of three letters and three sounds d o and g In order not to confuse sounds and sound sequences with letters we denote the sounds by enclosing them in square brackets So the sounds that make up dog are d o and g in that order What is important to note here is that sounds by themselves in general have no meaning The decomposition into sounds has no counterpart in the semantics Just as every signi er can be decomposed into sounds it can also be decomposed into words In written language we can spot the words by looking for minimal parts of texts enclosed by blanks or punctuation marks In spoken language the de nition of word becomes very tricky The part of linguistics that deals with how words are put together into sentences is called syntax On the other hand words are not the smallest meaningful units of Lecture 1 Introduction 5 language For example dog 5 is the plural of dog and as such it is formed by a regular process and if we only know the meaning of dog we also know the meaning of dogs Thus we can decompose dogs into two parts dog and s The minimal parts of speech that bear meaning are called morphemes Often it is tacitly assumed that a morpheme is a part of a word bigger chunks are called idioms Idioms are kick the bucket keep taps on someone and so on The reason for this division is that while idioms are intransparent as far as their meaning is concerned if you die you do not literally kick a bucket syntactically they often behave as if they are made from words for example they in ect John kicked the bucket So a word such as dogs has four manifestations its meaning its sound structure its morphological structure and its syntactic structure The levels of manifestation are also called strata Some use the term level of representa tion We use the following notation the sign is given by enclosing the string in brackets dog dogP denotes its phonological structure dog M its morpholog ical structure dog L its syntactic structure and dogS its semantical structure I also use typewriter font for symbols in print For the most part we analyse lan guage as written language unless otherwise indicated With that in mind we have dog P 2 dog The latter is a string composed from three symbols d o and g So dog refers to the sign whose exponent is written here dog We shall agree on the following De nition 1 A sign is a quadruple n a l 039 where n is its exponent or phono logical structure 1 its morphological structure l its syntactic structure and 039 its meaning or semantic structure We write signs vertically in the following way 1 1 Lq This de nition should not be taken as saying something deep It merely xes the notion of a linguistic sign saying that it consists of nothing more and nothing less than four things its phonological structure its morphological structure its syntactic structure and its semantic structure Moreover in the literature there are 6 Lecture 1 Introduction numerous di erent de nitions of signs You should not worry too much here the present de nition is valid throughout this book only Other de nitions have other merits The power of language to generate so many signs comes from the fact that it has rules by which complex signs are made from simpler ones 2 Cars are cheaper this year In 2 we have a sentence composed from 5 words The meaning of each word is enough to understand the meaning of 2 Exactly how this is possible is one ques tion that linguistics has to answer This example requires quite a lot of machinery to be solved explicitly We shall illustrate the approach taken in this course We assume that there is a binary operation 0 called merge which takes two signs and forms a new sign 0 operates on each of the strata or levels of manifestation independently This means that there are four distinct operations and 9 which simultaneously work together as follows 0391 039 2 0391 0392 ll 12 11 12 3 H2 1 Hz 772 771 772 De nition 2 A language is a set of signs A grammar consists of a set of signs called lexicon together with a nite set of functions that each operate on signs Typically though not necessarily the grammars that linguists design for natural languages consist in the lexicon plus a single binary operation 0 of merge There may also be additional operations such as movement but let s assume for the moment that this is not so Such a grammar is said to generate the following language 2 set of signs L D Each member of the lexicon is in L 2 lfS andS arein L then sois S oS Nothing else is in L Lecture 1 Introduction 7 Can you guess what a general de nition would look like We shall now give a glimpse of how the various representations look like and what these operations are It will take the entire course and much more to understand the precise consequences of De nitions 1 and 2 and the idea that operations are de ned on each stratum independently But it is a very useful one in that it forces us to be clear and concise Everything has to be written into one of the representations in order to have an effect on the way in which signs combine and what the effect of combination is For example 9 is typically concatenation with a blank added Let us repre sent strings by f y etc and concatenation by So 4 dac xy dacxy 5 adf D xy adf xy Notice that visually D blank is not represented at the end of a word In com puter books one often uses the symbol U to represent the blank Clearly though the symbol is different from the blank Blank is a symbol on a typewriter you have to press to get it So D is not the same as x Now we have 6 f yi VD For example the sign this year is composed from the signs this and year And we have 7 this year this yearP thisP yearP this D year This however is valid only for words and only for written language The com position of smaller units is different No blank is inserted For example the sign car the plural sign s to give it a name compose to give the sign with expo nent cars not car 5 Moreover the plural of man is men so it is not at all formed by adding s We shall see below how this is dealt with Morphology does not get to see the individual makeup of its units In fact the difference between car and cat is morphologically speaking as great as that between car and moon Also both are subject to the same morphological rules and behave in the same way for example form the plural by adding s That makes them belong to the same noun class Still they are counted as different morphemes This is because they are manifested differently the sound structure is different Therefore we distinguish between a morpheme and its morphological 8 Lecture 1 Introduction structure The latter is only the portion that is needed on the morphological stratum to get everything right De nition 3 A morpheme is an indecomposable sign A morpheme can only be de ned relative to a grammar If we have only 0 then S is a morpheme of there are no S and S with S S o S If you suspect that essentially the lexicon may consist in all and only the morphemes you are right Though the lexicon may contain more elements it cannot contain less A word is something that is enclosed by blanks andor punctuation marks So the punctuation marks show us that a morpheme is a word To morphology car is known as a noun that takes an s plural We write 8 MORZII CLS s pl to say that the item is of morphological category n nominal and that it has in ectional category s pl which will take care of the fact that its plural will be formed by adding s To the syntactic stratum the item cars is known only as a plural noun despite the fact that it consists of two morphs Also syntax is not interested in knowing how the plural was formed The syntactic representation therefore is the follow ing CAT N 9 NUM pl This says that we have an object of category N whose number is plural We shall return to the details of the notation later during the course Now for the merge on the syntactic stratum let us look again at this year The second part year is a noun the rst a determiner The entire complex has the category of a determiner phrase DP Both are singular Hence we have that in syntax 10 lSD CAT NCAT DP g NUM sg NUM sg This tells us very little about the action of D In fact large parts of syntactic theory are consumed by nding out what merge does in syntax Lecture 1 Introduction 9 Semantical representations are too complex to be explained here it requires a course in model theory or logic to understand them We shall therefore not say much here Fortunately most of what we shall have to say here will be clear even without further knowledge of the structures Suf ce it to say for example that the meaning of car is the set of all cars though this is a massive simpli cation this is good enough for present purposes it is clearly different from the meaning of cat which is the set of all cats Further the meaning of cars is the set of all sets of cars that have at least two members The operation of forming the plural takes a setA and produces the set of all subsets of A that have at least two members So H Bklmmm h 0 lt7 0 o 0 4 lt2 0 lt2 4 0 4 MM 0vaooavoa WM MEGAN With this de ned we can simply say that 9 is function application M N fd h d 12 M Nz 1 e n N M otherw1se The function is sS and the argument is cars which is the set of all cars By de nition what we get is the set of all sets of cars that have at least two members in it Our typographical convention is the following For a given word say cat the semantics is denoted by sans serife font plus an added prime cat Here is a synopsis of the merge of this and year this year this year CAT D CAT N CAT DP NUM sg NUM sg NUM sg 13 MOR n MOR n MOR np CLS abl CLS s pl CLS this year this year Here abl stands for ablaut What it means is that the distinction between sin gular and plural is signaled only by the vowel In this case it changes from 1 to i2 means no value One may ask why it is at all necessary to distin guish morphological from syntactic representation Some linguists sharply divide 10 Lecture 1 Introduction between lexical and syntactical operations Lexical operations are those that op erate on units below the level of words So the operation that combines car and plural is a lexical operation The signs should have no manifestation on the syntactical stratum and so by de nition then they should not be called signs However this would make the de nition unnecessarily complicated Moreover linguists are not unanimous in rejecting syntactic representations for morphemes since it poses more problems than it solves this will be quite obvious for so called polysynthetic languages We shall not attempt to solve the problem here Opin ions are quite diverse and most linguists do accept that there is a separate level of morphology A last issue that is of extreme importance in linguistics is that of deep and sur face structure Let us start with phonology The sound corresponding to the letter 1 differs from environment to environment see Page 525 of Fromkin et al The l in the pronunication of slight is different from the l in the pronun ciation of listen If we pronounce listen using the 1 sound of slight we get a markedly different result it sounds a bit like Russian accent So one letter has different realizations and the difference is recognized by the speakers However the difference between these sounds is redundant in the language In fact in written language they are represented by just one symbol Thus one dis tinguishes a phone 2 sound from a phoneme 2 set of sounds While phones are language independent phonemes are not For example the letter p has two distinct realizations an aspirated and an unaspirated one It is aspirated in pot but unaspirated in spi t Hindi recognizes two distinct phonemes here A sim ilar distinction exists in all other strata though we shall only use the distinction between morph and morpheme A morpheme is a set of morphs For example the plural morpheme contains a number of morphs One of them consists in the letter s another in the letters en which are appended as in oxoxen a third is zero fi shzfi sh And some more The morphs of a morpheme are called allomorphs of each other If a morpheme has several allomorphs how do we make sure that the correct kind of morph is applied in combination For ex ample why is the plural of car not caren or car The answer lies in the morphological representation Indeed we have proposed that morphological rep resentations contain information about word classes This means that for nouns it contains information about the kind of plural morph that is allowed to attach to it If one looks carefully at the setup presented above the distinction between deep and surface stratum is however nonexistent There is no distinction between mor pheme and morph Thus either there are no morphs or there are no morphemes Lecture 1 Introduction 11 Both options are theoretically possible Some notes The idea of strati cation is implicit in many syntactic theories There are diITerences in how the strata look like and how many there are Trans formational grammar recognizes all four of the strata they have been called Logical Form for the semantical stratum Sstructure for syntax and Phonetic Form or PF for phonological stratum Morphology has sometimes been consid ered a separate lexical stratum although some theories for example Distributed Morphology try to integrate it into the overall framework Lexical Functional Grammar LFG distinguishes constituentstructure 2 syntax argument structure functionalstructure and morphologicalstructure There has also been Strati cational Grammar which basically investigated the stratal architecture of language The diITerence with the present setup is that Strati cational Grammar assumes independent units at all strata For example a morpheme is a citizen of the morphological stratum The morpheme car is diITerent from the morpheme cat for example Moreover the lexeme car is once again diITerent from the morpheme car and so on This multiplies the linguistic ontology beyond need Here we have de ned a morpheme to be a sign of some sort and so it has just a manifestation on all strata rather than belonging to any of them That means that our representation shows no diITerence on the morphological stratum only on the semantical and the phonological stratum Alternative Reading I recommend Fromkin 2000 for alternative perspec tive Also O Grady et all 2005 is worthwhile though less exact Lecture 2 Phonetics Phonetics is the study of sounds To understand the mechanics of human languages one has to understand the physiology of the human body Letters represent sounds in a rather intricate way This has advantages and disadvantages To represent sounds by letters in an accurate and uniform way the International Phonetic Alphabet IPA was created We begin with phonology and phonetics It is important to understand the differ ence between phonetics and phonology Phonetics is the study of actual sounds of human languages their production and their perception It is relevant to linguis tics for the simple reason that the sounds are the primaly physical manifestation of language Phonology on the other hand is the study of sound systems The differ ence is roughly speaking this There are countless different sounds we can make but only some count as sounds of a language say English Moreover as far as English is concerned many perceptibly distinct sounds are not considered differ ent The letter p for example can be pronounced in many different ways with more emphasis with more loudness with different voice onset time and so on From a phonetic point of view these are all different sounds from a phonological point of view there is only one English sound or phoneme p The difference is very important though often enough it is not evident whether a phenomenon is phonetic in nature or phonological English for example has a basic sound t While from a phonological point of view there is only one phoneme t there are in nitely many actual sounds that realize this phoneme So while there are in nitely many different sounds for any given language there are only nitely many phonemes and the upper limit is around 120 English has 40 see Table 7 The difference can be illustrated also with music There is a continuum of pitches but the piano has only 88 keys so you can produce only 88 different pitches The chords of the piano are given so that the basic sound colour and pitch cannot be altered But you can still manipulate the loudness for example Sheet music re ects this state of affairs in the same way as written language The musical sounds are described by discrete signs the keys Returning now to language the difference between various different realizations of the letter t for example are negligeable in English and often enough we cannot even tell the difference between them Still if we recorded the sounds and mapped them out in a spectrogram we could actually see the difference Spectrograms are one Lecture 2 Phonetics 13 Table 1 The letter x in various languages Language Value Albanian d3 Basque x English gz French gz German ks Portuguese f Spanish 9 Pinyin of Mandarin 9 important instrument in phonetics because they visualize sounds so that you can see what you often even cannot hear Other languages cut the sound continuum in a different way Not all realizations of t in English sound good in French for example Basically French speakers pronounce t without aspiration This means that if we think of the sounds as forming a space the so called basic sounds of a language occupy some region of that space These regions vary from one language to another Languages are written in alphabets and many use the Latin alphabet It turns out that not only is the Latin alphabet not always suitable for other languages orthographies are often not a reliable source for pronunciation English is a case in point To illustrate the problems let us look at the following tables taken from Coulmas 2003 Table 1 concerns the values of the letter x in different lan guages As one can see the correspondence between letters and sounds is not at all uniform On the other hand even in one and the same language the cor respondence can be nonuniform Table 2 lists ways to represent a is English by letters Basically any of the vowel letters can represent a This mismatch has various reasons a particular one being language change and dialectal differ ence The sounds of a language change slowly over time If we could hear a tape recording of English spoken say one or two hundred years ago in one and the same region we would surely notice a difference The orthography however tends to be conservative The good side about a stable writing system is that we can in principle read older texts even if we do not know how to pronounce them Second languages with strong dialectal variation often x writing according to 14 Lecture 2 Phonetics Table 2 The sound a in English Letter Example a about e believe i compatible 0 oblige u circus one of the dialects Once again this means that documents are understood across dialects even though they are read out differently I should point out here that there is no unique pronunciation of any letter in a language More often than not it has quite distinct vaues For example the letter p sounds quite different in photo as it does in plus In fact the sound described by ph is the same as the one normally described by f for example in flood The situation is that we nevertheless ascribe a normal value to a letter which we use when pronouncing the letter in isolation or in reciting the alphabet This connection is learned in school and is part of the writing system by which I mean more than just the rendering of words into sequences of letters Notice a curious fact here The letter b is pronounced like bee in English with a subsequent vowel that is not part of the value of the letter In Sanskrit the primitive consonantal letters represent the consonant plus a while the recitation of the letter is nowadays done without it For example the letter for b has value be when used ordinarily while it is recited b If one does not want a pronunciation with schwa the letter is augmented by a stroke In the sequel I shall often refer to the pronunciation of a letter by that I mean the standard value assigned to it in reciting the alphabet however without the added vowel This recipe is I hope reasonably clear though it has shortcomings the recitation of w reveals little of the actual sound value The disadvantage for the linguist is that the standard orthographies have to be learned if you study many different languages this can be a big impediment and second they do not reveal what is nevertheless important the sound quality For that reason one has agreed on a special alphabet the so called International Pho netic Alphabet IPA In principle this alphabet is designed to give an accurate Lecture 2 Phonetics 15 written transcription of sounds one that is uniform for all languages Since the IPA is an international standard it is vital that one understands how it works and can read or write using it The complete set of symbols is rather complex but luckily one does not have to know all of it The Analysis of Speech Sounds First of all the continuum of speech is broken up into a sequence of discrete units which we referred to as sounds Thus we are analysing language utterances as sequences of sounds Right away we mention that there is an exception Into nation and stress are an exception to this The sentences below are distinct only in intonation falling pitch versus falling and rising pitch 14 You spoke with the manager 15 You spoke with the manager Also the word protest has two different pronunciations when it is a noun the stress is on the rst syllable when it is a verb it is on the second Stress and intonation obviously affect the way in which the sounds are produced changing loudness and or pitch but in terms of decomposition of an utterance into seg ments intonation and stress have to be taken apart We shall return to stress later Suf ce it to say that in IPA stress is marked not on the vowel but on the syllable by a before the stressed syllable since it is though to be a property of the syllable Tone is considered to be a suprasegmental feature too It does not play a role in European languages but for example in languages of South East Asia including Chinese and Vietnamese in languages of Africa and Native American languages We shall not deal with tone Sounds are produced in the vocal tract Air is owing through the mouth and nose and the characteristics of the sounds are manipulated by several so called articulators A rough picture is that the mouth aperture is changed by moving the jaw and that the shape of the cavity can be manipulated by the tongue in many ways The parts of the body that are involved in shaping the sound the articulators can be active in which case they move or passive The articulators are as follows oral cavity upper lip lower lip upper teeth alveolar ridge the section of the mouth just behind the upper teeth stretching to the corner tongue tip tongue blade the exible part of the tongue tongue body tongue 16 Lecture 2 Phonetics Table 3 IPA consonant column labels Articulators involved bilabial the two lips both active and passive labiodental active lower lip to passive upper teeth dental active tongue tipblade to passive upper teeth alveolar active tongue tipblade to passive front part of alveolar ridge postalveolar active tongue blade to passive behind alveolar retro ex active tongue tip raised or curled to passive postalve olar difference between postalveolar and retro ex blade vs tip palatal tongue bladebody to hard palate behind entire alveo lar ridge velar active body of tongue to passive soft palate some times to back of soft palate uvular active body of tongue to passive or active uvula pharyngeal active bodyroot of tongue to passive pharynx glottal both vocal chords both active and passive root epiglottis the leaf like appendage to the tongue in the pharynx pharynx the back vertical space of the vocal tract between uvula and larynx hard palate upper part of the mouth just above the tongue body in normal position soft palate or velum the soft part of the mouth above the tongue just behind the hard palate uvula the hanging part of the soft palate and larynx the part housing the vocal chords For most articulators it is clear whether they can be active or passive so this should not need further comment It is evident that the vocal chords play a major role in sounds they are respon sible for the distinction between voiced and unvoiced and the sides of the tongue are also used in sounds known as laterals Table 3 gives some de nitions of pho netic features in terms of articulators for consonants Column labels here refer to what de nes the place of articulation as opposed to the manner of articulation The degree of constriction is roughly the distance of the active articulator to the passive articulator The degree of constriction plays less of a role in consonants though it does vary say between full contact d and close encounter z and Lecture 2 Phonetics 17 Table 4 Constriction degrees for consonants stop active and passive articulators touch an hold to seal permitting no ow of air out of the mouth trill active articulator vibrates as air ows around it tap ap active and passive articulators touch but don t hold includes quick touch and fast sliding fricative active and passive articulators form a small constric tion creating a narrow gap causing noise as air passes through it approximant active and passive articulators form a large constric tion allowing almost free ow of air through the vo cal tract it certainly varies during the articulation for example in alfricates dz where the tongue retreats in a slower fashion than with d The manner of articulation combines the degree of constriction together with the way it changes in time Ta ble 4 gives an overview of the main terms used in the IPA and Table 5 identi es the row labels of the IPA chart Vowels differ from consonants in that there is no constriction of air ow The notions of active and passive articulator apply Here we nd at least four degrees of constriction close closemid openmid and open corresponding to the height of the tongue body plus degree of mouth aperture There is a second dimension for the horizontal position of the tongue body The combination of these two parameters is often given in the form of a two dimensional trapezoid which shows with more accuracy the position of the tongue There is a third dimension which de nes the rounding round versus unrounded which is usually not marked We add a fourth dimension nasal ver sus nonnasal depending on whether the air ows partly through the nose or only through the mouth Naming the Sounds The way to name a sound is by stringing together its attributes However there is a distinction between naming vowels and consonants First we describe the names of consonants For example p is described as a voiceless bilabial stop m is 18 Lecture 2 Phonetics Table 5 IPA consonant row labels plosive a pulmonic egressive oral stop nasal a pulmonic egressive stop with a nasal ow not a plo sive because not oral fricative a sound with fricative constriction degree implies lateral fricative that air ow is central a fricative in which the air ow is lateral approximant a sound with approximant constriction degree im plies that the air ow is central lateral approxi an approximant in which the air ow is lateral mant Table 6 IPA vowel row and column labels close compared with other vowels overall height of tongue is greatest tongue is closest to roof of mouth also high open compared with other vowels overall height of mouth close mid open mid front central back rounded is least mouth is most open also low intermediate positions also mid uppermid lower mid compared with other vowels tongue is overall for ward intermediate position compared with other vowels tongue is overall back near pharynx lips are constricted inward and protruded forward Lecture 2 Phonetics 19 called a voiced bilabial nasal The rules are as follows 16 voicing place manner Sometimes other features are added If we want to describe ph we say that it is a voiceless bilabial aspirated stop The additional speci cation aspirated is a manner attribute so it is put after the place description but before the attribute stop since the latter is a noun For example the sequence Voiced retro ex fricative refers to x as can be seen from the IPA chart Vowels on the other hand are always described as Vowels and all the other features are attributes We have for example the description of y as high front rounded vowel This shows that the sequence is 17 height place lipattitude nasality vowel Nasality is optional If nothing is said the vowel is not nasal On Strict Transcription Since IPA tries to symbolize a sound with precision there is a tension between accuracy and usefulness As we shall see later the way a phoneme is realized changes from environment to environment Some of these changes are so small that one needs a trained ear to even hear them The question is whether we want the difference to show up in the notation At rst glance the answer seems to be negative But two problems arise a linguists sometimes do want to represent the difference and there should be a way to do that and b a contrast that speakers of one language do not even hear might turn out to be distinctive and relevant in another An example is the difference between English d alveolar and a sound where the tongue is put between the teeth dental Some languages in India distinguish these sounds though I hardly hear a difference Thus on the one hand we need an alphabet that is highly exible on the other we do not want to use it always in full glory This motivates using various systems of notation which differ mainly in accuracy Table 7 gives you a list of English speech sounds and a phonetic symbol that is exact insofar that knowing the IPA would tell an English speaker exactly what sound is meant by what symbol I draw attention however to the sound a which according to the IPA is not used in American English instead we nd 0 This is called broad transcription The dangers 20 Lecture 2 Phonetics of broad transcription are that a symbol like p does not reveal exact details of which sounds fall under it it merely tells us that we have a voiceless bilabial stop Since French broad transcription might use the same symbol p for that we might be tempted to conclude that they are the same But they are not Thus in addition to broad transcription there exists strict or narrow transcrip tion which consists in adding more information say whether p is pronounced with aspiration or not Clearly the precision of the IPA is limited Moreover the more primitive symbols it has the harder it is to memorize Therefore IPA is based on a set of a hundred or so primitive symbols and a number of diacritics by which the characteristics of the sound can be narrowed down Notes on this section The book Rodgers 2000 gives a fair and illuminating introduction to phonetics It is useful to have a look at the active sound chart at http hctv humnet ucla edudepartmentslingui stics Vowe1sandConsonantscourseChapter 1Chapter 1htm1 You can go there and click at symbols to hear what the corresponding sound is A very useful source is also the Wikipedia entry http en Wikipedia orgwikiInternationa1Phoneti CA1phabet Lecture 2 Phonetics 21 Table 7 The Sounds of English Phonetic Symbol Word illustrating it 1 p pope 2 b Ear her 3 In gug 4 f e 5 V Xital liXe 6 t taunt 7 d geeg 8 n nun 9 1 gage 10 9 mousandm 1 1 6 13 breame 12 3 source fug 13 2 games 14 l u 15 3 measure 16 l lul 17 tf Qurg 1 8 d3 judge 19 j 39one 20 k Eooh 21 g gag 22 13 sin gng 23 w ye 24 h he 25 i gsy 26 r imitate 27 e able 28 3 Edge 29 33 battle attack 30 a father 3 1 f ght 32 0 rgd 33 U b k Sh ld 34 u fgd 35 g gromg 36 A but 37 m or 3 or bird 38 av ride 39 at h se 40 or boy THE INTERNATIONAL PHONETIC ALPHABET 2005 CONSONANTS PULMONIC Labio dental Post alveolar Epi Velar glottal Bilabial Dental Alveolar Retro ex Palatal Uvular Pharyngeal Glottal Nasal m n IIUN Plosive kg qG 7 l Fricative m pb td 16 fv Golszljg Approximant quothquot 6quot u a FU N rv 4 301 1 1 xythHg h Trill Tap Flap Lateral fricative Lateral approximant L A L Lateral ap gmu v g vet Where symbols appear in pairs the one to the right represents a modally voiced consonant except for murmured ii Shaded areas denote articulations judged to be impossible Fi gure 1 IPA Consonant Chart 22 Lecture 2 Phonet lCS Lecture 2 Phonetics 23 Figure 2 IPA Vowel Chart VOWELS Front Near front Central Near back Back Close i Near close Close mid Mid Open mid Near open Open Vowels at right 8 left of bullets are rounded amp unrounded Phonology 1 Features and Phonemes This chapter will introduce the notions of feature and phoneme More over we show how the formalism of attribute value structures offers a succinct way of describing phonemes and phoneme classes A nat ural class is one which can be described by a single attribute value structure Distinctiveness There is a continuum of sounds but there is only a very limited set of distinctions that we look out for It is the same with letters although you can write them in many different ways most differences do not matter at all There are hundreds of different fonts for example but whether you write the letter a like this a or like this A it usually makes no difference Similarly some phonetic contrasts are relevant others are not The question is what do we mean by relevance The answer is if the contrast makes a difference in meaning it is relevant The easiest test is to nd to words that mean different things but differ only in one sound These are called minimal pairs Table 8 shows some examples of minimal pairs We see from the rst pair that the change from h to k may induces a change in meaning Thus the contrast is relevant In order for this to be meaningful at all we should spell out a few assumptions The rst assumption established in the last section is that the sound stream is segmentable into unique and identi able units The sound stream of an utterance of hat will thus consist of three sounds which I write as h 3e and t Similarly the sound stream of an utterance of cat consists of three sounds k 3e and t The next assumption is that the two sequences are of equal length which allows us to align the particular sounds with each other h ae t 18 o o o k ae t And the third assumption is that we can actually exchange particular occurrences of sounds in the stream Technically one can do this nowadays by using software allowing at manipulate any parts of a spectrogram From an articulatory point of view exchanging exact sounds one by one is impossible because of adapta tions made by the surrounding sounds The realisation of 3e will in likelihood be Lecture 3 Phonology I 25 slightly diITerent whether it is preceded by h or by k Given all this we de clare the sound stream to be a minimal pair just in case they have diITerent mean ing Clearly whether they do or not is part of what the language is recall that a language is a relation between exponents here sound streams and meanings De nition 4 Minimal Pair Two sound streams form a minimal pair if their seg mentations are of the same length and one can be obtained from the other by exchaning just one sound for another and that the change results in a change of meaning It is to be stressed that minimal pairs consist of two entire words not just single sounds unless of course these sounds are words I should emphasise that by this de nition for two words to be minimal pair they must be of equal length in terms of how many basic sounds constitute them not in terms of how many alphabetic characters are needed to write them This is because we want to establish the units of speech not of writing The same length is important for a purely formal reason we want to be sure that we correctly associate the sounds with each other Also there is no doubt that the presence of a sound constrasts with its absence so we do not bother to check whether the presence of a sound makes a diITerence rather whether the presence of this sound makes a diITerence other the presence of some other sound at a given position Likewise b shows that the contrast p t is relevant from which we deduce that the contrast labialzdental is relevant though for other sounds it need not make a diITerence c shows that the contrast aex is relevant and so on Many of the contrasts between the 40 or so basic sounds of English can be demonstrated to be relevant by just choosing two words that are minimally diITerent in that one has one sound and the other has the other sound Although this would require to establish 40 X 392 780 minimal pairs one is usually content with far less Let us note also that in English certain sounds just do not exist For example retro ex consonants lateral fricatives are not used at all by English speakers Thus we may say that English uses only some of the available sounds and other languages use others there are languages that have retro ex consonants for example many languages spoken in India Additionally the set of English sounds is divided into 40 groups each corresponding to one letter in Table 7 These groups are called phonemes and correspond to the 40 letters used in the broad transcription The letter 1 for example pretty much corresponds to a phoneme of English which in turn is realized by many distinct sounds The IPA actually allows to represent the 26 Lecture 3 Phonology I Table 8 Some Minimal Pairs in English a hat haet cat khaet b c at khaet cap khaep 6 cap khaep cup khAp d f li ght a1t fri ght f1a1t e f li ght a1t pli ght pla1t different sounds to some degree file fall slight slAlait wealth wage listen lison 19 fool ful flight fllait health hale lose luz all al plow pllau filthy filei allow 3 law The phoneme therefore contains the sounds i fl 1 and 1 In fact since the symbols are again only approximations they are themselves not sounds but sets of sounds But let s ignore that point of detail here The following picture emerges Utterances are strings of sounds which the hearer subconsciously represents as sequences of phonemes 20 sounds gt 0391 0392 0393 0394 phonemes gt p1 p2 p3 p4 The transition from sounds to phonemes is akin to the transition from narrow 21 to broad 22 transcription 21 gals iz 3 fa ner ik gum skypjin 22 61s iz o fOUHSdlk ttaenskupfon 23 this is a phonetic transcription The conversion to phonemic representation means that a lot of information about the actual sound structure is lost but what is lost is immaterial to the message itself We mention right away that the different sounds of a phoneme do not always occur in the same environment If one sound 039 can always be exchanged by 0quot of the same phoneme then 039 and 0quot are said to be in free variation If however 039 and 0quot are not in free variation we say that the realization of the phoneme as either 039 or 0quot is conditioned by the context Lecture 3 Phonology I 27 Table 9 Phonemes of English bial dental tal olar alveolar tal stops tives appro ximants cnt Vowels and Diphthongs front central back diphthongs unrounded unrounded unrounded rounded upper high i 11 al aU lower high 1 U 01 upper mid e 3 o syllabic lower mid e A consonant low ae u M Table 9 gives a list of the phonemes of American English The slanted brackets denote phonemes not sounds but the sounds are nevertheless given in IPA On the whole the classi cation of phonemes looks very similar to that of sounds But there are mismatches There is a series of sounds called affricates which are written as a combination of a stop followed by a fricative English has two such phonemes tf and d3 Similarly diphthongs which are written like sequences of vowels or of vowel and glide are considered just one phoneme Notice also that the broad transcription is also hiding some diphthongs like e as in ab1e This is a sequence of the vowel e and the glide j The reason is that the vowel e is obligatorily followed by j and therefore mentioning of j is needless However unless you know English well you need to be told this fact The sequence a1 is different in that a is not necessarily followed 1 whence writing the sequence is unavoidable 28 Lecture 3 Phonology I Some Concerns in De ning a Phoneme So while a phone is just a sound a concrete linearly indecomposable sound with the exception of certain diphthongs and alfricates a phoneme on the other hand is a set of sounds Recall that in the book a phoneme is de ned to be a basic speech sound It is claimed for example that in Maasai p b and B are in complementary distribution Nevertheless Maasai is said to have a phoneme p whose feature speci cation is that of p This means among other that it can only be pronounced as p This view has its justi cation However the theoretical justi cation is extremely dif cult There is no reason to prefer one of the sounds over the other By contrast we de ne the following Let denote concatenation De nition 5 Phoneme A phoneme is a set of phones 2 speech sounds In a language L two sounds a and b belong to the same phoneme if and only if for all strings of sounds fund if both fifyand Kb belong to L they have the same meaning a and b are allophones if and only if they belong to the same phoneme We also say the following If fa e L then the pair 2 y which we write Z j is an environment for a in L Another word for environment is context So if a and b belong to the same phoneme then either in a given word or text containing a one cannot substitute b for a or one can but the result has the same meaning and in a text containing b somewhere either one cannot substitute a for b or one can and the result has the same meaning Take the sounds t and r in American English see Page 529 of Fromkin 2000 They are in complementary distribution that is in a context X j at most one of them can appear So we have del to but not delta the context is dejg3 The second sounds British On the other hand we have taen but not raen the context is aen Notice that to pronounce data delta or even deltho is actually not illegitimate this is the British pronunciation and it is understood though not said The meaning attributed to this string is just the same The complications arising from the distinction between how something is pronounced correctly and how much variation is tolerated shall not be dealt with here On the other hand if we change the position of the tongue slightly producing say t in place of t the resulting string is judged to be the same Hence it also means the same We say that t and g are in free variation So two allophones can in a given context either be in complementary distribution or can occur and the other cannot or in free variation both can occur This can vary from context to context though Lecture 3 Phonology I 29 De nition 6 Phoneme If L is a language and p a speci c sound then pL denotes the phoneme containing p in L The de nition in Fromkin 2000 of a phoneme as one of the basic speech sounds of a language is diITerent from ours So it needs comment why we do it diITer ently First it needs to be established what a basic speech sound is For example in Maasai p and B are in complementary distribution By our de nition the sounds instantiating either p or B all belong to the same Maasai phoneme which we denote by pMaasai But is pMaasai a basic speech sound How can we know It seems that Fromkin et al do not believe that it is They take instead the phoneme to be p and assume that the context distorts the realization Now look at English The sound p is sometimes pronounced with aspiration and some times not The two realizations of the letter p p and ph do not belong to the same phoneme in Hindi If this is the case it is di icult to support the idea that pEnghsh can be basic If we look carefully at the de nition above it involves also the notion of meaning Indeed if we assume that a word say C ar has endlessly many realizations the only way to tell that we produced something that is not a realization of car is to establish that it does not mean what a realization of car means Part of the problem derives from the notation p which suggests that it is clear what we mean But it is known that the more distinctions a lan guage makes in some dimension the narrower de ned the basic speech sounds are English for example has only two bilabial stops which we may write p and b Sanskrit and many languages spoken in India today had four p ph b and bh There is thus every reason to believe that the class of sounds that pass for a p in English is dissimilar to that in Sanskrit or Hindi or Thai which are similar in this respect Thus to be perfect we should write pEngh5h p33nskm and so on Indeed the crucial parameter that distinguishes all these sounds the Voice Onset Time is a continuous parameter The VOT is the delay of the onset of voicing after the airstream release The larger it is the more of an aspiration we hear The distinction that is binary on the abstract level turns out to be based on a continuum which is sliced up in a somewhat arbitrary way The discussion also has to do with the problem of narrow versus wide transcription When we write p we mean something diITerent for English than for Hindi because it would be incorrect to transcribe for a Hindi speaker the sound that realizes p in pa1 by p we should use ph instead 30 Lecture 3 Phonology I Features By de nition any set of sounds can constitute a phoneme However it turns out that phonemes are constituted by classes of sounds that have certain properties in common These are de ned by features Features are phonetic and supposed to be not subject to cross language variation What exactly is a feature The actual features found in the literature take a more or less articulatory standpoint Take any sound realizing English b It is produced by closing the lips thereby ob structing the air ow bilabial and then releasing it and at the same time letting the vocal cords vibrate voiced If the vocal cords do not vibrate we get the sound corresponding to p We can analyse the sound as a motor program that is executed on demand Its execution is not totally xed so variation is possible as it occurs with all kinds of movements that we perform Second the motor pro gram directs various parts of the vocal tracts some of which are independent from each other We may see this as a music score which has various parts for diITerent instruments The score for the voicing feature is one of them The value tells us that the cords have to vibrate during the production of the corresponding sound while tells us that they should not We have to be a bit cautious though It is known for example that b is not pronounced with immediate voicing Rather the voicing is delayed by a certain onset time This onset time varies from lan guage to language Hence the actual realization of a feature is diITerent across languages a fact that is rather awkward for the idea that phonemes are de ned by recourse to phonetic features The latter should namely be language independent The problem just mentioned can of course be resolved by making ner distinc tions with the features But the question remains just how much detail do the phonetic features need to give The answer is roughly that while phonetically we are dealing with a continuous scale onset time measured in milliseconds at the phonemic level we are just looking at a binary contrast We shall use the following notation There is a set of so called attributes and a set of so called values A pair ATT val consisting of an attribute and a value is called a feature We treat voiced as a notational alternative of VOICED An attribute is associated with a value range For phonology we may assume the following set of attributes 24 PLACE MANNER VOICED CONSONANTAL ASPlRATED APERTURE and we may assume the following set of values 25 bilabial labiodental plosive approximant high mid Lecture 3 Phonology I 31 The range of PLACE is obviously different from that of MANNER since dental is a value of the former and not of the latter A set of features is called an attribute value structure AVS You have seen AVSs already in the rst lecture The notation is as follows The attributes and values are arranged vertically the rows just having the attribute paired with its value separated by a colon PLACE dental 26 MANNER fricative VOICE Notice that the following are also legitimate AVSs PLACE dental PLACE dental PLACE dental 27 PLACE uvular MANNER fr1cat1ve VOICE VOICE I The rst is identical to 26 in the sense that it speci es the same object the features are read conjunctively The second however does not specify any sound since the values given to the same feature are incompatible Features must have one and only one value We say that the second AVS is inconsistent Notice that AVSs are not sounds they are just representations thereof and they may specify the sounds only partly I add here that some combinations may be formally consistent and yet cannot be instantiated Here is an example 28 CONSONANTAL VOICE This is because vowels in English are voiced There are a few languages for ex ample Mokilese which have voiceless vowels To understand how this is possible think about whispering Whispering is speaking without the vocal chords vibrat ing In effect whispering is systematically devoicing every sound That this does not remove the distinction between p and b shows you that the distinction is not exclusively a voicing contrast One additional difference is that the lip tension is higher in p The following is however illegitimate because it gives a value to PLACE that is outside of its value range 29 PLACE fricative VOICE 32 Lecture 3 Phonology I There is a number of arguments that show that features exist First and foremost the features encode a certain linguistic reality the features that we have spoken about so far have phonetic content They speak about articulatory properties It so happens that many rules can be motivated from the fact that the vocal tract has certain properties For example in German the nal consonants of words to be exact of syllables are all voiceless see the discussion on Page 49 This is so even when there is reason to believe that the consonant in question has been obtained from a voiced consonant Thus one proposes a rule of devoicing for German However it would be unexpected if this rule would turn g into t We would rather expect the rule to turn g into k b into p and d into t The questions that arise are as follows D Why is it that we expect matters to be this way 2 How can we account for the change The rst question is answered as follows the underlying rule is not a rule that operates with a lookup table showing us what consonant is changed into what other consonant Rather it is encoded as a rule that says simply remove the voic ing For this to make sense we need to be able to independently control voicing This is clearly the case However it is one thing to observe that this is techni cally possible and another to show that this is effectively the rule that speakers use One way to check that this is effectively the rule is to make Germans speak a different language The new language will have new sounds but we shall observe Germans still devoice them at the end of the word You can hear them do this in English for example The prediction is this thatiif they can at all produce these soundsiat the end of a word 6 will come out as 9 Moreover they will not randomly choose a devoiced consonant but will simply pick the appropriate voiceless counterpart Ideally we wish to write the rule of devoicing in the following way CONSONANTAL I VOICE Z CONSONANTAL I VOICE I It will turn out that this can indeed be done the next chapter provides the details of this This says that a consonant becomes devoiced at the end of a word The part before the arrow speci es the situation before the rule applies the part to the right and before the slash show us how it looks after the application of the rule The Lecture 3 Phonology I 33 part after the slash shows in what context the rule may be applied The underscore shows where the left part Of the rule must be situated and where the right part will be substituted in its place Here it says it must occur right before which signals the end Of a word The way this rule operates needs tO be explained The German word grob is pronounced gyozp the colon indicates a long vowel 3 is a voiced velar fricative the fricative equivalent Of g The letter b however indicates an underlying b Thus we expect this tO be an instance Of devoicing So let s look at b CONSONANTAL VOICE 31 PLACE bilabzal MANNER stop As the sound occurs immediately before the rule applies When it applies it matches the left hand side against the AVS and replaces that part with the right hand side Of the rule whatever is nOt matched remains the some CONSONANTAL CONSONANTAL VOICE VOICE 32 gt PLACE bilabzal PLACE bilabzal MANNER stop MANNER stop Thus the resulting sound is indeed p You may experiment with Other AVS tO see that the rule really Operates as expected Notice that the rule contains CONSONANTAL on its left but does nOt change it However you cannot simply eliminate it The resulting rule would be different 33 VOICEZ gtVOICEZ This rule would apply tO vowels and produce voiceless vowels Since German does nOt have such vowels the rule would clash with the constraints Of German phonology More importantly it would devoice every word nal vowel and thusi wronglyipredict that German has nO word nal vowels counterexample Oma oma grandmother Suppose that you have tO say this without features It is nOt enough tO say that the voiced consonants are transformed intO the voiceless ones we need tO know which voiceless consonant will replace which voiced consonant The tie between p and b between k and g and sO on needs tO be established Because fea tures have an independent motivation the correspondence is speci ed uniformly 34 Lecture 3 Phonology I for all sounds voice refers to the fact whether or not the vocal cords vibrate As will be noted throughout this course some rules are not really speci c to one lan guage but a whole group of them nal devoicing is a case in point This seems to be contradictory because the rules are stated using phonemes and phonemes are language dependent as we have seen However this need not be what is in fact going on The fact that language has a contrast between voiced and voiceless is independent of the exact speci cation of what counts say as a voiced bilabial stop as opposed to a voiceless bilabial stop Important is that the contrast exists and is one of voicing For example Hungarian Turkish and Finnish both have a rule called vowel harmony Modulo some dif culties all rules agree that words cannot both con tain a back vowel and a front vowel On the other hand the front close mid rounded vowel of Finnish written o is pronounced with more lip rounding than the Hungarian one also written o Nevertheless both languages systematically oppose o with o which differs in the position of the tongue body close mid back rounded vowel The situation is complicated through the fact that Hungar ian long and short vowels do not only contrast in length but also in a feature that is called tension Finnish o is tense even when short while in Hungarian it is lax which means less rounded and less close However even if short and long vow els behave in this way and even if back and front vowels are different across these languages there is good reason to believe that the contrast is between front and back no matter what else is involved Thus among the many parameters that de ne the actual sounds languages decide to systematically encode only a limited set which is phonologically relevant and on which the rules operate even though one still needs to ll in details as for the exact nature of the sounds Precisely this is the task of realization rules These are the rules that make the transition from phonemes to sounds They will be discussed in the next lecture Natural Classes Suppose we x the set of attributes and values for a language On the basis of this classi cation we can de ne the following De nition 7 Natural Class Provisional A natural class of sounds is a set of sounds that can be speci ed by a single AVS Lecture 3 Phonology I 35 This is still not as clear as I would like this to be First we need to something about the classi cation system used above Let P be our set of phonemes Recall that this set is in a way abstract It is not possible to compare phonemes across languages except by looking at their possible realisations which are then sounds We then de ne using our theoretical or pretheoretical insights some features and potential values for them Next we specify which sounds have which value to which attribute That is to say for each attribute A and value v there is a set of phonemes written A v which is therefore a subset of P Its members are the phonemes that are said to have the value v to the attribute A This set must be given for each such legitimate pair However not every such system is appropriate Rather we require in addition that the following holds D For each phoneme p and each feature A there is a value v such that p e A v that is to p has A value v 2 If v i v then A v n A v Q In other words the value of attribute for a given sound is unique For every two different phonemes p 17 there is a feature A and values v v such that v i v and p e A v and p e A v If these postulates are met we speak of a classi cation system for P The last condition is especially important It says that the classi cation system must be exhaustive If two phonemes are different we ought to nd something that sets it apart from the other phonemes This means among other that for each p the singleton p will be a natural class First notice that we require each sound to have a value for a given feature This is a convenient requirement because it eliminates some fuzziness in the presenta tion You will notice for example that vowels are classed along totally different lines as consonants So is it appropriate to say for example that vowels should have some value to MANNER Suppose we do not really want that Then a way around this is to add a speci c value to the attribute call it and then declare that all vowels have this value This value is not a value in the intended sense But to openly declare that vowels have the non value helps us be clear about our assumptions De nition 8 Natural Class In S be a classi cation system for P A subset U 36 Lecture 3 Phonology I of P is natural in S if and only if it is an intersection of sets of the form A v for some attribute and some legitimate value I shall draw a few conclusions from this 1 The set P is natural 2 For every p e P p is natural 3 If P has at least two members is natural To show the rst an intersection of no subsets of P is de ned to be identical to P so that is why P is natural To show the second let H be the intersection of all sets A v that contain p I claim that H p For let p i p Then there are A v and v such that v i v p e A v and p e A v However 17 e A v since the sets are disjoint So 17 e H Finally for the third let there be at least two phonemes p and 17 Then there are A v and v such that p e A v p e A v and v i v Then A v n A v Q is natural The Classi cation System of English Consonants I shall indincate now how 9 establishes a classi cation system and how it is writ ten down in attribute value notation To make matter simple we concentrate on the consonants There are then three attributes PLACE MANNER and voice We assume that the features have the following values 34 PLACEbilabial labiodental dental alveolar palatoalveolar palatal velar glottalMANNER Lecture 3 Phonology I 37 The sounds with a given place features are listed in the columns and can be read 011 the table However I shall give them here for convenience PLACE bilabial pbII1W PLACE labiodental f v PLACE dental 9 5 tdSZIl1I tfd3I3 PLACE palatal j PLACE velar k g 1 PLACE glottal h 35 PLACE alveolar i PLACE palatoalveolar The manner feature is encoded in the row labels MANN ER 1 Swpl PbtdtId3kg MANI J ER ifriwtive fyViey5SZI3 36 MANNER nasal m n1 MANNER lapprox l MANN ER 1 CQPPTUX Wyjy I VOICE I bdgd3V5Z535m5n51 37 W1Ij VOICE I ptktFf9SI So one may check for example that each sound is uniquely characterized by the values to the attributes p has value bilabial for PLACE stop for MANNER and for VOICE So we have PLACE bilabial 3 8 MANNER stop VOICE p If we drop any of the three speci cations we get a lager class This is not always so For example English has only one palatal phoneme j Hence we have PLACE palatal MANNEch approximant 39 PLACEZpalatal j 38 Lecture 3 Phonology I I note here that although a similar system for vowels can be given I do not include it here This has two reasons One is that it makes the calculations even more dif cult The other is that it turns out that the classi cation of vowels proceeds along different features We have for example the feature ROUNDED but do not classi y the consonants according to feature If we are strict about the execution of the classi cation we should then also say which of the consonants are rounded and which ones are not Notice also that the system of classi cation is motivated from the phonetics but not entirely There are interesting questions that appear For example the phoneme 1 is classi ed as voiced However at closer look it turns out that the phoneme contains both the voiced and the voiceless variant written 1 The pro nunciation of bridge involves the voiced 1 the pronunciation of trust the voiceless 1 In broad transcription which is essentially phonemic one writes 1 regardless But we need to understand that the term voiced does not have its usual phonetic meaning The policy on notation is not always consistently ad hered to the symbolism encourages confusing 1 and 1 though if one reads the IPA manual it states that 1 signi es only the voiced and not the voiceless approximant So technically the left part of that cell should contain the symbol 111 Binarism The preceding section must have cautioned you to think that for a given set of phonemes there must be several possible classi cation systems Indeed not only are there several conceivable classi cation systems phonologists are divided in the issue of which one to actually use There is a never concluded debate on the thesis of binarism of features Bina rism is the thesis that features have just two values and In this case also an alternative notation is used instead of att one writes att for example voiced and instead of att one writes att for example voiced I shall use this notation as well Although any feature system can be reconstructed using binary valued fea tures the two systems are not equivalent since they de ne different natural classes Consider by way of example the sounds p t and k They are distinct Lecture 3 Phonology I 39 only in the place of articulation bilabial versus alveolar versus velar The only natural classes are the empty one the singletons or the one containing all three If we assume a division into binary features either p and t or p and k or t and k must form a natural class in addition This is so since binary features can cut a set only into two parts If your set has three members you can single out a given member by two cuts and only sometimes by one So you need two binary features to distinguish the three from each other But which ones do we take In the present case we have a choice of labial dental or velar The rst cuts p t k into p and t k the second cuts it into t and p k and the third into k and t p Any two of these features allow to have the singleton sets as natural classes If you have only two features then there is a two element subset that is not a natural class this is an exercise The choice between the various feature bases is not easy and hotly disputed It depends on the way the rules of the language can be simpli ed which classi cation is used But if that is so the idea becomes problematic as a foundational tool It is perhaps better not to enforce binarism In structuralism the following distinction has been made a distinction or opposition is equipollent or privative To begin with the latter the distinction between a and b is privative if i a has something that I does not have or ii I has something that a does not have In case that i obtains we call a marked in opposition to b and in case that ii obtains we call I marked An equipollent distinction is one that is not of this kind So neither a nor 1 can be said to be marked We have suggested above that the distinctions between speech sounds is always equipollent for example p and b are distinct because the one has the feature voiced the other has the feature voiced Since we have both features by the rules of attribute value structures a sound must have one of them exactly if it does not have the other There is thus a complete symmetry If we want to turn this into a privative opposition we have to explicitly mark one of the features against the other Linguists have instead following another approach They devised a notational system with just one feature say voiced A sound may either have that feature or not It is marked precisely when it has the feature and unmarked otherwise In such a system b is marked against p because it has the feature while p is not Had we chosen instead the feature voiceless b would have been unmarked and p marked In the literature this is sometimes portrayed as features having just one value This use of language is dangerous and should be avoided A case of markedness is the pronunciation of 1 where the 40 Lecture 3 Phonology I default pronunciation is voiced and the marked one is voiceless However this applies to the phonetic level not the phonemics Notes The book Lass 1984 offers a good discussion of the theory and use of features in phonology Feature systems are subject to big controversy Roman Jakobson was a great advocate of the idea of binarism but it seems to often lead to arti cial results O Grady et 11 2005 offer a binary system for English De ni tion 5 is too strong Typically one only has only if rather that if and only if since there are sound pairs that can be exchanged for each other without necessarily being in a phoneme However it is better to use the more stringent version to get an easier feel for this type of de nition which is typical for structuralist thinking Further what is problematic in this de nition is that it does not take into account multiple simultaneous substitution However such cases typically are beyond the scope of an introduction Phonology II Realization Rules and Representations The central concept of this chapter is that of a natural class and of a rule We learn how rules work and how they can be used to structure linguistic theory Determining Natural Classes Let us start with a simple example to show what is meant by a natural class Sanskrit had the following obstruents and nasals 40 By the way if you read the sounds as they appear here this is exactly the way they are ordered in Sanskrit The Sanskrit alphabet is much more logically arranged than the Latin alphabet To describe these sounds we use the following features and values CONs0NANTAL MANNER stopfricative 41 PLACE bilabial dental retr0 ex velar palatal ASPRATED 1 NAsAL 1 VOICE 2 We shall omit the speci cation consonantal for brevity Also we shall omit manner and equate it with nasal 2 NAS 42 Lecture 4 Phonology II Here is how the phonemes from the rst row are to be represented p ph b PLACE2bilab PLACE2bilab PLACE2bilab ASP 2 ASP 2 ASP 39 NAS 2 NAS 2 NAS 2 VOICE 2 VOICE 2 VOICE 2 42 bh m PLACE2bilab PLACE2bilab ASP 2 ASP 2 NAS 2 NAS 2 VOICE 2 VOICE 2 Let us establish the natural classes First each feature a single pair of an attribute and its value de nes a natural class2 PLACE 2 bilab PLACE 2 dental PLACE 2 retro ex PLACE 2 palatal c c 33 n PLACE 2 velar k kh g gh 1 ASP 2 phg bhg h dhg hg ihg Chijh khg gh ASP IL b In t d n t L m G 331 k g 1 NAS 2 mgnJllesU NAS p ph b bh t th d dh h 4 4h c 61331 k kh g gh VOICE b bh m d dh n 4 ah I 331131 g gh 13 VOICE I pg phi L thy t thy Cs Ch ks kh All other classes are intersections of the ones above For example the class of phonemes that are both retro ex and voiced can be formed by looking up the class of retro ex phonemes the class of voiced phonemes and then taking the intersection 44 L h i ih it o b bh In d d n i ih m g g1 1 IL 4 1 1 Basically there are at most 6X3 X3 X3 162 l diITerent natural classes How did I get that number For each attribute you can either give a value or leave the value undecided That gives 6 choices for place 3 for nasality 3 for voice and three Lecture 4 Phonology II 43 for aspiratedness In fact nasality does not go together with aspiratedness or with being voiceless so some combinations do not exist All the phonemes constitute a natural class of their own This is so since the system is set up this way each phoneme has a unique characteristic set of features Obviously things have to be this way since the representation has to be able to represent each phoneme by itself Now 162 might strike you as a large number However as there are 25 phonemes there are 225 2 33554432 different sets of phonemes if you cannot be bothered about the maths here just believe me So a randomly selected set of phonemes has a chance of about 000005 or 0005 percent of being natural How can we decide whether a given set of phonemes is natural First method try all possibilities This might be a little slow but you will soon nd some short cuts Second method You have to nd a description that ts all and only the sounds in your set It has to be of the form has this feature this feature and this feature iso no disjunction no negation You take two sounds and look at the attributes on which they differ Obviously these ones you cannot use for the de scription After you have established the set of attributes and values on which all agree determine the set that is described by this combination If it is your set that set is natural Otherwise not Take the set m ph d m h i PLACEZbllab PLACEZbllab PLAcnzretro 45 ASP ASP 2 ASP NAS 2 NAS NAS VOICE VOICE VOICE The rst is nasal but the others are not So the description cannot involve nasality The second is voiceless the others are voicedness The description cannot involve voicing Similarly for aspiratedness and place It means that the smallest natural class that contains this set isithe entire set of them Yes the entire set of sounds is a natural class Why Well no condition is also a condition Technically it corresponds to the empty AVS which is denoted by Nothing is in there so any phoneme ts that description The example was in some sense easy there was no feature that the phonemes shared However the set of all consonants is also of that kind and natural so that cannot be a criterion To see another example look at the set p ph b Agreeing features are blue disagreeing features red I have marked the agreeing 44 Lecture 4 Phonology II features additionally with ng p p b n PLACEzbilab PLACEzbilab PLACEzbilab 46 ASP ASP 2 ASP g NAS NAS NAS VOICE VOICE VOICE It seems that we have found a natural class However when we extract the two agreeing features and calculate the class we get the class of bilabial stops which is p ph b bh This class contains one more phoneme So the original class is not natural Now why are natural classes important and how do we use them Let us look at a phenomenon of Sanskrit and not only Sanskrit called sandhi Sanskrit words may end in the following of the above p m t n t k and 1 This consonant changes depending on the initial phoneme of the following word Sometimes the initial phoneme also changes An example is tat ja riram which becomes tac charizram We shall concentrate here on the more common effect that the last phoneme changes The books give you the following look up table wordendsin kttpnnm pyphkttpnnm bbhgidb1nm tthktp1nm ddhgidb1nm 47 Lth kt t p nmsm 441 g i i b 13 n In cychktcpnmjm L g i 3 b 1331 In kkhktp1nm ggghgddbnnm nmnI1nmnnm s is a voiceless retro ex fricative j is a voiceless palatal fricative There is one symbol that needs explanation m denotes a nasalisation of the preceding vowel thus it is not a phoneme in the strict senseisee below on a similar issue concerning vowel change in English Despite its nonsegmental character I take it here at face value and pretend it is a nasal Lecture 4 Phonology II 45 We can capture the effect of Sandhi also in terms of rules A rule is a statement of the following form gt Y C D 48 Input gt Output Context For the understanding of rules is important to stress that they represent a step in a sequence of actions In the rule given above the action is to replace the input X by the output Y in the given context If the context is arbitrary nothing is written The simplest kind of rule no context given is exempli ed by this rule 49 a gt b This rule replaces a by b wherever it occurs Thus suppose the input is 50 The vi si tors to Alhambra are from abroad then the output is 51 The vi si tors to Alhbmbrb bre from bbrobd Notice that A being a different character is not affected by the rule Also b is not replaced by a since the rule operates only in one direction from left to right If we want to restrict the action of a rule to occurrences of letters at certain places only we can use a context condition It has the form CD This says the following if the speci ed occurrence is between C on its left and D on its right then it may be replaced otherwise it remains the same Notice that this is just a different way of writing the following rule 52 CXD gt CYD I give an example The rules of spelling require that one uses capital letters after a period that s simplifying matters a bit since the period must end a sentence Since the period is followed by a blankiwritten U in fact maybe there are several blanks but let s ignore that tooithe context is U D is omitted since we place no condition on what is on the right of the input So we can formulate this for the letter a as 53 a gt A U 46 Lecture 4 Phonology II This rule says that a is changed to A if it is preceded by a blank which in turn is preceded by a period Alternatively we could use 54 a gt A Let s return to Sandhi As we have done in the previous chapter a word bound aiy is denoted by This is not a printed character and may in fact come out in different ways look at the way it comes out before punctuation marks Also since we are mostly dealing with spoken language there is no real meaning in counting blanks so we leave the precise nature of blank unspeci ed Suppose we want to write rules that capture Sandhi Each entry of the table presents one individual rule For example if te previous word ends in k and the following word begins with b then rather than the sequence kb we will see the sequence gb Thus we nd that Sandhi is among many others the rule 55 kb a gb We can reformulate this into 56 k gt gb To be precise it is perhaps useful to think that Sandhi also erases the word bound aiy so we should write really the rule as follows 57 k gt gb However once we understand where I have simpli ed matters we can move on to the essential question namely how to best represent the Sandhi using abstract rules If you do the calculations you will nd that this table has 154 cases and I haven t even given you the whole table In 60 cases an actualu change occurs It is true that if there is no change no rule needs to be written unless you consider the fact that in all these cases the word boundary is erased However in any case this is unsatisfactory What we want is to represent the regularities directly in our rules There is a way to do this Notice for example the behaviour of k and p If the consonant of the following word is voiced they become voiced too If the Lecture 4 Phonology II 47 consonant is voiceless they remain voiceless This can be encoded into a single rule Observe that the last consonant of the preceding word is a stop and the rst consonant of the following word is a stop too Using our representations we can capture the content of all of these rules as follows 58 VOICEZ gt VOICEZ v01cnz NAS NAS NAS As we explained in the previous lecture this is to be read as follows given a phoneme there are three cases Case 1 The phoneme does not match the left hand side it is either voiced or a nasal then no change Case 2 The phoneme matches the left hand side but is not in the context required by the rule does not precede a voiceless stop Then no change Case 3 The phoneme matches the left hand side and is in the required context In this case all features that are not mentioned in the rule will be left unchanged This is the way we achieve gener ality I will return below to the issue of t shortly Notice that every consonant which is not a nasal is automatically a stop in this set This is not true in Sanskrit but we are working with a reduced set of sounds here I remark here that the rule above is also written as follows VOICE I NAS 39 59 NASZ gt VOICE NAS Z The omission of the voicing speci cation means that the rule applies to any feature value Notice that on the right hand side we nd the pair VOICE This means that whatever voice feature the original sound had it is replaced by VOICE Next if the consonant of the following word is a nasal the preceding conso nant becomes a nasal The choice of the nasal is completely determined by the place of articulation of the original stop which is not changed So predictably p is changed to m t to n and so on VOICEZ 60 NASZ gt ASP NASZ NAS 2 The reason we speci ed voicing and aspiratedness in the result is that we want the rule to apply to all obstruents But if they are voiceless and we change only nasality we get either a voiceless nasal or an aspirated Neither exists in Sanskrit 48 Lecture 4 Phonology II We are left with the case where the preceding word ends in a nasal The easy cases are 1 and m They never change and so no rule needs to be written This leaves us with two cases t and n Basically they adapt to the place of artic ulation of the following consonant provided it is palatal or retro ex These are the next door neighbours phonetically speaking However if the following con sonant is voiceless the nasal changes to a sibilant and the nasalisation is thrown onto the preceding vowel Let s do them in turn t becomes voiced when the following sound is voiced we already have a rule that takes care of it We need to make sure that it is applied too Thus there needs to be a system of scheduling rule applications a theme to which we shall return in Lecture 6 If we are exact and state that the rules remove the word boundary however the rules cannot be applied sequentially and we need to formulate a single rule doing everything in one step NAS gtNAS NAS PLACEdeI lt PLACEJEtrO PLACEJEtrO A similar rule is written for the palatals It is a matter of taste and ingenuity in devising new notation whether one can further reduce these two rules to say NAS I NAS Z NAS Z PLACEZdeI lt gt PLACEZLZ PLACEZLZ a E rem palat Let us nally turn to n Here we have to distinguish two cases whether the initial consonant is voiced or unvoiced In the voiced case n assimilates in place NAS I NAS Z PLACEZLZ PLACE alv NAS 2 PLACE CZ a E rem palat If the next consonant is voiceless we get the sequence m plus a fricative whose place matches that of the following consonant This is the only occasion where we are putting in the manner feature since we have to describe the resulting Lecture 4 Phonology II 49 phoneme NAS NAS 39 VOICED39 NAS 39 64 39 gt In 39 VOICE PLACEZalv MANNERZfric PLACEZLE PLACE a a E retr0 palat Thus we use the rules 58 60 62 63 and 64 Given that the latter three abbreviate two rules each this leaves us with a total of 8 rules as opposed to 60 Neutralization of Contrast There are also cases where the phonological rules actually obliterate a phonolog ical contrast one such case is stop nasalization in Korean We discuss here a phenomenon called nal devoicing In Russian and German stops become de voiced at the end of a syllable It is such rules that cannot be formulated in the same way as above namely as rules of specialization This is so since they involve two sounds that are not allophones for example p and m in Korean or k and g in German We shall illustrate the German phenomenon which actually is rather widespread The contrast between voiced and voiceless is phonemic Ka sse kaso cashier Gasse gaso narrow street 65 Daten dazton data Taten tazton deeds Peter peztea Peter Beter beztea praying person Now look at the following words Rad wheel and Rat advice They are pro nounced alike Bazt This is because at the end of the syllable and so at the end of the word voiced stops become unvoiced stop 66 stop gt wowed Here symbolizes the word boundary So how do we know that the sound that underlies Rad is d and not t It is because when we form the genitive the d actually reappears 67 des Rades Bazdos 50 Lecture 4 Phonology II The genitive of Rat on the other hand is pronounced with t 68 de 5 Rates Baztos This is because the genitive adds an s plus an often optional epenthetic schwa and this schwa suddenly makes the t and d non nal so that the rule of devoic ing does not apply Phonology Deep and Surface The fact that rules change representations has led linguists to posit two distinct sublevels One is the level of deep phonological representations and the other is that of surface phonological representation The deep representation is more abstract and more regular For German it contains the information about voicing no matter what environment the consonant is in The surface representation how ever contains the phonological description of the sounds that actually appear so it will contain only voiced stops at the end of a syllable The two representations are linked by rules that have the power of changing the representation In terms of IPAisymbols we may picture the change as follows Bazd 69 1 Final Devoicing Bazt However what we should rather be thinking of is this vowel vowel vowel approximant open stop velar front labiodental voiced long voiced 70 i vowel vowel vowel approximant open stop velar front labiodental voiced long voiced I mention in passing another option we can deny that the voicing contrast at the end of a syllable is phonologicalia voiced stop like b is just realized 2 put Lecture 4 Phonology II 51 into sound in two different ways depending on the environment This means that the burden is on the phonologyitoiphonetics mapping However the evidence seems to be that the syllable nal b is pronounced just like p and so it simply is transformed into p We may in fact view all rules proposed above as rules that go from deep to surface phonological mapping Some of the rules just add features while some of them change features The view that emerges is that deep phonological structure contains the minimum speci cation necessary to be able to gure out how the ob ject sounds while preserving the highest degree of abstraction and regularity For example strings are formed at deep phonological level by concatenation while on the surface this might not be so We have seen that effect with nal devoicing While on the deep level the plural ending or a suf x like Chen are simply added the fact that a stop might nd itself at the end of the word or syllable may make it change to something else The picture is thus the following the word Rad is stored as a sequence of three phonemes and no word boundary exists because we might decide to add something However when we form the singular nominative suddenly a word boundary gets added and this is the moment the rule of nal devoicing can take effect The setup is not without problems Look at the English word mouse Its plu ral is mice the root vowel changes How is this change accounted for Is there are a phonological rule that says that the root vowel is changed We consider the diphthong for simplicity to be a sequence of two vowels of which the second is relevant here The answer to the second question is negative Not because such a rule could not be written but because it would be incredibly special it would say that the sequence mauss with the second s coming from the plu ral is to be changed into ma1s Moreover we expect that phonological rules can be grounded in the articulatory and perceptive quality of the sounds There is nothing that suggests why the proposed change is motivated in terms of dif culty of pronunciation We could equally well expect the form mausoz which is phonologically welliformed It just is no plural of the word mans though English speakers are free to change that Indeed English did possess more ir regular plurals The plural of buk was once bek the plural of tunge was tungan and many more These have been superseded by regular formations So if it is not phonology that causes the change something else must do that One approach is to simply list the singular mans and the plural ma1s and no root form Then ma1s is not analyzable into a root plus a plural ending it is just is a 52 Lecture 4 Phonology II simple form Another solution is to say that the root has two forms in the singular we nd mans in the plural mais The plural has actually no exponent like the singular That plural is signaled by the vowel is just a fact of choosing an alternate root The last approach has the advantage that it does not handle the change in phonology for we have just argued that it is not phonological in nature There isi nallyia third approach Here the quality of the second half of the diphthong is indeterminate between U and 1 It is speci ed as lower high If you consult Table 9 you see that there are exactly two vowels that t this description U and 1 So it is a natural class Hence we write the representation as follows m a U 1 s sto Vowel fric 71 p low vowel nasal alveol back lower high b11ab v01ced rounded This representation leaves enough freedom to ll in either front or back so as to get the plural or the singular form Notice however that it does not represent a phoneme In early phonological theory one called these objects archiphonemes We shall brie y comment on this solution First whether or not one wants to use two stems or employ an underspeci ed sound is a matter of generality The latter solution is only useful when it covers a number of different cases in English we have at least thi szthese womanwomen footfeet In German this change is actually much more widespread we shall return to that phenomenon So there is a basis for arguing that we nd an archiphoneme here Second we still need to identify the representation of the plural Obviously the plural is not a sound in itself it is something that makes another sound become one or another For example we can propose a notation H front which says the following go leftward 2 backward and attach yourself to the rst possible sound So the plural of mouse becomes represented as follows In a 51 s sto Vowel fric 72 p low vowel nasal alveol H front back lower high b11ab v01ced rounded Lecture 4 Phonology II 53 By convention this is m a 1 s stop Vowel vowel fric 73 nasal HOW lower high alveol back b11ab front v01ced rounded Note that the singular has the representation H back You may have wondered about the fact that the so called root of a noun like cat was nondistinct from its singular form This is actually not so The root does not have a word boundary while the plural does nothing can attach itself after the plural su ix Moreover there is nothing wrong with signs being empty This however leaves us with a more complex picture of a phonological rep resentation It contains not only items that de ne sounds but also funny symbols that act on sounds somewhere else in the representation Notes on this section You may have wondered about the use of different slashes The slashes are indicators showing us at which level of abstraction we are working The rule is that H is used for sequences of phonemes while H is used for sequences of actual sounds Thus one rule operates on the phonemic level while another operates on the phonetic level Furthermore writers distinguish a surface phonological level from a deep phonological level There could also be a deep phonetical and surface phonetical level though that has to my knowledge not been proposed In my own experience textbooks do not consistently distin guish between the levels and for the most part I think that writers themselves do not mentally maintain a map of the levels and their relationships This therefore is a popular source of mistakes Since Ihave not gone into much detail about the distinction between the two obviously there is no reason to ask you to be consis tent in using the slahes It is however important to point out what people intend to convey when they use them In principle there are two levels phonetic and phonemic At the phonemic level we write p and at the phonetic level we write p Despite the transparent symbolism there is no connection between the two Phonemics does not know how things sound it only sees some 40 or so sounds Writing p is therefore just a mnemonic aid we could have used a instead of p and no slashes since now it is clear in which level we are Phonemes may be organised using features but the phonetic content of these features is unknown to phonemics To connect 54 Lecture 4 Phonology II the abstract phoneme p with some sound we have realisation rules p gt p is a rule that says that whatever the phoneme p is it comes out as p The trouble is that p is ambiguous in English We have a different realisation of p in spi t than in pi t There are two ways to account for this One is to write the realisation rules so as to account for this different behaviour V stands for vowel for example by writing 74 P gt plSV Another is to translate p into the broad vowel p and the leave the speci ca tion to phonetics Both views have their attraction though I prefer the rst over the second I have made no commitment here though to either of the views so the use of versus H follows no principle and you should not attach too much signi cance to it I also use the slashes for written language Here they function in a similar way they quote a stretch of characters abstracting from their surface realisation Again full consistency is hard to maintain and probably mostly not so necessary A side effect of the slashes is that strings become better identi able in running text and are therefore omitted in actual examples With regards to our sketch in Lecture 1 I wish to maintain for the purpose of these lectures at least that phonology and phonetics are just one level and that phonology simply organises the sounds via features and contains the abstract representations while phonetics contains the actual sounds This avoids having to deal with too many levels and possibilities of abstraction Phonology III Syllable Structure Stress Words consist of syllables The structure of syllables is determined partly by universal and partly by language speci c principles In par ticular we shall discuss the role of the sonoricity hierarchy in organ ising the syllabic structure and the principle of maximal onset Utterances are not mere strings of sounds They are structured into units larger than sounds A central unit is the syllable Words consist of one or several sylla bles Syllables in English begin typically with some consonants Then comes a vowel or a diphthong and then some consonants again The rst set of consonants is the onset the group of vowels the nucleus and the second group of consonants the coda The combination of nucleus and coda is called rhyme So syllables have the following structure 75 onset nucleus coda For example streng th is a word consisting of a single syllable stt e 139 Onset Nucleus Coda Rh me 76 y Syllable Thus the onset consists of three consonants s t and 1 the nucleus consists just of e and the coda has 1 and 9 We shall begin with some fundamental principles The rst concerns the structure of the syllable Syllable Structure I Universal Every syllable has a nonempty nucleus Both coda and onset may however be empty A syllable which has an empty coda is called open Examples of open syllables are a e onset is empty see si onset is nonempty A syllable that is not open is closed Examples are in in onset empty and si t s1t onset nonempty The second principle identi es the nuclei for English Vowels are Nuclear English A nucleus can only contain a vowel or a diphthong 56 Lecture 5 Phonology III This principle is not fully without problems and that is the reason that we shall look below at a somewhat more general principle The main problem is the un clear status of some sounds for example a They are in between a vowel and consonant and indeed sometimes end up in onset position see above and some times in nuclear position for example in bird bad The division into syllables is clearly felt by any speaker although there some times is hesitation as to exactly how to divide a word into syllables Consider the word atmosphere Is the s part of the second syllable or part of the third The answer is not straightforward In particular the stridents that is the sounds s D enjoy a special status Some claim that they are extrasyllabic not part of any syllable at all some maintain that they are ambisyllabic they belong to both syllables We shall not go into that here The existence of rhymes can be attested by looking at verses which also ex plains the terminology words that rhyme do not need to end in the same syllable they only need to end in the same rhyme fun 7 run 7 spun 7 shun Also the coda is the domain of a rule that affects many languages For example in English and Hungarian within the coda the obstruents must either all be voiced or unvoiced in German and Russian all obstruents in coda must be voiceless Here is an interesting problem caused among other by nasals Nasals are stan dardly voiced Now try to nd out what is happening in this case by pronouncing words with a sequence nasalvoiceless stop in coda such as hump stunt Frank Germanic verse in the Middle Ages used a rhyming technique where the onsets of the rhyming words had to be the same This is also called allit eration It allowed to rhyme two words of the same stem German had a lot of Umlaut and ablaut that is to say it had a lot of root vowel change making it impossible to use the same word to rhyme with itself say run 7 ran It is worthwhile to remain with the notion of the domain of a rule Many phonolog ical constraints are seen as conditions that concern two adjacent sounds When these sounds come into contact they undergo change to a smaller or greater ex tent for some sound combinations are better pronounceable than others We have discussed sandhi at length in Lecture 4 For example the Latin word in in is a verbal pre x which changes in writing and therefore in pronunciation to im when it precedes a labial impedire Somewhat more radical is the change from ml to mp1 to avoid the awkward combination ml the word temp1um derives from temlom with tem being the root meaning to cut There is an in uential theory in phonology autosegmental phonology which assumes that Lecture 5 Phonology III 57 Table 10 The Sonoricity Hierarchy dark vowels gt mid vowels gt high vowels a 0 2B 08 i Y gt r sounds gt nasals laterals gt vd fricatives r 1 In 11 1 z 3 gt vd plosives gt vl fricatives gt vl plosives b d S H p t phonological features are organized on different scores tiers and can spread to adjacent segments independently from each other Think for example of the fea ture ivoiced The condition on the coda in English is expressed by saying that the feature ivoiced spreads along the coda Clearly we cannot allow the fea ture to spread indiscriminately otherwise the total utterance is affected Rather the spreading is blocked by certain constituent boundaries these can be the coda onset nucleus rhyme syllable foot or the word To put that on its head the fact that features are blocked indicates that we are facing a constituent boundary So voicing harmony indicates that English has a coda The nucleus is the element that bears the stress We have said that in English it is a vowel but this applies only to careful speech In general this need not be so Consider the standard pronunciation of beaten bizthn with a syllabic n For my ears the division is into two syllables biz and thn In German this is certainly so the verb retten is pronounced Bethn The 11 must there fore occupy the nucleus of the second syllable There are more languages like this Slavic languages are full of consonant clusters and syllables that do not con tain a vowel Consider the island Krk for example In general phonologists have posited the following conditions on syllable structure Sounds are divided as follows The sounds are aligned into a so called sonoricity hierarchy which is shown in Table 10 vd voiced v1 voiceless The syllable is organized as follows Syllable Structure 11 Within a syllable the sonoricity strictly increases and then decreases 58 Lecture 5 Phonology III again It is highest in the nucleus This means that a syllable must contain at least one sound which is at least as sonorous as all the others in the syllable It is called the sonoricity peak and is found in the nucleus Thus in the onset consonants must be organized such that the sonority rises while in the coda it is the reverse The conditions say nothing about the nucleus In fact some diphthongs are increasing 1g3 as in the British English pronunciation of here others are decreasing a1 01 This explains why the phonotactic conditions are opposite at the beginning of the syllable than at the end You can end a syllable in It but you cannot begin it that way You can start a syllable by u but you cannot end it that way if you to make up words with u automatically 1 or even t1 will be counted as part of the following syllable Let me brie y note why diphthongs are not considered problematic in English it is maintained that the second part is actually a glide not a vowel and so would have to be part of the coda Thus ri ght would have the following structure r a j t 77 ONCC The sonoricity of j is lower than that of a so it is not nuclear A moment s re ection now shows why the position of stridents is problematic the sequence ts is the only legitimate onset according to the sonoricity hierarchy st is ruled out Unfortunately both are attested in English with ts only occur ring in non native words eg tse tse tsunami There are phonologists who even believe that s is part of its own little structure here extrasyllabic In fact there are languages which prohibit this sequence Spanish is a case in point Spanish avoids words that start with st Moreover Spanish speakers like to add e in front of words that do and are therefore dif cult to pronounce Rather than say streng strange they will say estteng The effect of this maneuver is that s is now part of the coda of an added syllable and the onset is reduced in their speech to just u or in their pronunciation most likely tr Notice that this means that Spanish speakers apply the phonetic rules of Spanish to English be cause if they applied the English rules they would still end up with the onset SL1 see below French is similar but French speakers are somehow less prone to add the vowel French has gone through the following sequence from st to est to et Compare the word toile star which derives from Latin ste11a star Lecture 5 Phonology III 59 Representing the Syllabi cation The division of words into syllables is called syllabi cation In written language the syllable boundaries are not marked so words are not explicitly syllabi ed We only see where words begin and end The question is does this hold also for the representations that we need to assume for example in the mental lexicon of a speaker There is evidence that almost no information about the syllable bound aries is written into the mental lexicon One reason is that the status of sounds at the boundary change as soon as new material comes in Let us look at the plural cats of cat The plural marker is s and it is added at the end Let s sup pose the division into syllables was already given in the lexicon Then we would have something like this TcatT where T marks the syllable boundary Then the plural will be TcathT with the plural s forming a syllable of its own This is not the desired result although the sonoricity hierarchy would predict exactly that Let us look harder We have seen that in German coda consonants devoice The word Rad is pronounced Bazt as if written Rat Suppose we have added the syllable boundary TRadT Now add the genitive e s for which we would also have to assume a syllabi cation for example TesT or esT Then we get TRatTesT which by the rules of German would have to be pronounced Bazt 39i os with an inserted glottal stop because German like English does not have syllables beginning with a vowel whereas French does and prevents that by in serting the glottal stop Phonemically there is no glottal stop however In actual fact the pronunciation is Bazdos There are two indicators why the sound cor responding to d is now at the beginning of the second syllable 1 there is no glottal stop following it 2 it is pronounced with voicing that is d rather than t We notice right away a consequence of this syllables are not the same as mor phemes see Lecture 7 for a de nition And morphemes neither necessarily are syllables or sequences thereof nor do syllable boundaries constitute morpheme boundaries Morphemes can be as small as a single phoneme like the English plural a phonemic feature like the plural of mouse they can just be a stress shift nominalisation of the verb prote st pro test into protest protest or they can even be phonemically zero For example in English you can turn a noun into a verb to google to initial to cable to TA The rep resentation does not change at all neither in writing nor in speaking You just verb it 60 Lecture 5 Phonology III Of course it may be suggested that the syllabi cation is explicitly given and changed as more things come in But this position unnecessarily complicates matters Syllabi cation is to a large extent predictable So there is reason to believe it is largely not stored It is enough to just insert syllable boundary markers in the lexicon where they are absolutely necessary and leave the insertion of the other boundary markers to be determined later Another reason is actually that the rate of speech determines the pronunciation which in turn determines the syllable structure Language Particulars Languages differ in what types of syllables they allow Thus not only do they use different sounds they also restrict the possible combinations of these sounds in particular ways Finnish allows with few exceptions only one consonant at the onset of a syllable Moreover Finnish words preferably end in a vowel a nasal or s Japanese syllables are preferably CV consonant plus vowel This has effects when these languages adopt new words Finns for example call the East German car Trabant simply rabantzi with a vowel at the end and a long t The onset tr is simpli ed to just the r There are also plenty of loanwords kou1u koulu school has lost the s rahti rahti freight has lost the f and so on Notice that it is always the last consonant that wins English too has constraints on the structure of syllables Some are more strict than others We notice right away that English does allow the onset to contain sev eral consonants similarly with the coda However some sequences are banned Onsets may not contain a nasal except in rst place exception sm and sn There are some loanwords that break the rule mnemoni c and tme si s The sequence sonorant obstruent is also banned mp Ik Ip 1t and so on this is a direct consequence of the sonoricity hierarchy Stridents are not found other than in rst place exceptions are ts and ks found however only in nonnative words The cluster ps is reduced to s It also makes a difference whether the syllable constitutes a word or is peripheral to the word Typically inside a word syllables have to be simpler than at the boundary Syllabi cation is based on expectations concerning syllable structure that de rive from the well formedness conditions of syllables However these leave room pleito UPlato can be syllabi ed pleito or pleito In both cases the sylla Lecture 5 Phonology III 61 bles we get are well formed However if a choice exists then preference is given to creating either open syllables or syllables with onset All these principles are variations of the same theme if there are consonants languages prefer them to be in the onset rather than the coda Maximise Onset Put as many consonants into the onset as possible The way this operates is as follows First we need to know what the nucleus of a word is In English this is easy vowels and only vowels are nuclear Thus we can identify the sequences codaonset but we do not yet know how to divide them into a coda and a subsequent onset Since a syllable must have a nucleus a word can only begin with an onset Therefore say that a sequence of consonants is a legitimate onset of English if there is a word such that the largest stretch of consonants it begins with is that sequence Legitimate Onsets An sequence of sounds is is a legitimate onset if and only if it is the onset of the rst syllable of an English word For example sp1 is a legitimate onset of English since the word sprout begins with it Notice that sprout does not show that sp is a legitimate onset since the sequence of consonants that it begins with is sp1 To show that it is legitimate we need to give another word namely spit In conjunction with the fact that vowels and only vowels are nuclear we can always detect which sounds belong to either a coda or an onset without knowing whether it is onset or coda However if a sound if before the rst nucleus it must de nitely be part of an onset In principle there could be onsets that never show up at the beginning of a word so the above principle of legitimate onsets in conjunction with Maximise Onsets actually says that this can never happen And this is now how we can nd our syllable boundaries Given a sequence of consonants that consists a sequence codaonset we split it at the earliest point so that the second part is a legitimate onset that is an onset at the beginning of a word From now on we denote the syllable boundary by a dot which is inserted into the word as ordinarily spelled So we shall write into to signal that the sylla bles are in and to Let us now look at the effect of Maximise Onset For exam ple take the words rest1ess and re stricted We do not nd re stless 62 Lecture 5 Phonology III nor res t1ess The reason is that the there is no English word that begins with st1 or t1 There are plenty of words that begin in l for example 1awn Hence the only possibility is rest1ess No other choice is possible Now look at restricted There are onsets of the form st1 strive There are no onsets of the form kt so the principle of maximal onsets mandates that the syllabi cation is re stric ted Without Maximize Onset restricted and rest ric ted would also be possible since both coda and onset are legiti mate Indeed maximal onsets work towards making the preceding syllable open and to have syllables with onset In the ideal case all consonants are onset consonants so syllables are open Occasionally this strategy breaks down For example suburb is syllabi ed suburb This re ects the composition of the word from Latin sub un der and urbs city so it means something like the lower city cf English downtown which has a different meaning One can speculate about this case If it truly forms an exception we expect that if a representation in the mental lexi con will contain a syllably boundary SAbT39 b Stress Syllables are not the largest phonological unit They are themselves organised into larger units A group of two sometimes three syllables is called a foot A foot contains one syllable that is more prominent than the others in the same foot Feet are grouped into higher units where again one is more prominent than the others and so on Prominence is marked by stress There are various ways to give prominence to a syllable Ancient Greek is said to have marked prominence by pitch the stressed syllable was about a fth higher 32 of the frequency of an un stressed syllable Other languages like German use loudness Other languages use combination of the two Swedish Within a given word there is one syllable that is the most prominent In IPA it is marked by a preceding H We say that it carries primary stress Languages differ with respect to the placement of primary stress Finnish and Hungarian place the stress on the rst syllable French on the last Latin put the stress on the last but one penultimate if it was long that is to say had a long vowel or was closed otherwise if was a syllable that pre ceded it the antepenultimate then that syllable got primary stress Thus we had pe re gri nus foreign with stress on the penultimate gri since the vowel was long but in fe ri or with stress on the antepenultimate fe since the i Lecture 5 Phonology III 63 in the penultimate was short Obviously monosyllabic words had the stress on the last syllable Sanskrit was said to have free stress that is to say stress was free to fall anywhere in the word Typically within a foot the syllables like to follow in a speci c pattern If the foot has two syllables it consists either in an unstressed followed by a stressed syllable iambic metre or vice versa trochaic metre Sometimes a foot car ries three syllables a stressed followed by two unstressed ones a dactylus So if the word has more than three syllables there will be a syllable that is more prominent than its neighbours but not carrying main stress You may try this with the word antepenu1timate You will nd that the rst syllable is more promi nent than the second but less than the fourth We say that it carries secondary stress antepon Altimet Or 3 simo leiIn The so called metrical stress theory tries to account for stress as follows The syllables are each represented by a cross X This is a Layer 0 stress Then in a sequence of cycles syllables get assigned more crosses The more crosses the heavier the syllable The number of crosses is believed to correspond to the absolute weight of a syllable So a word that has a syllable of weight 3 three crosses is less prominent than one with a syllable of weight 4 Let s take Layer 0 X X X X X 78 a s1 mo lei In We have ve syllables Some syllables get extra crosses The syllable si carries primary stress in assimilate Primary stress is always marked in the lexicon and this mark tells us that the syllable must get a cross Further heavy syllables get an additional cross A syllable counts as heavy in English if it has a coda or a diphthong or long vowel So lei gets an extra cross In is not heavy since the n is nuclear So this is now the situation at Layer 1 Layer 1 X X 79 LayerO X X X X X a s1 mo lei In Next the nominalisation introduces main stress on the fourth syllable So this syllable gets main stress and is therefore assigned another cross The result is this Layer 2 X Layer 1 X X Layer 0 X X X X X a s1 mo lei In 80 64 Lecture 5 Phonology III If larger units are considered there are more cycles The word maintain for example has this representation by itself Layer 2 X Layer 1 X X Layer 0 X X mein tein 81 To get this representation all we have to know is where the primary stress falls Both syllables are heavy and therefore get an extra cross at Layer 1 Then the main syllable gets a cross at Layer 2 Now if the two are put together a decision must be made which of the two words is more prominent It is the second and this is therefore what we get Layer 3 X Layer 2 X X 82 Layer 1 X X X X Layer0gtltgtltgtltgtltgtltgtltgtlt mein tein a s1 mo lei jn Notice that the stress is governed by a number of heterogeneous factors The rst is the weight of the syllable this decides about Layer 1 stress Then there is the position of the main stress which in English must to a large extent be learnedi equivalently it must explicitly be given in the representation unlike syllable struc ture Third it depends on the way in which the word is embedded into larger units so syntactic criteria play a role here Also morphological formation rules can change the location of the main stress For example the suf x ation attracts stress kom ham and kombi ne1fn so does the suf x ee as in employee but ment does not gav39grn and gav39grnment The su ix a1 does move the accent without attracting it aenekdot versus aenek dotal Finally we mention a problem concerning the representations that keeps com ing up It is said that certain syllables cannot receive stress because they contain a vowel that cannot be stressed for example schwa g3 On the other hand we can also say that a vowel is schwa because it is unstressed Take for example the pair Iiolaiz and Iioli zeifn When the stress shifts the realisation of i changes So is it rather the stress that changes and makes the vowel change qual ity or does the vowel change and make the stress shift Often these problems nd no satisfactory answer In this particular example it seems that the stress shift is rst and it induces the vowel change It is known that unstressed vowels undergo Lecture 5 Phonology III 65 reduction in time The reason why French stress in always on the last syllable is because it inherited the stress pattern from Latin but the syllables following the stressed syllable eventually got lost Here the stress was given and it drove the development Phonology IV Rules Constraints and Optimality The ory Scheduling Rules It is important to be clear about a few problems that arise in connections with rules If you have some string say teatime and a rule say t gt d how should you go about applying it Once twice as often as you can And if you can apply it several times where do you start Suppose you can apply the rule only once then you get either deatime or teadime depending on where you apply it If you apply if as often as you can then you can another round and apply the rule This time the result is the same deadime This is not always so Consider the rule a gt xa with input aaa you have two choices you can apply it to the rst occurrence of a or to the second The third is not eligible because of the context restriction If you apply the rule to the rst occurrence you get xaa If you apply it to the second you get axa With xaa you can another round giving xxa but when you did the second the rule can no longer apply Often a proper formulation of the rule itself will be enough to ensure only the correct results will be derived Sometimes however an explicit scheduling must be given such as apply the rule going from left to right as long as you can or similar statements In this lecture we shall not go into the details of this Instead we shall turn to another problem namely the interaction between two rules I give a very simple example Suppose we have two rules R1 a gt b and the other R2 b gt c Then we can schedule them in many ways D R1 or R2 can applied once 2 R1 or R2 can be applied any number of times R1 must be applied before R2 R2 must be applied before R1 All these choices give different results We shall exemplify this with an interesting problem the basic form of the past tense marker in English Lecture 6 Phonology IV 67 A Problem Concerning the Underlying Form Regular verbs form the past tense by adding one of the following three suf xes t d or ad The choice between these forms is determined by the root t d 0d li cked 11kt bugged bxgd mended mendad 83 squi shed skw1t 1e aned lind parted puitad kept kept buzzed bxzd feasted stad laughed laeft p1 ayed ple1d batted baetad We ask what is the source of this difference Surely it is possible to say that the past has three different forms and that depending on the verb a different form must be chosen This however misses one important point namely that the choice of the form is determined solely by the phonological form of the verb and can be motivated by phonological constraints of English The facts can be summarized as follows D d is found if the last sound of the verb is voiced but unequal to d 2 t is found if the last sound of the verb is voiceless but unequal to t ad is found if the verb ends in d or t We mention here that it is required that the verb is regular Thus run and catch are of course not covered by this rule We may think of the latter as entered in the mental lexicon as unanalysed forms Thus rather than seeing c aught as a sequence of two forms namely catch plus some past tense marker 1 think of the form entered as a whole though otherwise functioning in the same way It is if you will an idiom Compare this with earlier discussions of the plural formation It seems that the choices can be accounted for solely by applying some general principles First notice that in a coda with the exception of sonorants 1 m n all consonants agree in voicing An obstruent is a consonant that is either a stop or an aIfricate or a fricative Voice Agreement Principle Adjacent obstruent sequences must either be both VOICE or both VOICE at the end of a word 68 Lecture 6 Phonology IV The principle is less general than possible the constraint is valid not only at the end of a word but in any coda This goes half way in explaining the choice of the suf x form It tells us why we see d after voiced consonants But it does not tell us why it is that we get lind rather than lint because either of them is legitimate according to this principle Furthermore we do not know why we nd the inserted schwa The latter can be explained as follows suppose there was no schwa Then the present and the past forms would sound alike mendd would be mend Languages try to avoid double consonants although they never completely manage and English employs the strategy to insert schwa also in the plural We nd bxsoz busses or buse s not bxsz buss with a long s Another popular strategy is haplology the dropping of one of the consonants It is possible to recruit the Voice Agreement Principle if we assume that there is just a single form not three and that variants arise only as the result of a repair The repair is performed by applying some rules Various analyses are possible Analysis 1 We assume that the underlying form is d There is a rule that de voices d right after a voiceless obstruent There is a second rule which inserts a schwa right before d For the purpose of the de nition of the rules two conson sants are called similar if they differ at most in the voicing feature for example t is similar to both t and d but nothing else voice voice 84a obstruent obstruent V01ce 84b G gt a C C C Ed C similar The symbol denotes the empty string The rst rule is actually two rules in our feature system I reproduce here the reproper formulation voice voice v01ce mannerzstop mannerzstop 85 v01ce v01ce v01ce mannerzfncatzve mannerzfncatzv The second rule effectively says that it is legal to insert schwa anywhere between similar consonants Since we have two rules there is a choice as to which one shall be applied rst We shall rst schedule 84a before 84b This means that Lecture 6 Phonology IV 69 the rule 84a is applied to the original form F 0 giving us an output form F1 and then we apply rule 84b to get F2 Each rule applies only once so the output is F2 This gives the following result root bxgd 11kd mendd sta1td 86 84b bAgd 11kd mendod sta1t3d 84a bxgd 11kt mendod sta1tod Notice that when we say that a rule does not apply this does not mean that no out put is generated It means that the form is left unchanged by the rule Textbooks sometimes indicate this by a hyphen as if to say that there is not output But there is an output it just is the same as the input So I do not follow the practice You may gure out for yourselves in which cases this has happened Notice too that sometimes rules do apply and do not change anything Now suppose we had instead scheduled 84a before 84b Then this would be the outcome root bxgd 11kd mendd sta1td 87 84a bAgd 11kt mendd sta1tt 84b bxgd 11kt mendod sta1tot If the last consonant is t the rule 84a would rst assimilate the past tense marker and we get the suf x ot contrary to fact Thus the order in which the rules apply is relevant here There is however nothing intrinsic in the system of the rules that tells us in which order they have to apply This has to be stipulated In the present analysis we see that the second ordering always gives us an output form but sometimes the wrong one Analysis 2 The underlying form is assumed to be t In place of 84a there now is a rule that voices t right after a voiced obstruent or a vowel There is a second rule which inserts a schwa right before d or t voice 88a obstruent voice voice MANNERZ stop 88b o gtg3 CC C and C similar 70 Lecture 6 Phonology IV root bxgt 11kt mendt sta1tt 89 88b bAgt 11kt mendot sta1t3t 88a bxgd 11kt mendg3d sta1tod If we schedule 88a before 88b this will be the outcome root bxgt 11kt mendt sta1tt 90 88a bxgd 11kt mendd sta1tt 88b bxgd 11kt mendg3d sta1tot Once again we see that schwa insertion must take place rst Analysis 3 The underlying form is ad There is a rule that devoices d right after a voiceless obstruent There is a second rule which deletes schwa in between dissimilar consonants 91 a voice voice obstruent voice obstruent 91b 3 gt o CC C and C dissimilar root bAgg3d 11kg3d mendg3d sta1tod 92 91b bxgd 11kd mendg3d sta1tod 91a bxgd 11kt mendg3d sta1tg3d If we schedule 91a before 91b this would be the outcome root bAgg3d 11kg3d mendg3d sta1tod 93 91a bAgg3d 11k3d mendod sta1t3d 91b bxgd 11kt mendg3d sta1tg3t We conclude that schwa deletion must preceded voice assimilation In principle there are many more analyses We can assume the underlying form to be anything we like say even 6 or g33 However one clearly feels that such a proposal would be much inferior to any of the above But why Lecture 6 Phonology IV 71 The principal difference between them is solely the extent to which the rules that transform them can be motivated language internally as well as language ex ternally And this is also the criterion that will make us choose one analysis over the others Let s look carefully First let us go back to the Voice Agreement Prin ciple It says only that adjacent obstruents agree in voicing it does not claim that obstruents must agree with the preceding vowel since we do actually nd forms like kaet Analysis 2 incorporates the wrong version of the Voice Agreement Principle Rule 88a repairs some of the forms without need while Analysis 1 repairs the forms if and only if they do not conform to the Voice Agreement Principle Now look at Analysis 3 it does not con ict with the Voice Agree ment Principle However it proposes to eliminate schwa in certain forms such as liked There is however no reason why this form is bad There are words in English such as wicked that have such a sequence So it repairs forms that are actually well formed Thus the best analysis is the rst and it proposes that the underyling fom is d Let us summarize an analysis is preferred over another if it proposes laws of change that are widely attested schwa insertion is one of them and nal devoicing is another Also an analysis is dispreferred if its rules change representations that are actually well formed Thus rules of the kind discussed here are seen as repair strategies that explain why a form sometimes does not appear in the way expected What we are looking at here is by the way the mapping from deep phonological form to surface phonological form The last bit of evidence that makes us go for Analysis 1 is the following principle NotTooSimilar Principle No English word contains a sequence of subsequent similar obstru ents Namely Rule 84a devoices an obstruent in coda if the preceding consonant is voiceless And in that case the Voice Agreement Principle is violated After the rule has applied the offending part is gone Rule 84b applies if there are two subsequent similar consonants precisely when the Not Too Similar Principle is violated After application of the rule the offending part is gone 72 Lecture 6 Phonology IV Which Repair for Which Problem The idea that we are pursuing is that deep to surface mappings institutionalize a repair of impossible situations Thus every rule is motivated from the fact that the input structure violates a constraint of the language and the output structure removes that offending part Unfortunately this is not all of the story Look at the condition that onsets may not branch This constraint exists in many languages for example in Japanese and Finnish But the two languages apply different repair strategies While Japanese likes to insert vowels Finnish likes to cut the onset to the last vowel Both repair strategies are attested in other languages However we could imagine a language that simpli es an onset cluster to its rst element with this strategy trabant would become not rabantti but tabantti in Finnish Germanic hrengas would become not rengas but hengas instead and so on This latter strategy is however not attested So we nd that among the in nite possibilities to avoid forbidden cluster combinations only some get used at all while others are completely disfavoured Among those that are in principle available certain languages choose one and not the other but in other languages it is the opposite Some general strategies can actually be motivated to a certain degree Look at schwa insertion as opposed to schwa deletion While the insertion of a schwa is inevitably going to improve the structure because languages all agree in that CV is a syllable the deletion of a schwa can in principle produce clusters that are illegitimate Moreover it is highly unlikely that deleting a schwa will make matters betters Thus we would expect that there is a bias towards the repair by insertion of schwa Yet all these arguments have to be taken with care For example if a rule changes stress this can be a motivating factor in reducing or eliminating a vowel Optimality Theory Several ways to look at the regularities of language have been proposed n The generative approach proposes representations and rules The rules shall generate all and only the legitimate representations of the language n The descriptive or modeltheoretic approach proposes only representa Lecture 6 Phonology IV 73 tions and conditions that a representation has to satisfy in order to belong to a given language Note that generative linguists do not always propose that rules are real that is in the head of a speaker and that derivations take place in time They would say that the rules are a way to systematize the data If that is so however it is not clear why we should not adopt a purely descriptive account characterizing all only the legal representations rather than pretending that they have been derived in a particular way The more so since many arguments drawn in favour of a given analysis comes from data on child development and language learning To interpret the data coming from learning we need to have a theory of the internal knowledge of language language faculty This knowledge may either consist in representations and conditions on the representations or in fact in representations plus a set of rules The discussion concerning the problem whether we should have rules or not will probably go on forever Optimality Theory OT adds a new turn to the issue OT tries to do away with rules though we shall see that this is an illusion Also rather than saying exactly which representations are legitimate it simply proposes a list a desiderata for an optimal result If a result is not optimal still it may be accepted if it is the best possible among its kin Thus to begin OT must posit two levels underlying representation UR and surface representation SR We start with the UR baetd batted Which now is the SR OT assumes that we generate all possible competitors and rank them according to how many and how often they violate a given constraint Here is how it can work in the present situation We shall assume that the SR deviates in the least possible way from the UR To that effect we assign each segment a slot in a grid 94 We may subsequently insert or delete material and we may change the represen tations of the segments but we shall track our segments through the derivation In the present circumstances we shall require for example that they do not change order with respect to each other However this sometimes happens this is called 74 Lecture 6 Phonology IV metathesis Here is an example where a segment changes 95 U olt OU 9309093 Holt o quotGEOG Here is an example where we one segment is dropped b ae t d 96 i i i b ae t And here is an example where one segment is added b ae t d 97 l l l l b ae t 3 d N ow we look at pairs 1 0 of representations Consider the following constraints on such pairs Recover the Morpheme At least one segment of any given morpheme must be preserved in the SR This principle is carefully phrased If the underlying morpheme is empty there need not be anything in the surface But if it is underlyingly not empty then we must see one of its segments Recover Obstruency If an underlying segment is an obstruent it must be an obstruent in the SR Lecture 6 Phonology IV 75 The last principle says that the segment that is underlyingly hosting an obstruent must rst of all survive it cannot be deleted Second the phoneme that it hosts must be an obstruent Recover Voicing If a segment is voiced in UR it must be voiced in SR Syllable Equivalence The UR must contain the same number of syllables than the SR Recover Adjacency Segments that are adjacent in the UR must be adjacent in the SR These principles are too restrictive in conjunction The idea is that one does not have to satisfy all of them but the more the better An immediate idea is to do something like linear programming for each constraint there is a certain penalty which is awarded on violation For each violation the corresponding penalty is added In school it s basically the same bad behaviour is punished depending on your behaviour you heap up more or less punishment Here however the violation of a more valuable constraint cannot be made up for No matter how often someone else violates a lesser valued constraint if you violate a higher valued constraint you loose To make this more precise for a pair 10 of underlying representation I and a surface representation 0 we take note of which principles are violated Each language de nes a partial linear order on the constraints such as the ones given above It says in effect given two constraints C and C whether C is more valuable than C or C is more valuable than C or whether they are equally valu able Now suppose the UR I is given D Suppose that 71 10 and 71 I 0 are such that for all constraints that 71 violates there is a more valuable constraint that 71 violates Then 0 is called optimal with respect to 0 2 Suppose that 10 and 71 10 are such that C is the most valuable constraint that 71 violates and that C is also the most valuable constraint that 71 violates Then if 71 violates C more often than 71 0 is optimal with respect to 0 76 Lecture 6 Phonology IV 0 is optimal if it is optimal with respect to every other pair with same UR The actual output form for I is the optimal output form for I If there are several optimal output forms all of them are chosen So given I if we want to know which SR corresponds to it we must nd an 0 which is optimal Notice that this 0 need not be unique OT uses the following talk 0 and 0 are called candidates and they get ranked However candidacy is always relative to the UR Let s apply this for baetd We rank the constraints NTS Not Too Similar RObs Recover Obstruency RMorph Recover the Morpheme and RAdj Re cover Adjacency as follows 98 NTS RObs RMorph gt RAdj The rst three are ranked equal but more than the fourth Other principles are left out of consideration 99 The forms a b c all violate constraints that are higher ranked than RAdj d violates the latter only Hence it is optimal among the four Notice that we have counted a violation of Recover Obstruency for c even though one obstruent was dropped This will concern us below Note that the optimal candidate still violates some constraint We now turn to the form saepd Assume that the ranking is with VAgr 2 Voice Agreement RVoice Recover Voicing 100 VAgr RMorph RObs gt RAdj gt RVoice This yields the following ranking among the candidates 101 Lecture 6 Phonology IV 77 Some Conceptual Problems with CT First notice that OT has no rules but its constraints are not well formedness con ditions on representations either They talk about the relation between an UR and an SR They tell us in effect that certain repair strategies are better than others something that well formedness conditions do not do This has consequences Consider the form baend We could consider it to have been derived by changing t to n baet d 102 ii ii baent Or we could think of it as being derived by deleting t and inserting n b ae t d 103 i i i b 3e 11 d More fancyful derivations can be conceived Which one is correct if that can be said at all And how do we count violations of rules The rst one violates the principle that obstruents must be recoverable The second does not it does not even violate adjacency Of course we may forbid that obstruents be deleted But note that languages do delete obstruents Finnish does so to simplify onset clusters Thus obstruents can be deleted but we count that also as a violation of the principle of recoverability of obstruents Then the second pair violates that principle Now again what is the punishment associated with that pair How does it get ranked Maybe we want to say that of all possibilities takes the most favourable one for the candidate The problem is a very subtle one how do we actually measure violation The string catihow many constraints must we violate how often to get it from stattd For example we may drop s then d and change the place of articu lation of the rst sound to velar Or may we drop s and d in one step and then change t to kior we do all in one step How many times have we violated 78 Lecture 6 Phonology IV Rule C The idea of violating a constraint 3 times as opposed to once makes little sense unless we assume that we apply certain rules Notes on this section The transition from underlying d to t 3 or d has mostly been described as morphophonemics This is a set of rules that control the spelling of morphs or morphemes in terms of phonemes Under this view there is one morph which is denoted by say PASTM where M says this is a unit of the morphological level and there are rules on how to realise this morph on the phonological level recall a similar discussion on the transition from the phonological to the phonetic level Under that view the morph PASTM has three realisations The problem with this view is that it cannot motivate the rela tionship between these forms Thus we have opted for the following view there is one morph and it is realised as d phonologically It produces illicit phono logical strings and there are therefore rules of combination that project the illicit combinations into licit ones Morphology I Basic Facts Morphemes are the smallest parts that have meaning Words may consist of one or several morphemes in much the same way as they consist of one or more syllables However the two concepts that of a morpheme and that of a syllable are radically different Word Classes Morphology is the study of the minimal meaningful units of language It studies the structure of words however from a semantic viewpoint rather than from the viewpoint of sound Morphology is intimately related to syntax For everything that is larger than a word is the domain of syntax Thus within morphology one considers the structure of words only and everything else is left to syntax The rst to notice is that words come in different classes For example there are verbs to imagine and there are nouns a car there are adverbs slow1y and adjectives red lntuitively one is inclined to divide them according to their meaning verbs denote activities nouns denote things adverbs denote ways of performing an activities and adjectives denote properties However language has its own mind The noun trip denotes an activity yet it is a noun Thus the semantic criterion is misleading From a morphological point of view the three are distinct in the following way Verbs take the endings s ed and i ng nouns only take the ending s Adjectives and adverbs on the other hand do not change They can be distinguished by other criteria though 104 We imagine 105 He imagines 106 We are imagining 107 He imagined Thus we may propose the following criterion a word w is a verb if and only if we can add z 05 d ed and 11 ing and nothing else w is a noun if and only if we can add s s and nothing else This distinction is made solely on the basis of the possibility of changing the form alone The criterion is at times not so easy to use Several problems must be noted The rst is that a given word may belong to several classes the test 80 Lecture 7 Morphology I using morphology alone would class anything that is both a noun and a verb for example fear as a verb since the plural fears is identical to the third singular Changing the wording to replace if and only if to if does not help either For then any verb would also be classed as a noun A second problem is that there can be false positives the word ri se IaIZ cannot be taken as the plural of rye 131 And third there some words do not use the same formation rules There are verbs that form their past tense not in the way discussed earlier by adding d For example the verb run has no form runned Still we classify it as a verb For example the English nouns take a subset of the endings that the verb takes The word veto is both a noun and a verb but this analysis predicts that it is a verb Therefore more criteria must be used One is that of taking a context and looking which words t into it 108 The governor the bi 11 If you ll the gap by a word it is certainly a verb more exactly a transitive verb one that takes a direct object On the other hand if it can ll the gap in the next example it is a noun 109 The vetoed the bill When we say ll the gap we do not mean however that what we get is a mean ingful sentence when we put in that word we only mean that it is grammatically 2 syntactically well formed We can ll in cat but that stretches our imagina tion a bit When we ll in democracy we have to stretch it even further and so on Adjectives can ll the position between the determiner the and the noun 110 The governor vetoed the bill Finally adverbs slowly surpri singly can ll the slot just before the main verb 111 The governor vetoed the bill Another test for word classes in the combinability with a ixes Af xes are parts that are not really words by themselves but get glued onto words in some way See Lecture 13 for details Table 11 shows a few English a ixes and lists the word classes to which it can be applied We see that the list of a ixes is heterogeneous and that a ixes do not always attach to all members of a class with equal ease anti house for example is yet to be found in English Still the test reveals a lot about the division into different word classes Lecture 7 Morphology I 81 Table 11 English A ixes and Word Classes A ix Attaches to Forming Examples anti nouns nouns anti matter ant aircraft adjectives adjectives anti democratic un adjective adjectives un happy un lucky verbs verbs un bridle un lock re verbs verbs re establish re assure di 5 verbs verbs dis enfranchi se dis own adjectives adjectives dis ingenious dis honest ment verbs nouns establish ment amaze ment ize nouns verbs burglar ize adjective verbs steril ize Islamic ize i sm nouns nouns Lenin ism gang ster ism adjectives nouns real i sm American i sm fu1 nouns adjectives care ful soul ful 1y adjectives adverbs careful 1y nice 1y er adjectives adjectives nic er angry er Morphological Formation Words are formed from simpler words using various processes This makes it possible to create very large words Those words or parts thereof that are not composed and must therefore be drawn from the lexicon are called roots Roots are main words those that carry meaning This is a somewhat hazy de nition It becomes clearer only through examples A ixes are not roots In ectional endings are also not roots An example of a root is cat which is form identical with the singular However the latter also has a word boundary marker at the right and so it looks more like cat but this detail is often generously ignored In other languages roots are clearly distinct from every form you get to see on paper Latin deus god has two parts the root de and the nominative ending us This can be clearly seen if we add the other forms as well genitive dei dative deo accusative deum and so on However dictionaries avoid using roots Instead you nd the words by their citation form which in Latin is the nominative singular So you nd the root in the dictionary under deus not under de Just an aside verbs are cited in their in nitival form this need not be so Hungarian dictionaries often list them in their 3rd singular form This is because the 3rd 82 Lecture 7 Morphology I singular reveals more about the in ection than the in nitive This saves memory There are several distinct ways in which words get formed moreover lan guages diITer greatly in the extent to which they make use of them The most important ones are D compounding two words neither an a ix become one by juxtaposition Each of them is otherwise found independently Examples are goa1keeper whist1eblower verb noun compound hotbed adjective noun 2 derivation only one of the parts is a word the other is only found in com bination and it acts by changing the word class of the host Examples are the a ixes which we have discussed above anti di 5 ment in ection one part is an independent word the otheris not It does however not change the category it adds some detail to the category in ection of verbs by person number tense Compounding In English a compound can be recognised by its stress pattern For example the main stress in the combination adjectivenoun is on the noun if they still form two words black board blaek b1d while in a compound the stress is on the adjective b1ackboard blkbtd Notice that the compound simply is one word so the adjective has lost its status as adjective through compounding which explains the new stress pattern In English compounds are disfavoured over multiword constructions It has to be said though that the spelling does not really tell you whether you are dealing with one or two words For example although one writes rest room the stress pattern sounds as if one is dealing with only one word There are languages where the compounds are not just diITerent in terms of Lecture 7 Morphology I 83 stress pattern from multiword constructions German is such a language 112 Regierung s entwurf government proposal 113 Schwein e stall pig sty 114 Rad er werk wheel work mechanism The compound Regierung sentwurf not only contains the two words Regie rung government and Entwurf proposal it also contains an s called Fugen s 2 gap s To make German worthwhile for students what gets in serted is not always an s but sometimes e Schweinesta11 is composed from Schwein and Sta11 R2iderwerk is composed from Rad and Werk Schweine and R2ider sound exactly like the plural while Regierung s is not like any case form of Regierung In none of these cases can the compound be mistaken for a multiword construction The meaning of compounds often enough is not determinable in a strightfor ward way from the meaning of its parts It is characteristic of compounds that they often juxtapose some words and leave it open as to what the whole means take money laundry or coin washer which are generally not places where you launder money or wash coins if you did you would be in serious trouble This is more true of nounnoun compounds than of verbnounnounverb compounds though Sanskrit has far more compounds than even German There is an entire clas si cation of compounds in terms of their makeup and meaning Derivation English has a fair amount of derivational a ixes Table 11 shows some of them We said that derivation changes the category of the word this is not necessar ily so Thus it might be hard to distinguish derivation from in ection in that case However derivation is optional while in ection is not and can be iter ated in ection cannot be iterated And in ectional a ixes are typically out side derivational a ixes To give an example you can form repub1ican from 84 Lecture 7 Morphology I repub1ic To this you can add anti antirepub1ican and nally form the plural antirepub1icans You could have added the s to repub1ic but then you could not go on with the derivation There is no word repub1icsan Similarly the word antirepub1ics has only one derivation rst anti is added and then the plural su ix Whether or not a word is formed by derivation is not always clear For example is reside formed by a ixation Actually it once was but nowadays it is not This is because we do not have a verb side except in some idioms Thus derivation may form words that initially are perceived as complex but later lose their transparent structure This maybe because they start to sound diITerent or because the base form gets lost Nobody would guess that the word nest once was a complex word nizdo here the star means this form is reconstructed derived from the words ni down and sed sit In ection To t a word into a syntactic construction it may have to undergo some changes In English the verb has to get an s su ix if the subject is third person singular The addition of the s does not change the category of the verb it makes it more speci c however Likewise the addition of past tense Adding in ection thus makes the word more speci c in category narrowing down the contexts in which it can occur In ection is not optional you must choose an in ectional ending In Latin adjectives agree in gender number and case with the noun they modify 115 discipul us secund us student noms g second mascnoms g 116 discipul orum secund orum student genpl second mascgenpl 117 puell arum secund arum girl genpl second femgenpl 118 poet arum secund orum poet genpl second mascgenpl The last example was chosen on purpose form identity is not required It is actu ally true that the forms of adjectives resemble those of nouns The word poeta belongs a form class of nouns that are mostly feminine this is why adjectives show this form class if agreeing with a feminine noun this has historic reasons Lecture 7 Morphology I 85 But the form class contains some masculine nouns and to agree with them ad jectives show a diITerent form class The latter actually is identical to that which contains more masculine nouns This also explains why we have not added gender speci cations to the nouns unlike adjectives nouns cannot be decomposed into gender and a genderless root The morphological characteristic of in ection is that it is harder to identify an actual a ix morph Syntax 1 Categories Constituents and Trees Con text Free Grammars Sentences consist of words These words are arranged into groups of varying size called constituent The structure of constituents is a tree We shall show how to de ne the notion of constituent and constituent occurrnce solely in terms of sentences Occurrences Sentences are not only sequences of words There is more structure than meets the eye Look for example at 119 This villa costs a fortune The words are ordered by their appearances or if spoken by their temporal ar rangement This ordering is linear It satis es the following postulates D No word precedes itself lrre exivity 2 If w precedes w and w precedes w then w precedes w Transitivity For any two distinct words w and w either w precedes w or w precedes w Linearity There is however one thing about we must be very careful In the sentence 120 the dog sees the cat eat the mouse we nd the word the three times we do not distinguish between lower and upper case letters here However the de nitions above suggest that the precedes the since it talks of words Thus we must change that and talk of occurrences The best way to picture occurrences is by underlining them in the string the dog sees the cat eat the mouse 121 the dog sees the cat eat the mouse the dog sees the cat eat the mouse Lecture 8 Syntax I 87 Occurrences of same of different strings can either overlap or precede each other They overlap when they share some occurrences of letters Otherwise one pre cedes the other The next two occurrences in 122 and 123 overlap for example while the occurrences of the above do not 122 123 the dog sees the cat eat the mouse the dog sees the cat eat the mouse When we cannot do that we need another tool to talk of occurrences Here is one way of doing that De nition 9 Let f and Z strings An occurrence of Z in Z is a pair 1217 such that Z 17 Given an occurrences C 171371 of 1 and and occurrence D 172 72 of 22 we say that C precedes D if 17121 is a pre x of 172 we say that C and D overlap if C does not precede D and D does not precede C Thus the word the has the following occurrences in 120 with spaces shown when important edog sees the cat eat the mouse 124 the dog seescat eat the mouse the dog sees the cat eatmouse If you apply the de nition carefully you can see that the rst occurrence precedes the second 3 concatenated with the gives the which is a pre x of the dog sees Notice the notion of overlap here are two occurrences one of the dog and the other of dog sees These consisting of the rst and second and sec ond and third occurrences of words respectively must overlap They share the occurrences of the second word 125 esees the cat eat the mouse theuucat eat the mouse The postulates above simply have to be reformulated in terms of occurrences of words and they become correct This has to do with the assumption that oc currences of words cannot overlap Let Z a given sentences and U the set of occurrences of words in Z Then the following holds 88 Lecture 8 Syntax I D No member of U precedes itself lrre exivity 2 Let C C and C be in U If C precedes C and C precedes C then C precedes C Transitivity For any two distinct occurrences C and C from U either C precedes C or C precedes C Linearity Talk of occurrences of words is often clumsy but it is very important to get the distinction straight A notationally simpler way is the following We assign to the occurrences words some symbol say a number If we use numbers we can even take advantage of their intrinsic order We simply count the occurrences from left to right Constituents We claim that for example a fortune is a sequence of different character than costs a One reason is that it can be replaced by much without affecting grammaticality 126 This villa costs much Likewise instead of this villa we can say 127 This costs much Notice that exchanging words for groups or vice versa does not need to preserve the meaning all that is required is that it preserves grammaticality the result should take English sentences to English sentences and non English sentences to non English sentences For example if we replace costs much by runs we are not preserving meaning just grammaticality 128 This runs Notice that any of the replacements can also be undone 129 This villa runs 130 This costs a fortune Lecture 8 Syntax I 89 We call a sequence of words a constituent if among other conditions it can be replaced by a single word A second condition is that the sequence can be coordinated For example we can replace a fortune not only by a lot but also by a fortune and a lot The latter construction is called coordinated because it involves the word and a more precise version will follow On the assumption that everything works as promised the constituents of the sentence 119 has the following constituents this villa costs a fortune this villa costs a fortune this villa costs a fortune a fortune 131 The visual arrangement is supposed to indicate order However this way of in dicating structure is not precise enough Notice rst that a word or sequence of words can have several occurrences and we need to distinguish them since some occurrences may be constituent occurrences while others are not I shall work out a somewhat more abstract representation Let us give occur rence of a word a distinct number like this this villa costs a fortune 132 2 3 4 5 Each occurrence gets its own number A sequence of occurrences can now con veniently be represented as a set of numbers The constituents can be named as follows 133 LZ345121234534545 Let wlwzw3 w be a sequence of words constituting a sentence of English Then a constituent of that sentence has the form wiwiilwiiz w for example wzw3 wsw5w7 but not wzw4w7 It always involves a continuous stretch of words Continuity of Constituents Constituents are continuous parts of the sentence NonCrossing Given two constituents that share a word one must be completely inside the other Words are Constituents Every occurrence of a word forms its own constituent 90 Lecture 8 Syntax I Here is a useful terminology A constituent C is an immediate constituent of another constituent D if C is properly contained in D but there is no constituent D such that C is properly contained in D and D is properly contained in D Our sentence 119 has only two immediate subconstituents this villa and costs a fortune The latter has the immediate constituents costs and a fortune It is not hard to see that it is enough to establish for each constituents its immediate subconstituents Notice also that we can extend the notion of prece dence to constituents A constituent C precedes a constituent D if all words of C precede all words of D So thi s villa precedes a fortune because thi s precedes both a and fortune and villa precedes both a and fortune This coincidence opens the way to a few alternative representations One is by enclosing constituents in brackets 134 this villa costs a fortune Typically the brackets around single words are omitted though This gives the slightly more legible 135 this villa costs a fortune Another one is to draw a tree with each constituent represented by a node and drawing lines as given in Figure 3 Each node is connected by a line to its imme diate subconstituents These lines go down a line going up is consequently from a constituent to the constituent that it is an immediate part of So 8 and 9 are the immediate constituents of 7 6 and 7 are the immediate subconstituents of 3 and so on It follows that 6 7 and 8 are subconstituents of 3 which is to say that 3 consists of costs a and fortune De nition 10 A tree is a pair T lt where T is a set and lt is a set of pairs of elementsfrom T such that a ifx lt y and x lt z then eithery lt z ory z or z lt y and b there is an element r such that x lt rfor all x r r is called the root The tree in Figure 3 consists of the nodes 1 2 3 9 we ignore the stuIT below them this concerns wordforms and is of no interest to syntax we add these things for orientation only The relation lt is as follows 2 lt 1 3 lt 1 4 lt 1 5 lt 1 6lt17lt18lt19lt14lt25lt26lt37lt38lt39lt38lt79lt7 no other relations hold Lecture 8 Syntax I 91 this villa costs 3 a fortune Figure 3 An Unlabelled Syntactic Tree Notice also that the order in which elements follow each other is also re ected in the tree simply by placing the earlier constituents to the left of the later ones Categories A context is a pair 237 of strings We denote them in a more visual way as follows 136 2 y An example of a context is 137 this a fortune Notice the blanks left and right of the gap Given a sentence every substring is uniquely identi ed by its context the part that precedes it and the part the follows it The missing part in 137 is vi11a costs So every substring can be denoted by its left context and its right context Substituting a substring by another is extracting the context and then putting back the replacing string Replacing vi11a costs by misse s gives 138 this misses a fortune 92 Lecture 8 Syntax I Not a good sentence but grammatical Does this show by the way that villa costs is a constituent We agree to call arbitrary strings of English words constituents just in case they occur as constituents in some sentence The wording here is important I do not say that they have to occur everywhere as constituent It may happen that a sequence occurs in one sentence as a constituent but not in another Here is an example The string you called is a constituent in 139 but not in 140 139 This is the man you called 140 This is a song for you called quotSweet Georgia Brownquot To know why this is to try to substitute you called by you called and Mary liked So rst of all we need to talk about sequences that occur as con stituents If they do we call the occurrence a constituent occurrence We are now ready to make matters a bit more precise A string is a sequence of letters or sounds A string language is a set of strings The set of sentences of English is an example Call this set E We say that a string 2 is a grammatical sentence of English just in case fis a member of E So We stay at home is a grammatical sentence of English while Cars a sell if is not Based on this set we de ne constituents and constituent occurrences and all that First we give some criteria for constituent occurrences 2 has a constituent occurrence in Z only if there are 12 and 17 such that D Z IZJLV 2 Z G E that is Z is a grammatical sentence either 1247 e E or there is a single word V such that link 6 E ILXLandUXLVe E The reason why in we use 2 twice rather than making up some more imaginative conjunct as we did above is that for a formal test it is of use if we do not have to choose an appropriate string What if we choose the wrong one Not all of them work in all circumstances so it is better to use something less imaginative but secure Lecture 8 Syntax I 93 In case D 7 are satisftied we say that 1217 is a constituent occurrence of f in Z This list is incomplete In other words there are more criteria that need to be satis ed before we say that 2 has a constituent occurrence But this list shall suf ce for us Let us apply this to 139 and 140 With 2 you called we have in 139 the occurrence 141 Thi sui sutheumanu U D and 2 are obviously met That and are met is witnessed by the following 142 This is the man 143 This is the man you called and you called We try the same on 140 The following sentence is ungrammatical so fails 144 This is a song for you called and you called quotSweet Georgia Brownquot De nition 11 A category of a given language is a set A of strings such that any constituent occurrence of a member of A can be replaced by any other member of A yielding once again a constituent occurrence Thus given that Z and y are members of the same category if I is a grammatical sentence of English so is 12W and vice versa The de nition of a category is actually similar to that of a phoneme phonemes were de ned to be substitution classes up to meaning preservation Here we de ne the classes up to grammaticality more or less since we have the caveat about constituent occurrences because we are dealing with the substitution of strings for strings not just of an item for another item We give an example The intran sitive verbs in the 3rd personal singular form a category 145 falls runs talks By this de nition however talks and talk are not members of the same category for in 146 we cannot replace talk by talks The result is simply ungrammatical 146 Mary and Paul talk 94 Lecture 8 Syntax I this villa costs D a fortune Figure 4 A Labelled Syntactic Tree It seems that the number of categories of any given language must be enormous if not in nite It is certainly true that the number of categories is large but it has a highly regular structure which we shall unravel in part for English Now that we have de ned the constituents let us go back to our tree in Fig ure 3 Each of the nodes in that tree is a constituent hence belongs to some category Omitting some detail the categories are given in Figure 4 We call S a sentence D a determiner DP a determiner phrase NP a noun phrase VP a verb phrase V verb Context Free Grammars Now look at Figure 4 If the labelling is accurate the following should follow any sequence of a determiner phrase followed by a verb phrase is a sentence Why is this so Look at the tree If DP is the category to which this villa belongs and if VP is the category to which costs a fortune belongs then we are entitled to substitute any DP for this villa and any VP for costs a Lecture 8 Syntax I 95 fortunez this villa costs a fortune a car walks 147 catches the bus tomorrow s sunshine sings praise to the Lord None of the sentences you get are ungrammatical so this actually seems to work We state the fact that a DP followed by a VP forms a sentence in the following way 148 S gtDP VP We have seen earlier statements of the form something on the left gt something on the right with a slash after which some conditions to the context were added The condition on context is absent from 148 this is why the rule is called con text free Because it can be used no matter what the context is However notice one difference namely that the thing on the left is always a single symbol denot ing a category while the thing on the right is a sequence of symbols which may each be either a category or a word A grammar is a set of such rules together with a special symbol called start symbol usually S Consider by way of the example the following grammar The start symbol is S the rules are 149a S gt DP VP 14 DP gt D NP 149c D gt a this 149d NP gt villa fortune 149e VP gt V DP 149f V gt costs Here the vertical stroke is a disjunction It means can be either the one or the other For example the notation D gt a this is a shorthand for two rules D gt a andD gt this This grammar says that 119 is of category S How does it do that It says that thi s is a determiner D Rule 149c and vi11a is a noun phrase NP Rule 149d By Rule 14 we know that the two together are a DP Similarly it tells us that a fortune is a DP that costs a fortune is a VP Finally using Rule 149a we get that the whole is an S 96 Lecture 8 Syntax I Given a set of rules R we de ne a derivation as follows An R derivation is a sequence of strings such that each line is obtained by the previous by doing one replacement according to the rules of R If the rst line of the derivation is the symbol X and the last the string 2 we say that the string 2 has category X in R The following is a derivation according to the set 149a 7 149f 150 S DP VP D NP VP D NP V DP D NP V D NP this NP V D NP this villa V DNP this villa costs D NP this villa costs a NP this villa costs a fortune Thus in this rule system this villa costs a fortune is of category S Likewise one can show that thi s fortune is of category DP and so on A context free grammar consists of a an alphabet A of terminal symbols b an alphabet N of nonterminal symbols c a nonterminal S e N and d a set of context free rules X gt 2 where X e N Notice that the strings DP VP V and so on are considered to be symbols but they are not symbols of English They are therefore nonterminal symbols Only nonterminal symbols may occur on the left of a rule But nonterminal symbols may occur on the right too The role of the start symbol is the following A string of terminal symbols is a sentence of the grammar if there is a derivation of it beginning with the start symbol The language generated by the grammar is the set of all sentences using only terminal symbols that it generates Ideally a grammar for English should generate exactly those sentences that are proper English Those grammars are incredibly hard to write Notes on this section Let s return to our de nition of constituent occurrence Context free grammars provide strings with a constituent analysis However not every such analysis conforms to the de nition of constituents To make every thing fall into place we require that the grammars of English have the following Lecture 8 Syntax I 97 universal rule schema For every category symbol X they contain a rule 151 X gt XuandUX Furthermore for every X they must have a rule 152 X gt W for some word If that is so the criteria D 7 will be met by all constituents assigned by the grammar Syntax II Argument Structure We shall introduce a general schema for phrase structure called X bar syntax In X bar syntax every word projects a phrase consisting of up to two arguments and any number of adjuncts Lexical Categories There are several tens of thousands of categories in a language maybe even mil lions Thus the number of rules that we have to write is far too large to be written one by one Thus while in phonology the desire for general rules could still be thought of as not so urgent here it becomes absolutely central We shall put to use our notation of attribute value structures AVSs We start oil with a few general purpose rules and then re ne them as we go along First words fall into roughly two handful of so called lexical or major cat egories The ones we shall be using are noun N verb V adjective A adverb Adv preposition P complementizer C determiner D and tense T Not all classes have single words in them but most of them do N carhouse storminsight V run eat hasten crawl A greedy raw shiny cheerful 153 Adv very steadily allegedly down P in for about below C that which becausewhile D a the this those Our rst attribute is CAT and it has the values just displayed so far they are N V A Adv P C D T Subject and Object The next distinction we want to make is that between a word and a phrase We have made that distinction earlier when we called certain words determiners and certain constituents DPs 2 determiner phrases The distinction is intimately Lecture 9 Syntax II 99 connected with the notion of argument structure The argument structure tells us for each word what kinds of constituents it combines with to form a phrase Take the verbs run and accuse The diITerence between the two is that the rst is happy to combine with just one DP say the sailor s to form a sentence while the latter is not 154 The sailors run 155 The sailors accuse To make the latter into the sentence you need to supply two more DPs one for the one who is accused and one for what he is accused of 156 The sailors accuse the captain of treason We say run takes one argument accuse takes three arguments It means that in order to get a grammatical sentence run only needs to combine with one DP accuse needs three There are diITerences in the degree to which accuse needs any one of its arguments this is a matter we shall not go into As for verbs they always have one argument in a sentence and this is the subject The subject is that argument which is in the nominative case You can recognize it by the form of pronoun that you have to use The subject is she he it I you they and not her him me us and them The form you is both nominative and accusative so we cannot use it for our test If instead you have to use the accusative forms you are looking at the direct object 157 They runThem run 158 They accuse the captain of treason 159 Them accuse the captain of treason 160 The sailors accuse us of treason 161 The sailors accuse we of treason Unless adverbs are present English puts the subject right before the verb and the object right after it So this actually is another diagnostic for subject and object The third argument is of treason This is formed by using a preposition of so it is called a PP 2 preposition phrase There are as many preposition phrases as there are prepositions We shall deal with them a little later 100 Lecture 9 Syntax II A verb is called intransitive if it has no direct object Otherwise it is called transitive Hence run is intransitive accuse is transitive Verbs may also be both break and eat can occur both with and without a direct object Such a verb is both transitive and intransitive we say that it is used transitively if there is a direct object as in 162 and intransitiver otherwise as in 163 162 The children are eating the cake 163 The children are eating The distinction between transitive and intransitive tells us whether or not the verb needs a direct object as an argument We observe that intransitive verbs are distributionally equivalent with the com bination of transitive verbdirect object ran The chlld lost the battle of Waterloo 164 Napoleon ate the cake My nelghbour 5 dog i 5 beautiful This tells us two things transitive verbs plus direct objects form a constituent and this constituent can be replaced by an intransitive verb Linguists have therefore proposed the following scheme Constituents have two attributes a major category and a projection level The levels are 0 1 and 2 They are also called bar levels because they used to be denoted by overstrike bars Other notation is D0 for determiner 0 level D1 5 or D for determiner rst or intermediate projection and D2 5 or D for determiner level 2 or determiner phrase Words are uniformly assigned level 0 and phrases are level 2 So what we used to call a determiner D is now a D0 and the representation of it and a determiner phrase DP is like this 0 CAT D CAT D 165 D PROJZO DP PROJZ2 The need for an intermediate level will become clear below The following rules are proposed for English to the right you nd a more user friendly notation of the Lecture 9 Syntax II 101 same rule 166 CAT gt CAT CAT VP gt DP V PRO 2 PRO 2 PRO 1 CAT V CAT V 0 167 PROle gt PROJZO V gt V CAT V CAT V CAT D 168 PROle gt PROJZO PROJZZ V gt V DP The start symbol is momentarily VP Now the rule 166 says that a sentence 2 VP is something that begins with a determiner phrase and then has a level 1 V 167 is for intransitive verbs 168 is for transitive verbs Thus we further add an attribute TRS with values and to prevent an intransitive from taking a direct object CAT 39V CAT V 169 PROJJ PROJZO TRS CAT V CAT V CAT D 170 PROle gt PROJ39O PROJZZ TRS 2 CAT V 171 PROJZO gt sit walkl talk TRS CAT V 172 PROJZO gt take see eat TRS 2 Notice that we did not specify transitivity for V1 This is because we have just said that a V1 is a transitive verb plus direct object or an intransitive verb Thus we say that a V1 is intransitive and there is simply no transitive V1 Cases like They call him an idiot seem like involving a verb with two direct objects This is not so but to make our case would take us too far a eld Thus in the above rules with can simply drop mentioning transitivity for Vls We should mention here the fact that some verbs want sentences as arguments 102 Lecture 9 Syntax II not DPs The sentence must be opened with a complementizer usually that 173 John believes that the earth is flat 174 John knows that two plus two is four These sentences are also called objects They can be replaced by thi s or that showing that they are either subjects or objects They follow the verb so they must be objects In the following examples they are subjects 175 That the earth is flat is believed by John 176 That the cat was eating his food annoyed the child Oblique Arguments and Adjuncts Verbs can have other arguments besides the subject and the object too These are called oblique Let us look at the verb accuse again In addition to a direct object it also wants a PP expressing subject matter This PP must begin with the preposition of There are verbs that require a PP with on for example count others a PP with about for example think and so on Let us add a new attribute PREP whose value can be any of the prepositions of English Then accuse will get the following syntactic category CAT V PROJZO TRS 2 PREPZOf 177 This tells us that accuse wants a subject because all verbs do a direct object because it is transitive and a PP opened by of because this is how we de ned the meaning of PREPZOf To get the positioning of the phrases right we propose to add the following rules CAT V CAT V CAT P 178 l PROJZl gt PROle PROJZZ PREPZOf PREPZOf PREPZOf CAT P CAT P 179 PROJZZ gt PROle PREPZOf PREPZOf Lecture 9 Syntax II 103 CAT P CAT P 39 180 PROJ1 gt PROJ0 CAT D PREPZOf PREPZOf PROJ39Z CAT P 181 l PROJ0 gt of PREPZOf Similarly for every other preposition Notice that we have used the feature PREPZ of also for prepositions this makes sure that the right preposition appears at last in the structure The rules say that the PP is to be found to right of the direct object if there is one This is generally the case 182 They found the gold in the river 183 They found in the river the gold 184 The pilot flew the airplane to Alaska 185 The pilot flew to Alaska the airplane Indeed we can observe that the above rules hold for arbitrary prepositional phrases so we simply replace on by a placeholder say a The rules then look like this We show the Rule 178 only which becomes 186 CAT V CAT V CAT P 186 PRO 1 gt PRO 1 PRO 2 PREPZLK PREPZLK PREPZLK The idea is that in this rule schema a may be instantiated to any appropriate value In this case the appropriate values are the English prepositions If we choose a every occurrence of a must be replaced by the same value For example the following is not a correct instance of 186 CAT V CAT V CAT P 187 PRO 1 gt PRO 1 PRO 2 PREPabout PREPZOII PREPabout Notice that the PP does not pass directly to P0 DP there is an intermediate level 1 projection The reason is not apparent from the data given so far and some syn tacticians dispute whether things are this way However for our purposes it makes 104 Lecture 9 Syntax II the syntax more homogeneous Notice also that the level does not decrease A verb plus PP has the same level as the verb itself namely 1 Therefore the PP is called an adjunct Adjuncts do not change the level of the projection but direct arguments do XBar Syntax The structure of PPs looks similar to that of transitive verb phrases except that the subject is generally missing This similarity exists across categories We take as an example NPs There exist not only nouns as such but nouns too take arguments These arguments are mostly optional which is to say that nouns can be used also without them 188 the counting of the horses 189 some president of the republic 190 a trip to the Philippines 191 this talk about the recent events In English nouns cannot take direct arguments The verb count is transitive count the horse s but the gerund wants the former object in a PP opened by of We can account for this in the same way as we did for verbs We allow nouns to additionally have a feature PREP of or PREP in and so on And if they do they can but need not add a PP opened by the corresponding preposition CAT N CAT N CAT P 192 PRO 1 gt PRO 0 PRO 2 PREonf PREonf PREonf CAT N CAT N 193 l PROJ1 gt PROJZO PREonf PREonf These two rules are abbreviated as follows CAT N CAT N CAT P 194 PRO 1 gt PRO 0 PRO 2 PREonf PREonf PREonf Lecture 9 Syntax II 105 The brackets around an item say that it is optional For completeness let us note that we have the following rules CAT N 195 l PRO 0 PREPZOf gt counting brother election chief CAT N 196 l PROJZO gt doubt questionl talk rumour PREP2about We note in passing the following A PP opened by about has mostly the mean ing concerning It indicates the person or thing in the centre of attention With nouns denoting feelings opinions and so on it feels natural that the preposition about is used so we are inclined to think that the grammar does not have not tell us this One indication is that about can be replaced by concerning Unfortunately this does not always give good results 197 doubts concerning the legitimacy of the recall 198 questions concerning the statement by the police officer 199 talk concerning the recent book release Thus although the intuition seems generally valid there also is a need to record the habits of each noun as to the PP that it wants to have Now we take a bold step and abstract from the categories and declare that English has the following general rules 200a XP gt YP X 200b XP gt XP YP 200C X gt YP X 200d X gt X YP 200e X gt X0 YP Translated into words this says phrasal adjuncts are always on the right while rst level adjuncts are either on the right or on the left The projection of X to the right is called the head The YP in Rule 200a is called the speci er of the phrase the one in Rule 200e is called the complement nally YP in Rules 200b 200C and 200d is called an adjunct Subjects are speci ers of verbs direct objects complements of verbs We note the following general fact about English 106 Lecture 9 Syntax II In English speci ers are on the left complements on the right of the head All these terms are relational An occurrence of a phrase is not a complement per se but the complement of a particular phrase XP in a particular construction If we look at other languages we nd that they differ from English typically only the relative position of the speci er complement and adjunct not the hierar chy So they will also make use of the following rules absent from the list above 201a XP gt x39 YP 201b XP gt YP XP 201c x39 gt YP x0 Moreover the direction changes from category to category German puts the verb to the end of the clause so the complement is to its left The structure of nouns and PPs is however like that of the English nouns Japanese and Hungarian put prepositions at the end of the PP That is why they are called more accurately postpositions In general and adposition is either a preposition or a postposi tion Sanskrit puts no restriction on the relative position of the subject 2 speci er of verb and object 2 complement of the verb Sentence Structure 1 Universal All syntactic trees satisfy X bar syntax This means that Rules 200a 7 201C hold for all structures It is important to be clear about the sense of holds in this principle It is take to be here in the sense of A set of rules R of the form X gt YZ or X gt Y is said to hold for a labelle tree or a set thereof if whenever a node in a tree has category X then it either has no daughter or only one daughter with label Y and the rule X gt Y is in R or it has two daughters with labels Y and Z in that order and the rule X gt YZ is in R This looks like the de nition of last chapter but it differs because here we are not saying how we get the trees important when we study movement and we also do not require that there exists a context free grammar for the trees the language can be far more complex but still the rules are said to hold Lecture 9 Syntax II 107 Phrases and ProForms I began the lecture by citing different words and their categories It emerged from this list that words invariably a lexical and project a phrase This is true in general but there are important exceptions The rst class is the proforms The pro forms are such words that actually stand in for an unspeci ed word or phrase One class are the pronouns which fact replace a DP So we should actually call them pro DPs the name pronoun was coined before one thought of DPs Other examples are one pro NP do pro VP 202 John wrote a good essay Paul also wrote a good one 203 John wrote an essay and Paul did as well In that connection we should also mention the question words who what where why and so on and the deictics thi s thus so and so on which also are phrasal who and what are DPs why and where are PPs The Global Structure of Sentences We shall now come to an important fact Sentence Structure 11 Universal The start symbol is CP Constituents that are CPs are often called clauses Sentences have a global struc ture In English it looks like this 204 XP C0 YP T0 VP This means the following The leftmost element is the speci er of CP Then fol lows the complementizer C0 and then the complement of the complementizer It in turn has the following structure First comes the speci er of Tense Then the T0 and then the VP We will see later why we need all these parts in the sentence The largest CP which contains the entire sentence is called the matrix clause Notes on this section Since PPs are adjuncts they can be repeated any number of times But the PPs that are selected by the verb cannot be repeated 205 The sailors accused the captain of treason of cruelty 108 Lecture 9 Syntax II The feature system of this section allows for arbitrary repetition however This can be prevented What is really needed is a feature system that adds the require ments for each occurring object and then checks them against those of the verb I shall not work out the details here as they are not revealing and not pretty either This ultimately leads to a system called Generalised Phrase Structure Gram mar GPSG proposed in Gazdar et 11 1985 which later developed into Head Driven Phrase Structure Grammar HPSG see Pollard and Sag 1994 Syntax 111 Local Dependencies and Constraints Se lection Agreement and Case Marking The organisation of phrases is as much a matter of placement as a matter of morphological marking When a head for example a verb wants an argument it also determines some of its morphological fea tures Selection is the fact that it wants and argument case is the fea ture that identi es a phrase as a particular argument of the head And nally agreement is something that both head and argument share Grammatical Features Nouns come in two varieties there are singular and plural nouns Singular and plural are called numbers We have already mentioned a few ways in which the singular and plural of nouns are formed For syntax the diITerent ways of forming the plural are not relevant only the fact whether a noun is singular or plural is relevant A way to represent the number of a noun is by adding an attribute NUM with values sing and pl in other languages there will be more So we have that the syntactic representation of mouse and mice is CAT N CAT N 206 mouse PROJZO mice PROJZO NUMzsing NUszl This we rephrase by using the following rules CAT N 207 PROJZO NUM sing gt mouse CAT N PRO 0 NUM pl 208 gt mice An alternative notation which is used elsewhere and should now be self expla natory is DPsing and DPpl The attribute NUM is omitted because sing and pl are only values of that attribute not of any other We shall use this type of notation without further warning It is to be thought of as abbreviatory only 110 Lecture 10 Syntax III Also noun phrases in English like nouns can be both singular and plural Whether or not an NP is singular or plural can be seen by looking at the head noun 209 fearful warrior singular 210 fearful warriors plural 211 brother of the shopkeeper singular 212 brothers of the shopkeeper plural In the rst example the head noun is warrior in the second it is warriors This indicates that in the rst example the NP is singular and plural in the second Thus the number feature is passed up so to speak to the phrase from the head Notice that the determiner is diITerent depending on whether the NP is singular or plural 213 this fearful warrior 214 the se fearful warrior 215 this fearful warriors 216 these fearful warriors We say that like nouns determiners have a singular and a plural form and that the determiner agrees with the NP complement in number This will be put into the rules as follows The letter a may be instantiated to any legitimate value in this case sing or pl Notice that within a single rule each occurrence of a must be replaced by the same value However whether or not the letter a also occurs in another rule is of no signi cance CAT D CAT D gt PROJZO PROle NUMza NUMza PRO 2 NUM a 217 CAT N 1 CAT D 218 PROJZO NUMzsing l CAT D gtthisthea 219 PROJZ 0 NUM pl gtthesethe Here is the empty string It is needed for inde nite plurals the plural of a car is cars Lecture 10 Syntax III 111 The choice of the determiner controls a feature of DPs that is sometimes syn tactically relevant de niteness DPs are said to be de nite if roughly speaking they refer to a speci c entity given by the context or if they are uniquely described by the DP itself Otherwise they are called inde nite The determiner of de nite DPs is for example thi s that and the The determiner of inde nite DPs is for example a in the singular some in singular and plural and Q in the plural In other languages nouns have more features that are syntactically relevant The most common ones are case and gender Latin for example has three gen ders called masculine feminine and neuter In English the three genders have survived in the singular 3rd person pronouns he she i t The Latin noun homo man is masculine 1una moon is feminine and mare sea is neuter The adjectives have different forms in each case notice that the adjective likes to follow the noun but it does not have to in Latin 220 homo ruber red man 221 luna rubra red moon 222 mare rubrum red sea Nouns have many different declension classes morphology deals with them syn tax does not and there are rules of thumb as to what declension class nouns have which gender but they can fail Nouns ending in a are generally feminine but there are exceptions nauta the seafarer agricola the farmer are mascu line Similarly adjectives have many declension paradigms so the forms can vary But for each adjective there are forms to go with a masculine noun forms to go with a feminine noun and forms to go with a neuter noun We therefore say that the adjective agrees in gender with the noun It is implemented by installing a new attribute GENDER whose values are masculine feminine and neuter English is said not to have any forms of gender agreement Moreover English gender is said to be semantic that is based on what a noun denotes To know whether you should use he she or it you have to ask yourself whether the referent is male female or neither The case where sex is unknown or is not to be revealed by the speaker is another case and it is different from the case whether the sex is known or in fact the notion of sex does not apply for example in the case of cars In some variants of English for example they is used to avoid communicating the sex as opposed to i t when the notion does not apply The semantics of gender is not fully congruent with sex ships and other vessels are an exception in that you must use she to refer to them even though they have no sex This does not mean though that gender is not semantic it means 112 Lecture 10 Syntax III that its meaning is not fully determined by sex A different case is presented by German where gender is demonstrably not fully semantic All diminutives are neuter regardless of what they refer to In referring to a small man for example you can either say der kleine Mann the mascnomsg small man or das Mannchen the neutsgnom man dimin Latin nouns also have different cases There are ve cases in Latin nomi native for subjects accusative for direct objects dative genitive and ablative Just as verbs select PPs with a particular preposition in English they can also se lect a DP with a particular case If it is accusative the verb is transitive but it can be dative p1acereDPdat to please someone ablative fruiDPabl to enjoy something and genitive meminisseDPgen to remember some onesomething There exist verbs that take several DPs with various cases For example i nferre to in ict with perfect intuli wants both a direct object and a dative DP 223 Caesar Galli s bellum intulit Caesar Gauls dat war acc in ictupon perf Caeser in icted war on the Gauls This is just like English inf li ct that wants a direct object and a PPon For us a grammatical feature is anything that de nes a syntactic category You may think of it as the syntactic analogue of a phonemic feature However beware that elsewhere the usage is a little different Grammatical category and projection level are typically discarded so that grammatical feature refers more to the kinds of things we have introduced in this section above number gender de niteness and case A fth one is person This list is not exhaustive The position of subject can be lled with DPs like the mouse a car but also by so called pronouns Pronouns are distinct from nouns in that they express little more than that they stand in for a DP However they have many different forms depending on the grammatical feature In addition they show a distinction in person Across languages there is a pretty universal system of three persons 1st 2nd and 3rd First person means includes speaker Second person means includes hearer and third person means includes neither speaker nor hearer So I is rst person it includes me and no one else it is also singular because it refers to just one thing The plural we is used when one refers to several people including speaker By contrast you is used for individuals or groups Lecture 10 Syntax III 113 including the hearer there is no distinction between singular and plural The third person pronouns distinguish also gender in the singular he she it but not in the plural they Moreover as we explained above pronouns distinguish nominative from accusative Thus there are more morphological distinctions in the pronominal system in English than there is in the ordinary DPs More on Case Cases have many different functions One function is to indicate the nature of the argument A verb has a subject and the case of the subject is referred to as nominative The direct object has a case that is referred to as accusative Some people believe that English has cases because pronouns still re ect a distinction between subject and object she her he him and so on On the other hand this is con ned to the pronouns and nouns show no distinction in case whatsoever This is why we say that English has no case Strictly speaking it means only that there is no distinction in case One might say there is one case and only one This is useful For example there is a famous principle of syntactic theory which states that nouns need case If there is no case this principle fails Chinese is another example of a language that has no cases These languages make no distinction between subject and object in form nevertheless one can tell the difference the subject precedes the verb and the object follows it both in English and in Chinese Verbs can have more than two arguments and many more adjuncts To dis tinguish between them some kind of marking is needed In English this is done by means of prepositions For example there often is an argument towards which the action is directed or for which it is performed the goal and it is given by a PP opened by to 2 PPto for example talk to someone The goal is also called indirect object Latin has a case for this the dative There is from a global viewpoint not much of a difference whether the goal is encoded by a case or by a PP Languages can choose which way to go Another important case is the genitive It marks possession English has basically two ways to mark possession apart from obvious ones like which belongs to One is the so called AngloSaxon genitive formed by adding an 5 my neighbour 5 car The other is a PP opened by of the car of my neighbour The genitive is used a lot in English Nouns that have ar 114 Lecture 10 Syntax III guments that are not PPs put them in the genitive 224 the election of the chancellor 225 the peak of the mountain 226 Napoleon s destruction of the city Notice that two of these nouns have been obtained from transitive verbs The rule in English is that the noun can take any of the arguments that the verb used to take though they are now optional However the subject and the object must now appear in the genitive The PPs on the other hand are taken over as is For example de stroy is transitive so the noun de struction can take two genitives one for the subject and one for the object The verb talk takes a subject an indirect object and subject matter expressed by a PP headed by about The latter two are inherited as is by the noun talk while the subject is put in the genitive Alternatively it can be expressed by a PPby 227 John talked to his boss about the recent layoffs 228 John s talk to his boss about the recent layoffs 229 talk by John to his boss about the recent layoffs SubjectVerb Agreement English displays a phenomenon called subjectverb agreement This means that the form of the verb depends on the grammatical features of the subject The agreement system is very rudimentary the only contrast that exists is that between singular 3rd and the rest 230 She runs 231 They run Notice that since the verb does agree in person with the subject it has to make a choice for DPs that are not pronominal It turns out that the choice it makes is that ordinary DPs trigger 3rd agreement 232 The sai lor runs This applies even when the DP actually refers to the speaker So agreement in person is at least in English not only a matter of what is actually talked about but it is also a syntactic phenomenon There are rules which have to be learned Lecture 10 Syntax III 115 Other languages have more elaborate agreement systems Let us look at Hun garian The verbal root is 1 t to see 233 En l tok Mi l tunk I see We see Te l tsz Ti l tatok Yousg see Youpl see 0 l t Ok l tuk Hesheit sees They see Hungarian has no distinction whatsoever in gender not even in the pronominal system 6 must be rendered by he or she or it depending on what is talked about However it does distinguish whether the direct object is de nite or not Look at this translation is actually word by word 234 En l tok egy madarat I see a bird 235 En l tom a madarat I see the bird The subject is the same in both sentences but the object is inde nite in the rst a bird and de nite in the second the bird When the object is inde nite the form 1 tok is used to be glossed roughly as I see while if the object is de nite then the form 1 tom is used to be glossed I see it Hungarian additionally has a form to be used when subject is rst person singular and the direct object is 2nd person 236 En l tlak I see sublsgob2sg The dot is used to say that the form 1ak is a single morpheme expressing to syntactic agreement facts Who Agrees with Whom in What Agreement is pervasive in some languages and absent in others Chinese has no agreement whatsoever English has next to none The most common type of agree ment is that of verbs with their subjects Some languages even have the verb agree 116 Lecture 10 Syntax III with the direct object Hungarian Mordvin a language spoken in Russia related to Hungarian Potawatomi an American Indian language Other languages have the verb agree in addition with the indirect object Georgian Agreement is typically in person and number but often also in gender Above we have seen that de niteness can also come into the picture Adjectives sometimes agree with the nouns they modify Latin German Finnish sometimes not Hungarian There is no general pattern here This is one of the things that one has to accept as it is Obligatoriness Morphology is obligatory A noun has a case in a language with cases it has a number in a language with numbers and so on This creates a certain predicament about which I have spoken earlier in connection with gender Let me here discuss it in connection with number The intuitive approach is this An English noun is either singular or plural If it is singular it means one of a kind and if it is plural it means several of a kind So car means one car and cars means several cars But this immediately raises questions D Are there remaining cases to be dealt with 2 What is the notion of number does not apply What if the speaker cannot or does not want to communicate the number of things involved I deal with these questions in turn D The most obvious case that we left out is zero of a kind but others also come to mind such as fractions and negative numbers 2 Mass nouns water iron which we shall discuss later have no obvious plural since we cannot count what they refer to The most evident situation is a question but there are many circumstances in which we do not know how many such as if there crime and we talk about the people who did it In all of these cases the language comes up with more or less explicit recipes as to how to solve the problem These xes are to some degree arbitrary Consider Lecture 10 Syntax III 117 the rst point 237 They gave me a quarter point for my answer 238 They gave me 025 points for my answer 239 They gave me 1 14 points for my answer 240 They gave me 125 points for my answer What we see is that decimals expansions are treated differently from fractions less semantically When you ask for the identity of some person you often do not know how many there are In English you do not have to commit yourself you use who However even though the number is unknown who itself triggers singular agree ment in the verb 241 Who drank my coffee In Hungarian there are two question words a singular ki who sg and a plural kik who pl If you use the latter you indicate you expect the answer to be several If you are not using a question the plural sounds less committal than the singular for example 242 commits you just one while 243 does not 242 The murderer of the shopkeeper 243 The murderers of the shopkeeper The important lesson to learn is that all categorisations leak There simply is no overarching system to classify everything Consequently languages must imple ment a few strategies of dealing with the unknown cases Feature Percolation When we look at the distribution of number in English we nd that we get the following rules 244 DPNUM a gt YP D39NUM a 245 DPNUM a gt YP DPNUM a 246 DPNUM a gt DPNUM a YP 118 Lecture 10 Syntax III 247 D39NUM a gt DNUM a YPNUM a 248 D39NUM a gt DNUM a 249 D39NUM a gt YP D39NUM a 250 D39NUM a gt D39NUM a YP This is the same also for the projection of N and V There is in general no con nection between the features on the YP and that of the D with one exception the determiner passes the number feature on to the NP complement It is the same also with gender features and with case Might this therefore be a general feature of the X bar syntax To answer the question let me rst draw attention to a case that is not of the form Recall the rules 169 and 170 What we did not establish then was the identity of the V with respect to its transitivity We use the following diagnostic in a coordination only constituents which have the same features can be coordi nated If this is so then the following sentence would be ungrammatical if we called kicked the ball as a transitive V 251 John kicked the ball and fell The solution is to class both as intransitive V Thus the rules are as follows CAT V CAT V 25 2 PROJZ l gt PRO 0 TRS TRS CAT V CAT V CAT 39D 253 PROle gt PROJZO 39 PROJZ2 TRS TRS 2 The full story is to distinguish two kinds of features selectional features like TRS and PREP and agreement features Selectional features are not passed from head to phrase while agreement features are It is to be noted though that coordination does not follow X bar syntax we have discussed the schema above Furthermore agreement features are exempt from the identity requirement in coordination 254 John and Mary danced 255 William and the firemen saluted the governor Syntax IV Movement and NonLocal Dependencies Even though there is a way to account for the syntax of questions in terms of context free rules by far the most ef cient analysis is in terms of transfomwtions Typically a transformation is the movement of a constituent to some other place in the tree This lecture explores how this works and some of the conditions under which this happens Movement We have learned that in English the transitive verb requires its direct object im mediately to its right This rule has a number of exceptions The rst sentence below 256 displays a construction known as topicalisation the second 257 is a simple question using a question word 256 Air pilots Harry admires 257 Which country have you visited We could of course give up the idea that the direct object is to the right of the verb It would be possible to argue for topicalisation that the sentence has the structure Object Subject Verb But the facts are quite complex especially when we turn to questions For example no matter what kind of constituent the question word replaces subject object indirect object and so on it is at the rst place even if it is not the subject 258 Alice has visited Madrid in spring to learn Spanish 259 What has Alice visited in spring to learn Spanish 260 Who has visited Madrid in spring to learn Spanish 261 When has Alice visited Madrid to learn Spanish 262 Why has Alice visited Madrid in spring We see that the sentences involving question words differ from 258 in that the question word is in rst place and the verb in second place There is a way to arrive at a question in the following way First insert the question word where it ought to belong according to our previous rules Next take it out and put it in rst 120 Lecture 11 Syntax IV position Now move the auxiliary has into second place We can represent this as follows marking removed elements in red and newly arrived ones in blue 263 Alice has visited what in spring to learn Spanish 264 What Alice has visited what in spring to learn Spanish 265 What has Alice has visited what to learn Spanish A more standard notation is this 266 Alice has visited what in spring to learn Spanish 267 What Alice has visited in spring to learn Spanish 268 What has Alice visited to learn Spanish The underscore just helps you to see where the word came from It is typically neither visible nor audible The rst notation is more explicit in showing you which element came from where assuming they are all different However nei ther notation reveals the order in which the movements have applied It turns out though that this is irrelevant anyhow The tree structures do not reveal much about the derivation of a sentence either and that is mostly considered irrelevant detail anyway The good side about this proposal is that it is actually simple However we need to be clear about what exactly we are doing For it seems that what we do is derive one surface sentence of English from another surface sentence of En glish This was in fact the way transformations were originally thought of Here however we pursue a different conception namely that every surface sentence of English is derived in a two stage process First we generate a structure in which every head projects its phrase satisfying its requirements such as verbs projecting a VP consisting of a subject and if transitive an object and the necessary PPs After that is taken care of we shall apply a few transformations to the structure to derive the actual surface string This is what we have done with phonological representations too First we have generated deep representations and then we have changed them according to certain rules Thus we say that the context free grammar generates deep syntactic representations but that the rules just consid ered operate on them to give a nal output the surface syntactic representation The rules are also referred to as syntactic transformations Lecture 11 Syntax IV 121 WhMovement Let us investigate the properties of the so called WhMovement This is the trans formation which is responsible to put the question word in front of the sentence Question words are also referred to as whwords since they all start with wh who what where why etc At rst blush one would think that syntac tic transformations operate on strings but this is not so Suppose the original sentence was not 258 but 269 Alice has visited which famous city in Mexico to wait for her visa Then the output we expect on this account is 270 But it is ungrammatical Instead only 271 is grammatical 270 Which has Alice visited famous city in Mexico to wait for her visa 271 Which famous city in Mexico has Alice visited to wait for her visa It is the entire DP that contains the question word that goes along with it There is no way to de ne that on the basis of the string instead it is de ned on the basis of the tree To see how let us note that the sentence 258 has the following structure Some brackets have been omitted to enhance legibility 272 Alice has visited which famous city in Mexicoto wait for her visa Now whi ch famous city in Mexico is a constituent it passes for example the tests D 7 QB Moreover it is the object of the verb visited The word whi ch is a determiner and the smallest phrase that contains it is the one that has to move WhMovement 1 Preliminary Only phrases can be moved by Wh Movement What moves is the least phrase containing a given wh word It moves to the beginning of a clause 2 CP 122 Lecture 11 Syntax IV This speci cation is imprecise at various points First what happens if there are several wh words In English only one of them moves and the others stay in place the choice of the one to move is a bit delicate so we shall not deal with that ques tion here In other languages Rumanian Bulgarian Hungarian are examples all of them move Second what happens if the wh word nds itself inside a sentence that is inside another sentence Let us take a look 273 Mary thinks you ought to see what city deep structure Here the wh phrase moves to end of the higher sentence and notice that some thing strange happens to the verb too 274 What city does Mary think you ought to see However some verbs dislike being passed over In that case the wh phrase ducks under it goes to the left end of the lower sentence 275 What city does Mary wonder you have seen 276 Mary wonders what city you have seen So let us add another quali cation WhMovement II Preliminary The wh phrase moves to the beginning of the leftmost phrase possi ble We shall see further below that this is not a good way of putting things since it refers to linear order and not to hierarchical structure Verb Second Wh movement is a movement of phrases In addition to this there is also move ment of zero level projections or heads It is therefore called head movement A particular example is verb movement Many languages display a phenomenon called Verb Second or V2 German is among them Unlike English the verb is Lecture 11 Syntax IV 123 not always in second place Here is a pair of sentences with word to word trans lation 277 Hans geht in die Oper Hans goes into the opera 278 Der Lehrer ist erfreut weil Hans in die Oper geht the teacher is pleased because Hans into the opera goes The main verb is g eht goes In the rst example it is in second place in the second example it is at the end of the sentence Notice that in the second example there is a CP which is opened by wei 1 because It is called subordinate because it does not display the same kind of order as a typical clause Now one may suspect that the verb simply occupies a different place in subordinate clauses However if we look at an auxiliary plus a main verb matters start to become more complex 279 Hans will in die Oper gehen Hans wants into the opera go 280 Der Lehrer ist erfreut weil Hans in die Oper gehen will the teacher is pleased because Hans into the opera go wants Only the auxiliary wi 11 is found in the second place in the main clause More facts can be adduced to show the following The verb is at the end of the clause in deep structure In a subordinate clause it stays there Otherwise it moves to second position Now what exactly is second position It cannot be the second word in the sentence In the next example it is the fth word the dot in the transcription shows that im is translated by two words in and the 281 Der Frosch im Teich ist kein Prinz the frog inthe pond is no prince Obviously it is not the second word it is the second constituent of the sentence Once again we nd that the operation of movement is not described in terms of strings but in terms of the structure English has a phenomenon similar to this Notice that I said the subject is in the speci er of VP That works ne for a simple tense but creates word order 124 Lecture 11 Syntax IV problems for complex tenses For we would like to posit that will is a tense head so here is one of the words that go into T0 If that is so the basic structure is this 282 63 Will John see AliceV VPT TPC CP This gives us the following base order 283 will John see Alice This time it is the subject however that moves to speci er of TP so that we get 284 John will see AliceVpT TpC Cp This is now extended to all kinds of clauses as follows We propose that T0 con sists of tense and subject agreement How can this be In the future tense we say for example will see while in the present tense we say sees Blurring the distinction between syntax and morphology we segment see 5 into see and s the latter the exact equivalent of will We propose therefore that will as well as s are T0 heads Thus by analogy the original present tense sentence is this 285 HQ 5 301m see AliceV VPT TPC CP Thus we discover another reason for movement morphological integrity The agreement morpheme 5 cannot survive by itself and the verb moves up to attach to it 286 seeS 301m AliceV VPT TPC CP We shall concern ourselves with the exact structure of sees Thus we propose that across the board the V0 is void of any tense and in ectional feature while the future tense and negation require a separate T0 in the overt sentence present tense and past tense only have one word For example since saw is the past tense of see we analyse it as seePAST3Sg The sequence PAST3Sg is hosted in T0 and the root see moves up to compose with it 287 PAST3Sg John see MaryVpTrTp 288 seePAST3Sg John MaryVpTTp 289 John seePAST3Sg MaryVpTrTp Lecture 11 Syntax IV 125 There are various other reasons why this is a good analysis having to do with placement of negation and adverbs On the other hand it raises questions about the compatibility of categories for we require that after movement the categorial structure is still in accordance with X bar syntax so V must still project a VP not a CF I spell this principle out in full Categorial Transparency The structure obtained after movement must conform to X bar syntax Since the movement of the verb into T0 does not change any projections it is just movement of a constituent we will retain a T node and so the head of this phrase must still be a T There is a x for this problem which I shall discuss below but it is not part of this lecture Notice that that the T0 contains material in it Moreover when the verb moves it does not replace the material but rather adds itself on the left of it The resulting string is therefore still of the same category We shall at the details of this later The dance now continues When a question is formed not only does the ques tion word or the phrase containing it move to rst position also the auxiliary does move next to it For rather than just getting 291 by moving what we get 292 which results in a second movement of the auxiliary have 290 you will see WhatVpTpC Cp 291 what Q you will see VPTPC CP 292 what willQ you see VPTPC CP The evidence is clear on the basis of what we have said so far that the tense head will must also move If it does we need to supply a reason as we did for the movement of the verb to To It is believed that the empty element in C0 actually is a question morpheme call it Q The derivation therefore looks more like this 293 Q you will see WhatVPTPC CP 294 What Q You Will see VPTPC CP 295 what willQ you see VpTpC Cp In relative clauses however this movement does not happen Calling the head of a relative clause RC this is the structure 296 the man RC you will see Wh0VpTpC Cp 297 the man who RC you will see VPTPC CP 126 Lecture 11 Syntax IV We can say that the diITerence between Q and RC is that although both are empty only RC can be on its own while Q wants to attach to a host and so triggers movement How Movement Works We have already seen that movement must respect X bar syntax Whatever the end result it must conform again to X bar syntax We have to begin with an important de nition Recall that a tree is a pair T lt where T is a set the set of nodes and lt the relation is properly dominated by I use is dominated by synonymously with is properly dominated by This relation is never re exive no node dominates itself x and y are said to be comparable if x y or x lt y or x gt 2 Thus x can be found from y by either following the lines upwards or following them downwards De nition 12 let T lt be a tree and x y e T be nodes x ccommands y if and only if x and y are not comparable and the mother of x dominates y This can be phrased diITerently as follows x c commands y if x is sister to z and y is below z or identical to it Thus c command is with any sister and its heirs Recall the tree from Lecture 8 repeated here as Figure 5 Here is a complete list of which nodes c command which other nodes c commands 298 The relation of c command is inherited by the strings that correspond to the nodes For example thi s villa c commands costs a fortune and its subcon stituents Lecture 11 Syntax IV 127 this villa costs 3 a fortune Figure 5 A Syntactic Tree Now movement is such that the constituent that is being moved is moved to a place that i is empty and ii c commands its original place To make this proposal work we assume that instead of lexical items we can also nd below a terminal node Trees 6 and 7 describe a single movement step for the movement that is otherwise denoted using strings by 299 Simon likes which cat 300 Which cat Simon likes We have also added the labellings The constituent consisting of whi ch cat which contains the node dominating these words plus everything below it is moved into a c commanding position It can go there only if the node is absent Thus movement creates its own constituent but it must to so in agreement with X bar syntax In place of the earlier constituent a node dominating is left behind We shall say a little more about this element in the next lecture For the whole story to go through it is assumed that the X bar grammar pro duces a number of choices for positions that can be used for elements to move into You do not move into nodes that are already there One such node is typically the speci er of CP The positions that an element moves into must also match in label category For example the CO position which we have not shown above is also often empty but a phrase cannot go there otherwise the labels do not match It 128 Lecture 11 Syntax IV which cat Figure 6 Before Movement Step 0 Lecture 11 Syntax IV 129 CP which cat Figure 7 After Movement Step 1 130 Lecture 11 Syntax IV is believed that the verb moves there in the relevant examples from 258 You can check that X bar syntax places no restriction on the category of the speci er except that it must be a phrase Thus wh phrases can go there The solution has an advantage worth mentioning CP has only one speci er and therefore only one of the wh phrases can go there The others have to stay in place Now why do we also need the condition of c command To answer this one should realise that without restrictions the moving constituent may be put into any position that is free For example take this deep structure 301 which salesperson wonders should he promote which product The surface structure is 302 Which salesperson wonders which product he should promote There are two speci ers of CP 303 Cpprhich salesperson wonders CpTPT should Vphe promote which product Many possibilities are open now including a movement of the phrase which salesperson downwards to the right of wonders 304 Wonders which salesperson he should promote which product As we have said if the CP is lled by one wh phrase the other stays in place so this should be grammatical But it is not And the reason for that is that movement has to be upwards and into c commanding position Other possibilities mentioned above that still need to be excluded is that the lower wh phrase moves to the higher speci er and do insertion 305 whi ch product does which salesperson wonder he should promote To exlucde this we require rst that every wh phrase can only move to the next CP If it is unavailable the wh phrase stays in place Second we shall say that wonders blocks the movement of the wh phrase Lecture 11 Syntax IV 131 For Addictsz Head Movement I shall brie y discuss the problem of the movement of the verb to T0 and that of the auxiliary to Co We have said that the moving head combines with the already existing head in the structure But how can we make this compatible with X bar syntax First of all by the facts we need to assume that see 5 which is the same as sees actually is again a T0 On the other hand see is a V0 and s is a T0 Thus we seems to have this structure 306 seeVo SToTo This is exactly what we shall propose We shall supplement our X bar with one more rule which covers the above case Namely we shall allow adjunction also to zero level projections however adjunction is only on the left and only zero level projections can adjoin The result is again a zero level projection since this is adjunction 307 X0 gtY x0 Additionally we require that when a head is moved it must move to the next c commanding head and adjoin there Adjunction is a movement that splits up a single node of category X into two nodes with category X the upper one having the moved constituent and the lower X node as its daughters It is clear that the rule 307 makes adjunction to heads an option Let us perform this step with Figure 7 Notice that we should now consider that all heads in the initial structure are lled by either some lexical material or by a phonetically empty head as we have effectively required This then gives the structure in Figure 8 In order for everything to fall into place we now need to adjust our notion of c command We shall say that a within a structure Y0 X0Xo all heads have the same c command domain which is the one of the enture constituent The derivation is complete after we have moved the subject to spec of TP Notes on this section It should be clear that a proper formulation of such an initially simple idea as moving a wh phrase to the front of a sentence needs a lot of attention to detail And this is not only because the facts are unpredictable It is also because what looks like a simple proposal can become quite complex once we start looking harder This applies for example to programming where we starts out as a simple program can become quite long because we need to make sure it works properly in all cases 132 Lecture 11 Syntax IV Figure 8 After Head Movement Step 2 Lecture 11 Syntax IV 133 CP which cat Figure 9 After Movement of Subject Step 3 Syntax V Binding Pronouns do not only refer to a particular person or thing they often refer to some constituent This provides coherence to a text Binding theory is about the interpretation of pronouns as well as the way in which they can be linked to other parths of the sentence Key concepts are Principles A B and C in addition to ccommand and binding Pronouns In this chapter we shall look at a phenomenon that is most intimately connected with c command namely binding Binding is as we shall see as much of a semantic phenomenon as a syntactic one but we shall ignore its semantic as pects as much as we can What is at issue is that there are several different kinds of DPs ordinary DPs names and pronouns Pronouns can be either re exive like myself yourself etc or not Uhe she etc In addition there are also reciprocals each other In generative grammar the term anaphor is used to refer to both reciprocals and re exives but this is not the usage elsewhere where an anaphor is an expression that refers to something that another expres sion already refers to and therefore also nonre exive pronouns generally counts as anaphors In English the re exive pronouns exist only in the accusative There is no hi sself for example The pronoun her can both be genitive and accusative so herself is not a good text case On the other hand it is ourselves and not usselves English has not been complelety consistent in arranging its case system There additionally are demonstratives Uthi s that relative pronouns who what whi ch which are used to open a relative clause 308 I could not find the CD which you told me about 309 There is a new film in which no one ever talks The enclosed constituents are called relative clauses They are used to modify nouns for example In that they are like adjectives but they follow the noun in English rather than preceding it 310 I could not find the which you told me about CDs 311 There is a new in which no one ever talks film Lecture 12 Syntax V 135 The relative clause is opened by a relative pronoun which together with the preposition that takes the pronoun as its complement One should strictly distin guish the relative pronoun from the complementiser that as found in sentential complements beli eve that The complementiser occupies a diITerent posi tion C0 Some relative clauses can be opened by that 312 I could not find the CD that you told me about This use of that seems to be a hybrid between the complementiser and a rela tive pronoun recall that that is also a demonstrative And syntacticians are divided on the question whether to call it a relative pronoun or a complemen tiser in this usage The relative pronoun for example can move together with its preposition the film in which I played piano but you cannot say the film in that I played piano instead you have to say the film that I played piano in Typically a relative clause either has a relative pronoun or a complementiser this has become an iron rule of generative gram mar quotDoubly lled COMP lter But facts are diITerent Some dialects of German give us evidence that the relative pronoun and the complementiser really can cooccur In Suebian wo is used as a complementiser for relative clauses accompanied by a relative pronoun 313 die Leit die wo beim Daimler schaffet the people who that atthe Daimler work the people who work at the Daimler Benz factory As with questions we like to think of the relative clauses as being derived from a structure in which the relative pronoun is in the place where the verb expects it 314 the CD Q you told me about which 315 a new film Q no one ever talks in which The position of speci er of CP is vacant and the relative pronoun wants to move there The position of C is also empty but we like to think that there is a silent C that sits there Anyway phrases can never go there Sometimes the relative pronoun goes alone being a DP hence a phrase it can do that sometimes it drags the P along The latter is known as PiedPiping from the fairy tale of the piper who promised the city to get rid of the rats DiITerent languages have diITerent systems Latin does not distinguish re ex ive and irre exive pronouns in the 1st and 2nd person It has however two 3rd 136 Lecture 12 Syntax V pronouns i s he and se himself The re exive exists in all cases but the nominative It is the same both in the singular and the plural nom gen sui 316 dat sibi acc se abl se There is another set of pronouns called possessive They are used to denote pos session They are just like adjectives For example 317 equus suus horse nom his nom 31 8 equum suum horse acc his acc Binding These diITerent kinds of expressions each have their distinct behaviour Look at the following three sentences 319 John votes for John in the election 320 John votes for himself in the election 321 John votes for him in the election There is an understanding that the two occurrences of the word John in 319 point to two diITerent people If they do not we have to use 320 instead More over if we use 320 there is no hesitation as to the fact that there is an individual named John which casts a vote for the same individual also named John If we use 321 nally we simply cannot mean the same person J ohn by the word him John cannot be self voting in 321 he votes for someone else There are several ways one may try to understand the distribution of full DPs pronouns and re exives First of all however let us notice that a re exive pronoun expects the thing it refers to be the same as something else in the sentence The expression that denotes this is called the antecedent of the pronoun In 320 for Lecture 12 Syntax V 137 example the antecedent of himself is J ohn To express that some constituent refers to the same object we give them little numbers called indices like this 322 Johnl votes for Johnl in the election 323 Johnl votes for himselfl in the election 324 Johnl votes for him in the election We have already assigned grammaticality judgments Needless to say any other number say 112 7 56 or 34 would have done equally well so that as far as syntax is concerned 322 is the same as 325 John34 votes for John34 in the election In the books you often nd letters 139 j and k in place of concrete numbers but this not a good idea since it suggests that plain numbers are not abstract enough But they in fact are In 319 the two occurrences of John are supposed to point to the same individual If they are supposed to point to different individuals we write different numbers 326 Johnl votes for Johnz in the election The numbers are devices to tell us whether some constituent names the same in dividual as some other constituent or whether it names a different one Pronouns seem to encourage a difference between subject and object in 320 and similarly with names 321 However things are tricky In 327 the pronoun hi s can be taken to refer not only to someone different from John but also to John himself And similarly in 328 Just an aside the re exives cannot be used in genitive they only have accusative forms This may be the reason why we do not nd them here but the theory we are going to outline here tries a different line of argumentation 327 His lack of knowledge worried John 328 He looks at himself in the mirror So it is not really the case that when we have a pronoun that it must be used to talk about a different person than the others in the sentence 2 that it must have a different index The conditions that regulate the distribution of these expressions are at fol lows First we de ne the notion of binding 138 Lecture 12 Syntax V De nition 13 A constituent X binds another constituent Y if X ccommands Y and X and Y have the some index Binding is an interesting mixture between semantical conditions carrying the same index hence talking about the same individual and purely structural ones c command A note of warning is in order Constituents are strings but we talk here as if they are nodes in a tree This confusion is harmless What we mean to say is this suppose that x and y are nodes and the corresponding constituents are X and Y Then if x c commands y and has the same index then x binds y and X binds Y So X binds Y if there are nodes x and 2 such that x binds y and X is the constituent of x and Y the constituent of 2 Now we are ready to say what the conditions on indexing are Principle A A re exive pronoun must be bound by a constituent of the same CP or DP Principle B A pronoun must not be bound by a constituent inside the same CP Principle C A name must not be bound For example 319 can be used successfully to talk about two individuals named John So the expression alone is not suf cient to rule out a sentence But the rules do tell us sometimes what the possible meanings are To understand the role of c command we need to look at the structure of some sentences The subject c commands the object of the same verb since smallest constituent containing the subject is the VP which also contains the object How ever the object does not c command the subject since the smallest constituent containing it is only the V So the following is illegitimate no matter what in dices we assign 329 Himself voted for John The subject also c commands all other arguments This accounts for the correct ness of the following 330 The queen was never quite sure about herself 331 The students were all talking to themselves Lecture 12 Syntax V 139 Notice that the principles not only say that these sentences are ne they also tell us about the assignment of indices They claim that 332 is ne but 333 is not 332 The queen1 was never quite sure about herselfl 333 The queen1 was never quite sure about herselfz This is because the re exive herself must be bound inside the sentence this means there must be some antecedent c commanding it having the same index In 332 it is the queen but in 333 there is no such constituent Thus the overall generalization seems to be good Notice that Principle A says that the binder must be in the same clause Thus the following contrast is explained 334 John thinks that Alice likes herselfcpcp 335 John thinks that Alice likes himselfcpcp In both 334 and 335 the re exive pronoun must be bound inside the lower CP by Principle A However the only binder can be Ali ce and not J ohn and thus 335 is ungrammatical Now we look at pronouns The situation where a pronoun should not be used in the same sentence is when actually a re exive would be appropriate according to Principle A For example the following sentences are ruled out if meant to be talking about the same individuals in the same sentence that is if her refers to the queen and them refers to the students 336 The queen1 was never quite sure about herl 337 The studentsl were all talking to them By the same token if we use numbers we can also write 338 The queen1 was never quite sure about herselfz 339 The studentsl were all talking to themselvesz Here different numbers mean that the expressions are meant to refer to different individuals or groups Principle B talks about binding inside the same CP It does not exclude that a pronoun is bound in a higher CP This is borne out 340 Johnl thinks that Alice3 likes him1cpcp 341 140 Lecture 12 Syntax V Notice that the contrast between a re exive and a nonre exive pronoun only matters when the antecedent is c commanding the pronoun We repeat 327 be low 342 Hislz lack of knowledge worried Johnl Here J ohn is the antecedent We can take the sentence to mean that John is wor ried about his own lack of knowledge or that he is worried about someone else s lack of knowledge In none of the cases would a re exive pronoun be appropriate Let us now change the position of the two 343 Johnl 5 lack of knowledge worried himself1 Here J ohn does not c command the pronoun But the re exive must be bound by something that c commands it inside the clause This can only be J ohn 5 lack of knowledge But if we think that we would have to say itself rather than himself Next why is 344 ne 344 Johnl s lack of knowledge worried him Even though it has the same index as John it is not c commanded hence not bound by it Having the same index nevertheless means that they refer to the same thing John but for syntax binding takes place only if c command holds in addition Hence the next sentence is also ne for syntax 345 Johnl s lack of knowledge worried Johnl Admittedly we would prefer 346 over 345 but it is agreed that this is not a syntactic issue 346 H151 lack of knowledge worried Johnl Movement Again We have argued earlier that an element can move only into a position that c commands the earlier position It seems that binding theory could be used in this situation However in order to use binding theory we need to have an ele ment that is being bound Recall from previous discussions that when an element Lecture 12 Syntax V 141 moves it leaves behind an empty element But why is that so To see this look at movement from out of a subordinate clause 347 Who do you think answered which question 348 Who do you think which question answered In these sentences it is the subject of the subordinate clause which moves to the speci c of CP of the main clause If that was all that happened we would expect that the speci er of the subordinate CP would be empty and so the object which question would have to move into it But this is not the case Thus we conclude that the speci er of the lower CP is not empty It is lled by something that we cannot hear That thing is the element that who left behind when it moved to the higher speci er So the full proposal is this movement of a wh phrase must be rst to the speci er of CP of the same clause After that it is to the speci er of CP of the next higher clause and so on Each time it moves it leaves behind an empty element called a trace The constituent in the new position and the trace will be coindexed Finally we declare that traces are some sort of pronouns and hence must be bound Condition on Traces All traces must be bound If we assume this much it follows that movement must inevitably be into a position that c commands the original position It does something else too It ensures that whatever thing we choose to interpret the moved element by it will be used to interpret the trace 349 Air pilots1 Harry admires t1 The relevant structure of 347 is now as follows 350 Whol do you think t1 answeredz t1 t2 which 01ue StionTPC CPCP The t1 in speci er of CP blocks movement of which question into However since movement there is impossible it is also not required so the sentence is grammatical One may wonder why this is a good theory It postulates empty elements traces so how can we be sure that they exist We do not see them we do not 142 Lecture 12 Syntax V hear them so we might as well assume that they do not exist Furthermore 349 is not the sentence we shall see in print or hear so this actually adds structure that is seemingly super uous Opinions on this diverge What is however agreed is that empty elements are very useful We have used them occasionally to save our neck When nouns get transformed into verbs no change is involved Other languages are not so liberal so it is not the nature of nouns and verbs that allows this It is we assume an empty element which English has and other languages do not which can be attached to nouns to give a verb At another occasion we have smuggled in empty complementizers You will no doubt nd more occasions on which we have made use of empty elements Binding And Agreement Pronouns distinguish not only case and number but also gender in English Cru cially when a pronoun becomes bound it must agree in number and gender with its binder not in case though 351 John voted for himself 352 John voted for herself 353 John voted for themselves 354 The committee members voted for themselves 355 Mary voted for herself The fact that agreement holds between binder and pronoun means that certain indexations are not licit Here is an example 356 Herl lack of knowledge worried Johnl 357 Their disinterest in syntaxl bothered Johnl Also we have said that a pronoun cannot be bound inside the same CP But it can be bound outside of it 358 Johnl told his bossz that hem looked good In the previous example both indices are licit since binding by J ohn or by boss is compatible with agreement However in the following sentence one of Lecture 12 Syntax V 143 the options is gone 359 Johnl told Mary2 that shexlz looked good For if the pronoun is bound by John it must agree with it in gender which it does not So it can only be bound by Mary Morphology II Similarities and Dissimilarities to Syn tax Representational Issues We return to morphology We shall investigate the possible shapes of morphs and then turn to the question in what ways morphology is different from syntax At the end we shall return to the issue of head movement and the structure of complex heads Morphs and Morphemes Before we begin a few words on terminology As I already said in the introduc tion we distinguish between a morph and a morpheme This con icts to some degree with the terminology of De nition 3 I shall not attempt to resolve the con ict here Suf ce it to say that we think in this chapter of morphs and morphemes as units in the same way as phones 2 sounds and morphemes As in phonol ogy and syntax we shall distinguish a deep structure form a surface structure At deep structure we only have morphemes At surface structure we have morphs Morphs of the same morpheme are called allomorphs What unites the morphs of a morpheme is the common syntactic and semantic features An example is the plural morpheme Syntactically it turns a root noun into a plural noun semanti cally it changes from denoting properties to denoting groups of things The plural morpheme takes different shapes in English Among other there are the following ways to form the plural D Add z at the end dog gt dogz 2 Add 3 at the end kxp gt kxps Add az at the end bxs gt bxsaz Change the root vowel from o to 1 woman gt w1man Do not change anything fip gt fip Add U11 oks gt oksan Lecture 13 Morphology II 145 Notice however that we have used the square brackets and not the slashes This means that we have lost part of the abstraction that we gained in deep phonol ogy This means that we listed more types of changes than necessary Namely at the deep phonology the rst three cases CD 7 become one From the standpoint of deep phonology the surface forms z s and oz are just the surface manifes tations of the deep form z Thus althout we factually deal with written form we should remind ourselves of the fact that we have already reached a pretty abstract level of representation Nevertheless even if this is taken into account there remain some other forms that we cannot treat as phonological surface variants any more The change of root vowel the suf x on and the zero su ix belong to this category We therefore get the following revised list 0 Add z at the end dg gt dgz kxp gt kxps bxs gt bxsoz 9 Change the root vowel from o to 1 womon gt w1mon 9 Do not change anything fip gt fip 0 Add Un ks gt kson Now let us do the following The plural morpheme has at least four different morphs The rst is z the second is root vowel change the third is Q the empty morph and the fourth fn Which morph is used in a particular case depends on the noun to which we apply the morpheme At the deep morphology we only see a combination of a noun root with the one plural morpheme At the surface however we see that the root we choose in uences what morph is to be used in the construction Kinds of Morphological Processes In syntax we have said that words or constituents are simply concatenated The only choice is therefore in which order we concatenate them In morphology this is not always so We shall review a few ways in which two morphs can be composed The general term for grammatical morphs is af x Generally an af x to a string 2 is a string 7 that puts itself somewhere in 2 Given the terminology below it is either a pre x a suf x or an in x Some writers use it in a more general 146 Lecture 13 Morphology II sense but we shall not do that Morphs are not always a ixes however A morph need not be a piece 2 string that we add somewhere it may be several pieces trans x circum x or simply a certain kind of change effected on the string in question like vowel change The general term for all of these is morphological change We shall give a few examples of what kinds of morphological changes there are in the languages of the world Su ixes and Pre xes A suf x is a string that is added at the end a pre x is a string that is added at the beginning English has mostly su ixes derivational ones like ation ize ee in ectional ones like s and d But it also has pre xes de re un are pre xes It is generally agreed thatiif we use an analogy with syntax hereithe a ix is the head and that it either expects the string on its right pre x or on its left su ix If there were only su ixes and pre xes morphology would look like syntax Unfortunately this is not the case Circum xes A circum x consists of a part that is being added before the word and another that is added thereafter It is thus a combination of pre x and su ix The German perfect is a circum x It consists in the pre x ge and a suf x which changes from stem to stem usually it is en or t The in nitive is a suf x en as can be seen from the table below In nitive Root Perfect sehen seh gesehen 360 back back gebacken filmen film gefilmt hausen haus gehaust The two parts the pre x and the suf x are historically of different origin the pre x ge did not exist originally and in English you do not have it It present day German however there is no sense in taking the two separate Lecture 13 Morphology II 147 The superlative in Hungarian also is a circum x 361 nagy great legnagyobb greatest feh r white legfeherebb whitest Here as in the German perfect the circum x has two identi able parts The su ix is found also in the comparative nagy great nagyobb greater 362 feh r white feherebb whiter The same situation is found in Rumanian We have frumos beautiful in the positive mai frumos more beautiful in the comparative and ce1 mai frumos most beautiful However whether or not the superlative can be seen as being formed from the comparative by adding a pre x depends on the possi bility to decompose the meaning of the superlative in such a way that it is derived from the meaning of the comparative To my knowledge this has not been pro posed In xes ln xes insert themselves inside the string Look at the following data from Chrau a Vietnamese language 363 v h know van h wise 3 64 c h remember c an h left over The string an is inserted after the rst consonant The string is cut into two pieces and the nominaliser inserts itself right there 365 v h gt v oh gt v an oh gt vanoh Trans xes A trans x is an even more complex entity We give an example from Egyptian Arabic Roots have three consonants for example ktb to write and drs to study Words are formed by adding some material in front pre xation some 148 Lecture 13 Morphology II material after su ixation and some material in between in xation Moreover all these typically happen at the same time Let s look at the following list katab he wrote daras he studied 39i amal he did na al he copied baktib I write badris I study ba39i mil I do ban il I copy iktib write idri s study 366 i39i mil do in il copy kaatib writer daaris studier 39i aamil doer naa il copier maktuub written madruus studied ma39i muu done man uul copied It requires some patience to nd out how the different words have been formed There are variations in the patterns just like in any other language One thing however is already apparent the vowels get changed from one form to the other This explains why the vowel is not thought of as being part of the root Other Kinds of Changes Reduplication is the phenomenon where a string is copied and added For exam ple if abc is a string then its reduplication is abcabc Austronesian lan guages like to use reduplication or sometimes even triplication for various pur poses to form the plural to intensify a verb to derive nouns and so on The following is from Indonesian orang man orang orang child 367 anak man anak anak children a mata eye mata mata spy An example of triplication is provided in Pingelapese 368 koul to sing koukoul singing koukoukoul still singing mejr to sleep mejmejr sleeping mejmejmejr still sleeping Reduplication need not copy the full word For example in Latin some verbs form the perfect in the following way The rst consonant together with the next vowel Lecture 13 Morphology II 149 is duplicated and inserted pendit he hangs pependit he has hung tendit he stretches tetendit he has stretched currit he runs cucurrit he has run spondet he promises spopondit he has promised 3 69 The last example shows that the s is exempt from reduplication The Difference Between Morphology and Syntax There is no way to predict whether some piece of meaning is expressed by a morpheme or by a separate lexeme or both There exist huge differences across languages Some languages pack all kinds of meanings into the verb Inuit Mo hawk some keep everything separate Chinese Most languages are somewhere in between Morphology is more or less important However even within one lan guage itself the means to express something change Adjectives in English have three forms positive normal form comparative form of simple comparison and superlative form of absolute comparison Now look at the way they get formed positive comparative superlative high higher highest 370 fast faster fastest common more common most common good better best bad worse worst The rst set of adjectives take su ixes zero for the positive er for the compar ative and est for the superlative The second set of adjectives take a separate word which is added in front more and most The third set is irregular The adjective good changes the root in the comparative and superlative before adding the suf x bett in the comparative and b in the superlative while bad does not allow an analysis into root and su ix in the comparative and superlative We may de ne a suf x but it will be a one time only su ix since there is no other adjective like bad It therefore makes not much sense to de ne a separate com parative su ix for worse However worst is a debatable case 150 Lecture 13 Morphology II It is not far fetched to subsume the difference between PPs and case marked DPs under this heading Finnish has a case to express movement into a location and a case for movement to a location 371 Jussi menee taloon Jussi goes house into Jussi goes into the house 372 Jussi menee talolle Jussi goes house to Jussi goes to the house When it comes to other conceptsilike under and over iFinnish runs out of cases and starts to use adpositions 373 Jussi menee talon alle Jussi goes house gen under 2 Jussi goes under the house 374 Jussi menee talon yli Jussi goes house gen over 2 Jussi goes over the house Hungarian has a case for being on top of but the situation is quite analogous to Finnish Thus the cutoff point between morphology and syntax is arbitrary However the two may show to behave differently in a given language so that the choice between morphological and syntactical means of expression has further conse quences We have seen for example that the comparative morpheme er is a su ixiso it is added after the word However the comparative lexeme more wants the adjective to its right The latter is attributable to the general structure of English phrases The complement is always to the right Morphemes are exempt from this rule They can be on the other side and generally this is what happens For example verbnoun compounds in English are formed by placing the verb af ter the noun goa1keeper eggwarmer life saver and so on If these were two words we should have keeper goa1 warmer egg and saver life The reason why we do not get that is interesting in itself English used to be a lan guage where the verb follows the object as is the case in German It then changed into a language where the verb is to the left of the object This change affected only the syntax not the morphology French forms compounds the other way around casse noix lit cracker nut nutcracker garde voi e lit guard way 2 gatekeeper This is because when French started to form compounds verbs already preceded their objects Lecture 13 Morphology II 151 The Latin Perfect A Cabinet of Horrors This section shall illustrate that the same meaning can be signaled by very different means sometimes these are added independently To start there is a large group of verbs that form the perfect stem by adding v 3rd person does not signal gender we use he instead of the longer hesheit The ending of the 3rd singular perfect is it The ending in the present is at et or it depending on the verb amat he loves amavi t he has loved 375 delet he destroys delevit he has destroyed audi t he hears audivi t he has heard We also nd a group of verbs that form the perfect by adding u vetit he forbids vetuit he has forbidden 376 habet he has habuit he has had The difference is due to modern spelling The letters u and v were originally not distinct and denoted the same sound namely u which became a bilabial approximant in between vowels The difference is thus accounted for by phonemic rules You are however warned that we do not really know that what is nowadays written u is the same sound as what is now written v this is an inference partly based on the fact that the Roman did use the same letter Probably pronunciation was different however the difference was for all we know not phonemic Other verbs add an s The combination g s is written x regit he reigns rexit he has reigned 3 77 augi t he fosters auxi t he has fostered carpi t he plucks c arp si t he has plucked There are verbs where the last consonant is lost before the s suf x There are verbs where the perfect is signaled by lengthening the vowel length ening was not written in Roman times we add it here for illustration 378 iuvit he helps i vit he has helped lavat he washes l vit he has washed Sometimes this lengthening is induced by a loss of a nasal rumpit he breaks r pit he has broken 379 fundit he pours f dit he has poured 152 Lecture 13 Morphology II Finally there are verbs which signal the perfect by reduplication currit he runs cuccurrit he has run 380 tendit he stretches tetendit he has stretched Now certain verbs use a combination of these The verb frangere to break uses loss of nasal accompanied by vowel lengthening plus ablaut 381 frangit he breaks fr git he has broken The lengthening of the vowel could be attributed to the loss of the nasal in which case it is called compensatory lengthening However the next verb shows that this need not be the case The verb tangere uses a combination of reduplication loss of nasal and ablaut and no lengthening of the vowel 382 tangit he touches tetigit he has touched The root is tang The nasal is dropped yielding tag Reduplication yields tetag actually it should give tatag Finally the vowel changes to give teti g The change of vowel is quite common in the reduplicating verbs since the reduplication takes away the stress from the root We have tangit and tetigit The reason is that the root vowel is actually still short so no compen satory lengthening If it were long we would have to pronounce it te tigit What Syntax Gets To See We have seen above that the comparative of adjectives is sometimes formed by adding a morpheme and sometimes by using a separate word It is unfortunate however that there is such an asymmetry For from a syntactic perspective there is not much of a diITerence between the two It is for this reasoniand othersi that one has sought to expand the scope of syntax downwards into morphology Linguists one used to think of the form thinks as a verb form with some fea tures thus a syntactically indecomposable whole Nowadays however one sees thinks as syntactically complex This brings us back to Lecture 11 Page 131 There we have already said that the reason for head movement was that the verb form thinks is syntactically complex but that its parts are distributed in the Lecture 13 Morphology II 153 sentence in the wrong way Given that the string s wants to be added to the end of a verb and that the verbal root cannot be pronounced as such the solution is to move the verb upwards and form a complex head CVthi nkc 5 Similarly at the deep level all the surface complications of the Latin perfect disappear There is a single morpheme and it is added to the stem The analysis of words as complex heads has proved to be a very fruitful idea With verbs actually hosting quite a number of other morphemes agreement in person in number in gender voice active or passive aspect completed or ongoing activity de niteness to name a few the scope of syntax expanded massively at the expense of morphology Semantics I Basic Remarks on Representation Semantics studies meanings It is intimately connected with logic the study of reasoning To see whether we have the correct meaning it is sometimes illuminating to check whether the purported meaning carries the correct logical consequences So far we have been concerned only with the form of language expressions and not with their meaning Ultimately however language is designed to allow us to communicate to each other how the world is like to make each other do or believe something and so on The part of linguistics that deals mainly with the question of what is meant by saying something is called semantics Meaning is not just some aspect of the form in which expressions are put by the language If I tell you that Paul has pestered at least three squirrels this morning you can conclude that he has pestered at least two squirrels this morning That follows not by virtue of the form the words three and two have but in virtue of what these words mean Likewise if I get told that exactly half of my students do not like syntax and I have 180 students then I conclude that 90 students do not like syntax This reasoning works independently of the language in which the sentences are phrased The same information can be conveyed in English French Swahili and so on The form will of course be much different We introduce some bits of terminology First a statement is a sentence which can be said to be either true or false In distinction to a statement a question is not true or false it is a request for information Likewise a command is a request on the part of the speaker that he wants something done We shall be concerned here exclusively with statements Statements express propositions We think of propositions as existing inde pendently of the language A sentence is a faithful translation of another sentence if both express the same proposition if speaking about statements So the French sentence 383 Marc a vu 1a Tour Eiffel is translated into English by 384 Marc has seen the Eiffel Tower Lecture 14 Semantics I 155 just because they express the same proposition A principal tool of semantics is to study the logical relations that hold between sentences in order to establish their meanings Let us look at the following reasoning Peter gets married 385 Sue gets married Peter and Sue get married This is less than easy For there is a certain subtlety that might easily get over looked Let s change the wording somewhat The following is a more straightfor ward case Peter gets married 386 Sue gets married Peter marries Sue There is a clear sense in which the second reasoning does not go through Suppose Peter marries Joan and Sue marries Alec Then the rst two sentences are true but the conclusion fails Thus 386 does not go through However 385 still seems to be OK And this is because the conclusion is true even in the case that Peter does not marry Sue Though one is likely to read it that way I shall return to that problem below It is the task of semantics to explain this De nition 14 Let A1 An and B be propositions We say that B is a logical consequence of A1 to A if whenever A1 A2 A are true so is B A1 to A are called the premises and B the conclusion We write A1 An I B in this case and A1 An J B otherwise An alternative notation has been used above A1 I A A 387 or A B B We shall use this sometimes with or without This de nition talks about propo sitions not about statements However we still need to use some language to denote the statements that we want to talk about Often enough linguists are con tent in using the statements in place of the proposition that they denote So we 156 Lecture 14 Semantics I write 388 Peter gets marriedSue gets married I Peter and Sue get married Also the following is true 389 Peter marries Sue I Peter gets married But this often is an oversimpli cation It so turns out that sentences do not always express just one proposition they can express various propositions sometimes depending on the context We say that they are ambiguous Look again at the example 3 85 There are two ways to understand 390 Peter and Sue get married One way is to understand it as them getting married to each other another is to understand it expressing that Peter gets married to someone and Sue does Even though the latter interpretation covers the rst one intuitively they are distinct And it is in fact this stronger reading that is the preferred one This explain that some people would actually think that 385 is in fact false since the premisses do not support the stronger but preferred reading where Peter marries Sue Thus judgements on logical conclusion are dif cult to elicit in presence of ambiguity There are other instances where one and the same sentence can have different meanings without being called ambiguous The easiest example is provided by pronouns Suppose I say 391 I love Sachertorte Then the proposition expressed by this sentence is different from the proposition expressed by the same sentence uttered by Arnold Schwarzenegger This is so since I can truly utter 391 at the same time when he can truly deny 391 and vice versa Moreover 391 uttered by me is roughly equivalent to 392 Marcus Kracht loves Sachertorte This of course would not be so if it were an utterance by Arnold Schwarzenegger in which case the utterance expressed the same proposition as 393 Arnold Schwarzenegger loves Sachertorte Lecture 14 Semantics I 157 Another case is the following Often we use a seemingly weaker sentence to express a stronger one For example we say 394 Peter and Sue got married when we want to say that Peter married Sue There is nothing wrong in doing so as 394 is true on that occasion too But in fact what we intended to convey was that Peter married Sue and we expect our interlocutor to understand that Semantics does not deal with the latter problem it does not investigate what we actually intend to say by saying something This is left to pragmatics Some would also relegate the Sachertorte example to pragmatics but that view is not shared by everyone Still even if such things are excluded natural language meanings are not always clear beyond doubt Let s look at the following sentence 395 John is a bright UCLA student Suppose it is agreed that in order to be a UCLA student one has to be particularly bright in comparison to other students Now is 395 saying that John is bright even in comparison to other UCLA students so that he is far brighter than aver age Or does it only say that John is bright as a student and that in addition he is a UCLA student There is no unequivocal answer to this Here is another case 396 Six companies sent three representatives to the trade fare How many representatives got sent Three or eighteen I think the intuitive an swer is 18 but in other sentences intuitions are less clear 397 Six students visited three universities The example 395 may just as well involve in total six students and in total three universities But it may also involve four universities or ve or even 18 397 is formally identical to 396 so why is there a difference It turns out that the difference between 396 and 397 is not due to the partic ular meanings of the expressions Rather it is the way the world normally is that makes us choose one interpretation over another For example we expect that one 158 Lecture 14 Semantics I is employed by just one company So if a company sends out a representative it is by default a representative only of this company and not of another We can imagine things to be otherwise If the companies strike a deal by which they all pool together and send a three employees to represent them all 396 would also be true However our expectations are different and this implies that we think that 396 speaks about in total 18 representatives In 397 on the other hand there is no expectation about the sameness or difference of the universities that the individual students visit Each students visits six universities but it is quite possible that they visit partly or totally the same universities There are two ways of making clear what one wants to say The rst is to use a sentence that is clearer on the point For example the following sentences make clear on the point in question what is meant 398 Six companies sent three representatives each to the trade fare 399 Six companies sent in total three representatives to the trade fare The other option is to use a formal language that has well de ned meanings and into which propositions are rendered It is the latter approach that is more widespread since the nuances in meaning are sometimes very dif cult to express in natural language Often enough a mixture of the two are used In the previ ous section we have used indices to make precise which DPs are taken to refer to the same individual We shall do the same here For example we shall use the following notation 400 run x Here x is a variable which can be lled by an individual say john and it will be true or false So 401 run john is a proposition and it is either true or false This looks like a funny way of saying the same thing but the frequent use of brackets and other symbols will actually do the job of making meanings more precise What it does not do however is explain in detail what it means for example to run It will not help in setting the boundary between walking and running even though semantics has a job to Lecture 14 Semantics I 159 do there as well It is felt though that this part of the job falls into the lexicon and is therefore left to lexicographers while semantics is mostly concerned with explaining how the meanings of complex expressions are made from the meanings of simple expressions Semantics II Compositionality The thesis of compositionality says roughly that what is in the mean ing of a sentence is all in the meaning of its parts and the way they were put together Truth Values The thesis of compositionality says that the meaning of a complex expression is a function of the meaning of its parts and the way they have been put together Thus in order to understand the meaning of a complex expression we should not need to know how exactly it has been phrased as long as the two expressions are synonymous In fact we have made compositionality a design criterion of our representations We said that when two constituents are merged together the meaning of the complex expression is the result of applying a function to the meaning of its parts Rather than study this in its abstract form we shall see how it works in practice We shall use the numbers 0 and 1 for saying whether or not a given sentence is true The numbers 0 and 1 are therefore also called truth values they are also numbers of course 0 represents the false and 1 represents the true A given sentence is either false or true so its truth value is either 0 when it is false or 1 when it is true We imagine that there is a ghost or machine or oracle which tells us for every possible statement whether or not it is true or false In mathematical jargon we call this ghost a function We represent this function by a letter say g g needs a string and returns 1 or 0 instead of yes or no Now g must abide by the conventions of the language For example a sentence of the form S and T is true if and only if both S and T are true So 402 gS and T 1 if and only if gS 1 and gT 1 This can be rephrased as follows We introduce a symbol 0 which has exactly the following meaning It is an operation which needs two truth values and returns a truth value Its table is the following 0 403 0 1 000 l 0 l Lecture 15 Semantics II 161 Now we can write 404 gS and T gS gT This suggests that we take the meaning of and to be exactly 0 so that one may wonder what it is I am saying here Notice however that n is a formal symbol which has the meaning that we have given it and on the other hand is a word of English whose meaning we want to describe Thus to say that and means 0 is actually to say something meaningful In the same way we can say that the meaning of or is the following function 405 0 0 1 1 and that the meaning of i f then is the function gt 0 l 406 0 l l l 0 1 This takes a while to understand We claim that a sentence of the form if S then T is true if either S is false or T is true Often people understand such a sentence as saying that S must be true exactly when T is true But this is not so It is an error of fact to be sure I am not claiming the meaning of i fthen ought to be different from what it is I am claiming that people do factually use i f then in that way However it is known that the meaning of if then is a complex affair For example suppose I order a book at the bookstore and they say to me 407 If the book arrives next week we shall notify you Then if the book indeed arrives and they do not notify me they have issued a false promise On the other hand if it does not arrive and still they notify me saying that it hasn t arrived yet that is still alright To give another example in math ematics there are lots of theorems which say if the Riemann hypothesis is true then The point is that nobody really knows if Riemann s hypothesis is actually true If you have a proof you will be famous in no time But the theorems will remain true no matter which way the hypothesis is eventually decided To see how this follows in our setup notice that we have said that 408 gifS then T gS gt gT 162 Lecture 15 Semantics II This means that if S then T is true if either S is false that is gS 0 or T is true that is gT 1 Why it is that people consider a sentence of the form if S then T to say the same as S if and only if T still needs to be explained Part of the explanation is pragmatic It comes from analysing two things the utterance situation and the language system The utterance situation de nes in which way we talk and how we actually use language If talking math ematics the meaning of i f then has a meaning that is xed by convention in a way it is not in ordinary talk Thus the example of Riemann conjecture was misleading it showed us not what i f then ordinarily means but rather what it means in mathematical discourse The second aspect comes down to looking at communication as a strategic game using language The actual utterance mean ings are derived from the standard meanings they are parasitic on the latter This has the unfortunate consequence that the utterance meaning may confuse us about the semantic meaning We shall not discuss the any further though Let us see how this works in practice 409 Pete talks and John talks or John walks The question is does this imply that Pete talks Our intuition tells us that this de pends on which way we read this sentence We may read this as being formed from the sentences Pete talks and J ohn talks or John walks using and or we can read it as being formed from Pete talks and John talks and J ohn walks using or The string is the same in both cases 410 gPete talks and John talks or John walks gPete talks gJohn talks or John walks gPete talks gJohn talksUgJohn walks 411 gPete talks and John talks or John walks gPete talks and John talksUgJohn walks gPete talks gJohn talksUgJohn walks The results are really different Suppose for example that Pete does not talk that John talks and that John walks Then we have 412 gPete talks gJohn talks U gJohn walks 0 1 U 1 0 Lecture 15 Semantics II 163 413 gPete talks gJ ohn talks U gJ ohn walks 0 1 U 1 1 So the different interpretations can give different results in truth The True Picture We have started out by assuming that there is a function g telling us for each sentence whether or not it is true This function is in a predicament with respect to 409 for it may be that it is both true and false Does this mean that our picture of compositionality is actually wrong The short answer is no To understand why this is so we need to actually look closer into the syntax and semantics of and First we have assumed that syntactically everything is binary branching So the structure of Pete talks and John walks is 414 Pete talkscp and John WalkSCpCp Thus and forms a constituent together with the right hand CP the latter is also called conjunct And the two together form a CP with the left hand CP also called conjunct The argument in favour of this is that it is legitimate to say 415 Pete talks And John walks So we want to have a semantics that gives meanings to all constituents involved We shall rst give the semantics of the expression and T This is a function which given some truth value x will return the value x gT In mathematics one writes x gt x n gT There is a more elegant notation saying exactly the same 416 gand T 2 Ajax 0 gT The notation Ax is similar to the set notation xl or x Given an expression it yields a function For example given the term x2 it gives the function Axxz which outputs the square of its input In ordinary mathemantics one writes this as y x2 but this latter notation which is intended to say exactly the same is actually not useful for the purpose at hand To avoid the shortcomings of this usual notation the I got introduced In practice if you know what the answer is in each case say it is x2 then Axxz is a function or machine oracle 164 Lecture 15 Semantics II algorithm whatever you nd more instructive that gives you the answer 112 when you give it the number n For example you give it the number 3 it gives you back 9 you give it 7 it answers 49 And so on But why is Axxz different from x2 The difference can be appreciated as follows I can say Let x2 lt 16 Because depending on what x is x2 is smaller than 16 or it isn t It is like saying Let 4 lt x lt 4 But about the function f x x2 I cannot simply say Let f lt 16 A function cannot be smaller than some number only numbers can be So there is an appreciable difference between numbers and functions from numbers to numbers It is this difference that we shall concentrate on By our conventions we write Axxz instead of f This is not a number it is a function You call it you give it a number and it gives you back a number In and of itself it is not a number So why use the notation with the A s The reason is that the notation is so useful because it can be iterated We can write Aylxx y What is this It is a function that when given a number m calls another function so you may call it a second order function The function it calls is the function G 2 Axx m G on its turn waits to be given a number same or different Give it a number n and it will return the number n m Notice that Axlyx y also is a second order function but a different one Give it the number m and it will call the function H z Aym y Give H the number n and it will give you m n which is not the same as n m For example 3 5 2 while 5 3 2 Let us see about Ajax 0 gT Suppose that T is true Then the function is Ajax 0 1 x has two choices 0 and 1 417 xlxxn 10 0 ml 2 0 xlxxn 11 1 m 1 1 Suppose next that T is false Then Ajax 0 gT 2 Ajax 0 0 418 Max 0 00 0 m 0 0 Max 0 01 1 m 0 0 Now we are ready to write down the meaning of and It is 419 Aylxx n 2 How does this help us We shall assume that if two expressions are joined to form a constituent the meaning of the head is a function that is applied to the meaning of its sister In the construction of S and T the head is and in the rst step and and T in the second step Suppose for example that Pete talks but John does not Lecture 15 Semantics II 165 walk Ignoring some detail for example the morphology the signs from which we start are as follows l lylxx y 0 420 CP C CP Pete talks and John walks Let s put them together 1 lylxx y 0 421 CP 0 C 0 CP Pete talks and John walks 1 Ajax 0 0 2 CP 0 C Pete talks and John walks 0 2 CP Pete talks and John walks It is not hard to imagine that we can get different results if we put the signs together differently Types of Ghosts We have said that there are functions and that there are second order functions They are higher up because they can call ordinary functions to ful ll a task for them To keep track of the hierarchy of functions we shall use the following notation Ghosts have types Here are the types of the functions introduced so far 01t 422 Ajax l t gt t lylxx y t gt t gtt The general rule is this De nition 15 A truth value is of type t A function from objects of type a into objects of type is a function of type a gt A function of type a gt can only apply to an object of type a the result is an object of type 166 Lecture 15 Semantics II Something of Type 1 is a truth value by de nition it is either 0 or 1 So it is known to us directly Everything else needs some computation on our side A function of type a gt is asking for an object of type a to be given It will then call an object of type for an answer Typically we had a t An object of type t gt is waiting to be given a truth value and it will then return an object of type Is there more to it than just truth values There is We shall assume for exam ple that there is a type 6 that comprises all objects of the world Every physical object belongs to 6 including people animals stars and even ideas objects of the past like dinosaurs objects of unknown existence like UFOs they are all of type 6 Ordinary names like John and Pete can denote objects and so their meaning is of type 6 we say A function of type e gt t is an object that waits to be given an object and it will return a truth value It says 1 or 0 or yes or no however we like These functions are called unary predicates lntransitive predicates denote unaly predicates For example run ta1k and wa1k We shall truly treat them as functions We do not know how they work This is part of the lexicon or if you wish this part of the knowledge of the language that we must acquire what it means that someone talks or walks or runs In the absence of anything better we write run for the function of type e gt t that tells us if someone is running And likewise we write walk for the function that tells us if someone is talking And so on Then we do however know that the meaning of 423 John talks is talk john Big deal But things get trickier very soon There are also transitive predicates like scold Since they form a category of intransitive verb together with a name we conclude that they must be functions of second order they are of type 6 gt e gt t And so on What this means is that semantics mirrors syntax by way of types If something is a transitive verb not only does it need two syntactic arguments also its meaning is a second order function waiting to be given two objects before it will answer with a truth value Notes to this section I have earlier at the end of Lecture 8 required that grammars of English contain the rule 424 CP gt CPUandUCP but the present rules do not have it Nevertheless it still satis es the properties D 7 on Page 92 And this is because the rule 424 is what one calls a derived rule Lecture 15 Semantics II 167 of the grammar obtained by doing three steps from CP we step to CF C and in a second step to CF C CP and nally to CPUandUCP Semantics 111 Basic Elements of Interpretation The things that exist come in different forms There are objects time points events truth values and so on These properties are funda mental A truth value can never be a number regardless of the fact that we use numbers or letters to stand in for them On What There Is With language we can seemingly talk about everything that exists While this can at least abstractly be shown to be impossible the range of things that we can talk about is immense However this vast expressive power creates its own chal lenges For to the human mind the things around us are of different nature There are physical objects people places times properties events and so on Lan guages re ect this categorisation of things in different ways For example many languages classify things into various groups called genders or classes This clas si cation proceeds along several lines Many languages distinguish animate from inanimate for example And within the animate between people and animals and within the people the male and the female and so on This division is in no way objectively given Why should we care to distinguish humans from animals or animals from stones Clearly the answer is that language is shaped to serve the needs of humans not dogs or stones And further language answers to the need of a society and culture The division of things into genders or classes is realised in different ways For some languages it is part of the morphology French for example for other it is irrelevant Hungarian One has made a lot out of that difference the so called SapirWhorfThesis states that the language we speak has a profound in uence on the way we think The reasoning is that if gender distinctions are obligatory then we need to pay more attention to it and consequently take this to be a feature worth attending to Nowadays one tends to think that the in uence of language on perception has been much overstated The fact that the Hopi language does not distinguish past from furture does not mean they cannot tell the difference or are in any way less likely to understand it Yet there seem to be areas where the thesis has its merits be it only in categorical perception of sounds Another example spatial language It has been claimed that there are languages where there Lecture 16 Semantics III 169 are only absolute spatial prepositions of the type north south and that the speakers of these languages are far better at tracking absolute directions To the extent that the classi cation of things is relevant to language it is going to be re ected in the basic semantic types We shall review a few basic types of things that are relevant to natural languages Number Individuals and Groups Look at the following contrast 425 John and Mary met 426 The senators met 427 The committee met 428 John met Evidently in order to meet you need to meet with somebody But apparently several people can meet in the sense that they meet with each other One way to account for this difference is to say that the verb meet needs a group of people as its subject Since committees lines and other things can also meet it is not simply a fact of grammar in other words it cannot be decided by syntactic means alone whether a sentence is well formed witness the distinction between 427 and 428 So we say instead that meet needs a group of things without further quali cation There are basically two ways to form groups you use the plural or you use and Thus there are basic DPs that denote individuals and those that denote groups It is however to be noted that singular DPs rarely denote groups directly rather they denote some entity that is constituted among other things by its members like a committee or a parliament They therefore can be used as group denoting DPs only in a derived sense The primary source of group denoting expression is something else It is plural DPs and DPs coordinated with the help of and Groups can evidently be subjects of verbs and sometimes verbs speci cally re quire groups as subjects Other verbs take both 429 Paul is eating 430 Paul and the neighbouring cat are eating 170 Lecture 16 Semantics III In the case of eat we may think of it as being an activity that is basically per formed by each individual alone If it is understood to be this way the verb is said to be distributive It means in the present case that the fact that Paul is eating and that the neighbouring cat is eating is enough to make the sentence 430 true We can also say that the following inference is correct Paul is eating 431 The neighbouring cat is eating Paul and the neighbouring cat are eating In general if a verb V is distributive then the following inferences go through A Vs 432 B Vs 39 A and B V AandBV AandBV A Vs B Vs Now if there are groups of people are there also groups of groups There are Here is an interesting pattern You can get married as a group of two people by getting married to each other This involves a one time event that makes you married to each other You can get married as a group by each marrying someone else The sentence 433 can be read in these two ways The reason why this is so lies in the fact that get married actually also is a verb that takes individuals 433 John and Sue got married 434 John got married Moreover the above test of distributivity goes through in that case But if we understand it in the non distributive sense the inference does not go through of course Now let s form a group of groups 435 John and Alison and Bill and Sue got married There is areading which says that John marries Alison and Bill marries Sue This reading exists in virtue of the following John and Alison denotes a group so does Bill and Sue The verb applies to such groups in the meaning marry each other By our understanding of marriage if several groups get married to each other this means that all groups get married separately There are also verbs that encourage a group of groups reading 436 The ants were marching eight by eight Lecture 16 Semantics III 171 Here we think of a group of groups of ants each group consisting of eight ants in a line Note that the same pattern can be observed with meet The senators meet 437 The congressmen meet The senators and the congressmen meet However reader beware the conclusion has a reading where the subject is a single group which meets in a one time event This is not what can be concluded from the premises All that follows is that the senators met with each other and that the congressmen met with each other Time Properties can change over time I can be tired in the evening but maybe next morning I am not Some properties have an inbuilt time dependency For example a cat is a kitten only through certain stages of its life When it is old enough it ceases to be a kitten even though it never ceases to be a cat We picture time as consisting of a continuum of time points on a line We write t t u for time points and we write t lt t to say that t is prior to t and t gt t to say that it is after t For any two time points t and t either t t they are the same or t lt t or t gt t This trichotomy translates into the three basic tenses of English The present is used for something that happens now the past is used for something that has happened before now and the future is used for something that will happen later 438 John runs present 439 John ran past 440 J ohn wi l 1 run future We make reference to time through various ways One is the words now and yesterday now refers to the very moment of time where it is uttered textt tyesterday refers to any time point that is on the day before today Today on the other hand is the day of now Other words require some calculation 441 John realized on Monday that he had lost his wallet the day before 172 Lecture 16 Semantics III We do not know exactly when things happened We know that John s realising he had lost his wallet happened in the past because we used past tense and it happened on a Monday His losing the wallet happened just the day before that Monday so it was on a Sunday Suppose we replaced the day before by ye sterday 442 John realized on Monday that he had lost his wallet yesterday Then John s realizing is in the past and it is on a Monday His losing his wallet is prior to his realizing we infer that among other from the phrase had lost which is a tense called pluperfect And it was yesterday So today is Monday and yesterday John lost his wallet and today he realizes that Or he realized yes terday that on that day he had lost his wallet Actually the phrase on Monday is dispreferred here We are not likely to say exactly what day of the week it is when it is today or yesterday or tomorrow But that is not something that semantics concerns itself with I can say let s go to the swimming pool on Thursday even when today is Thursday It is just odd to do so That time is linear and transitive accounts for the following inference patterns A Ved B Ved A Ved before B 443 B Ved before C A Ved before B or A Ved after B W or A Ved at the same as B Location Space is as important in daily experience as time We grow up thinking spatially how to get furniture through a door how to catch the neighbour s cat how to not get hit by a car all these things require coordination of actions and thinking in time and space This is the reason why language is lled with phrases that one way or another refer to space The most evident expressions are here which functions the same way as now and there analogous to then It denotes the space that speaker is occupying at the moment of utterance It is involved in the words come and go If someone is approaching me right now I can say 444 He is coming Lecture 16 Semantics III 173 But I would not say that he is going That would imply he is moving away from me now German uses verbal pre xes hin and her for a lot of verbs to indicate whether movement is directed towards speaker or not Space is not linear it is organized differently and language re ects that Sup pose I want to say where a particular building is located on campus Typically we phrase this by giving an orientation and a distance this is known as polar coordinates For example 445 200 m southwest of here gives an orientation southwest and a distance 200 metres The orientation is either given in absolute terms or it can be relative to the way one is positioned for example to the ri ght To understand the meaning of what I am saying when I say Go to the right you have to know which way I am facing Worlds and Situations We have started out by saying that sentences are either true or false So any given sentence such as the following is either true or false 446 Paul is chasing a squirrel 447 Napoleon lost the battle of Waterloo 448 Kitten are young cats We can imagine with respect 446 that it is true right now or that it is false In fact we do not even know With 447 it is the same although if we have learned a little history we will know that it is true Still we nd ourselves thinking what if Napoleon had actually won the battle of Waterloo Thus we picture a situation that is contrary to fact The technical term is world Worlds decide every sentence one way or another There are worlds in which 446 is true and 447 is false others in which 446 is false and 447 is true others in which both are false and again others in which both are false And there is one and only one world we live in Seemingly then any combination of saying this and that sentence is true or false is a world But this is not quite true 448 is different It is true To suppose otherwise however would be tantamount to violating the rules of language If I 174 Lecture 16 Semantics III a were to say suppose that kittens are not young cats but in fact old rats what I ask you is to change the way English is understood I am not talking about a different world Worlds have an independent existence from the language that is being used We say then that 448 is necessarily true just like 471 1 If you do not believe either of them you are just not in the picture The denotation of a word like cat in this world is the set of all beings that are cats They can change from world to world We can imagine a world that has absolutely no cats If we go back in time there was a time when this was actually true Or one that has no mice But we do not suppose that just because there are different sets of cats in different worlds the meaning of the word changesiit does not That s why you cannot suppose that kittens are old rats We say that the meaning of the word cat is a function cat that for each and every world w gives some set cat w We of course understand that cat w is the set of all cats in w Some people use the word intension for that function Likewise the intension of the word rat gives for each world w the set of all rats in w and likewise for the word ki tten It is a fact of English that 449 kitten w g cat w kitten w n rat w Q There are plenty of words that are sensitive not just to the denotation but to the meaning 450 John doubts that Homer has lived 451 Robin thinks that Napoleon actually won Waterloo Nobody actually knows whether or not Homer has existed Still we think that the sentence Homer has lived has a de nite answer some ghost should tell us It is either true or not Independently of the answer we can hold beliefs that settle the question one way or the other regardless of whether the sentence is factually true or not Robin for example might be informed about the meaning of all English words and yet is a little weak on history So she holds that Napoleon won Waterloo John might believe the opposite and Robin might believe that Homer has lived Different people different opinions But to disagree on the fact that kittens are cats and not rats means not using English anymore Lecture 16 Semantics III 175 Events When I sit behind the computer typing on the keyboard this is an activity You can watch me do it and describe the activity in various ways You can say 452 He is typing on the keyboard 453 He is fixing the computer 454 He is writing a new book Both 452 and 453 can be manifested by the same physical activity me sitting behind the computer and typing something in Whether or not I am xing the computer by doing so time will tell But in principle I could be xing the com puter just by typing on the keyboard The same goes for writing a book Thus one and the same physical activity can be a manifestation of various different things In order to capture this insight one has proposed that verbs denote particular ob jects called events There are events of typing as there are events of xing the computer and events of writing a book Events are distinct from the processes that manifest them Events will gure in Lecture 18 so we shall not go into much detail here There are a few things worth knowing about events First there are two kinds of events states and processes A state is an event where nothing changes 455 Lisa knows Spanish 456 Harry is 8 feet tall These are examples where the truth of something is asserted at a moment of time but there is no indication that something changes By contrast the following sen tences talk about processes 457 Paul is running 458 The administrator is filling out the form 459 The artist is making a sculpture In the rst example Paul is changing place or posture In the second the admin istrator is for example writing on some piece of paper which changes that very piece of paper In the third example a statue comes into existence from some lump of material Events have participants whose number and contribution can 176 Lecture 16 Semantics III vary greatly A process always involves someone or something that undergoes change This is called the theme In 457 the theme is Paul in 458 the theme is the form in 459 the theme is the sculpture Events usually have a participant that makes the change happen in 457 the actor is again Paul in 458 it is the administrator in 459 it is the artist There need not be an actor just as there need not be a theme but mostly there is a theme Some events have what is called an experiencer In the next sentence Jeremy is the experiencer of hate 460 Jeremy hates football Notice that experiencer predicates express states of emotion so they fall into the category of verbs that express states rather than processes Another class of par ticipants are the bene ciaries these are the ones for whose bene t an action is performed like the wife of the violinist in the following example 461 The violinist composed a sonata for his wife The list of participant types is longer but these ones are the most common ones Processes are sometimes meant to nish in some state and sometimes not If you are said to be running no indication is made as to when you will stop doing so If you are said to be running a mile then there is an inherent point that de nes the end of the activity you engage in Some verbs denote the latter kind of events arrive reach pop finish The process they denote is nished when something speci c happens 462 Mary arrived in London 463 The composer finished the oratorio In 462 the arriving of Mary happens at a more or less clearly de ned time span say when the train gets close to the station up to when it comes to a halt Similarly for 463 where the nishing is the last stretch of the event of writing the oratorio The latter is a preparatory action So you can write an oratorio for a long time maybe years but you can only nish it in a considerably shorter time at the end of your writing it Notes on this section There are most likely to be a few more sorts for exam ple degrees Notice that there is a big difference between the classi cation here and what is nowadays in computer science called an ontology which is a rather rich classi cation of things Semantics IV Scope Different analyses of sentences give rise to different c command re lations between constituents These in turn determine different inter pretations of sentences Thus one of the reasons why sentences can mean different things is that they can have different structures Let us return to example 409 repeated here as 464 464 Pete talks and John talks or John walks We have said that under certain circumstances it may turn out to be both true and false depending on how we read it These interpretations are also called readings In this lecture we shall be interested in understanding how different readings may also be structurally different Structural differences are not the only reason for different interpretations The syntactic notion that is pivotal here is that of scope We shall say that every constituent has a scope the scope is that string part constituent that serves as a semantic argument to it This de nition is semantic by intention However we can also give syntactic correspondences for the scope and thereby eliminate reference to semantics For example for a head the scope is exactly its complement We shall ll this de nition with life right away In 464 we nd two logical connectives and and or Each of them takes two CPs one to the right and one to the left This is all the requirements they make on the syntactic side This means that syntactically the sentence can be given two different structures They are shown in Figure 10 The structure of the individual CPs is not shown to save space Let us look at a We can tell from its structure what its meaning is We shall work it out starting at the bottom The complement of or is the CP John walks So or John walks is a constituent formed from or and J ohn walks This means that its meaning is derived by applying the meaning of or to the meaning of John walks Notice that the latter is also the constituent that the node labelled C just above or c commands recall the de nition of c command form Lecture 12 The meaning of the lower C node is therefore 465 Aylxx U ygJohn walks lxx U gJ ohn walks 178 Lecture 17 Semantics IV ltagt C P C Pete talks C CP and C C P John talks C CP 01quot John walks b CP CP A C P C C C P Pete talk or John talks C CP and John talks Figure 10 Two Analyses of 464 Lecture 17 Semantics IV 179 This node takes the CP node above John talks as its sister and therefore it c commands it The meaning of the CP that the two together form is 466 Max U gJohn walksgJohn talks gJohn talks UgJohn walks This is the meaning of the lower CP It is the complement of and The two form a constituent and its meaning is 467 ylame ygJohn talks U gJ ohn walks lxx gJ ohn talks U gJohn walks Finally we combine this with the speci er CP 468 Ajax 0 gJ ohn talks U gJohn walksgPete talks gPete talks gJ ohn talks U gJohn walks This is exactly the same as the interpretation 410 Now we take the other structure This time we start with the interpretation of the middle CP It is now c commanded by the C above the word and This means that the two form a constituent and its interpretation is 469 Aylxx ygJohn talks lxx gJ ohn talks This constituents take the speci er Pete talks into a constituent CP Thus it applies itself to the meaning of Pete talksz 470 Ajax 0 gJ ohn talksgPete talks gPete talks gJ ohn talks This constituent is now the speci er of a CP which is formed by Pete talks and John talks and or John walks The latter has the meaning Ajax U gJohn walks which applies itself to the former 471 Max U gJ ohn walksgPete talks U gJohn talks gPete talks U gJ ohn talks gJ ohn walks And this is exactly 411 180 Lecture 17 Semantics IV Thus the two different interpretations can be seen as resulting from different structures This has motivated saying that our function g does not take sentences as inputs Instead it wants the entire syntactic tree Only when given a syntactic tree the function can give a satisfactory answer The way the meaning is computed is by working its way up We assume that each node has exactly two daughters Suppose we have a structure 472 7 a We assume that the semantics is arranged in such a way that if two constituents are merged into one the interpretation of one of the nodes is a function that can be applied to the meaning of its sister The rst node is then called the semantic head If the meaning of a and is known and equals ga and g respectively then the meaning of 7 is gag if a is the semantic head 473 goo g ga if is the semantic head The only thing we need to know is is a the semantic head or is it The general pattern is this a zero level projection is always the semantic head and likewise the rst level projection Adjuncts are semantic heads but they are not heads the lat ter notion of head is a syntactic notion and is different as this case shows Notice that by construction the semantic head eats its sister its meaning is a function that applies itself to the meaning of the sister And the sister is the constituent that it c commands This is why c command has become such a fundamental notion in syntax it basically mirrors the notion of scope which is the one needed to know what the meaning of a given constituent is We shall discuss a few more cases where scope makes all the difference Look at the difference between 474 and 475 474 This is the only car we have which has recently been repaired 475 This is the only car we have which has recently been repaired The partwhich has recently been repairedisaclause that functions like an adjective it is called a relative clause Recall that relative clauses are opened by relative pronouns in English Unlike adjectives relative clauses follow the Lecture 17 Semantics IV 181 noun Notice that we have also is a relative clause though it is somewhat short ened we could replace it whi ch we have Suppose you go to a car dealer and he utters 474 Then he is basically say ing that he has only one car Moreover this car has been under repair recently Suppose however he says 475 Then he is only claiming that there is a single car that has been under repair recently while he may still have tons of others It is clear from which dealer you want to buy To visualize the diITerence we indicate the scope of the operator the only 476 This is the only car we havewhich has recently been repaired 477 This is the only car we have which has recently been repaired In the rst sentence the only takes scope over car we have It has scope overcar we have which has recently been repaired in the second sen tence It is not necessary to formalize the semantics of the only We need only say that something is the only P if and only if a it is a P and b nothing else is a P So if the only takes scope only over car we have then the car we are talking about is a car the dealer has by a and there is no other that he has by b So he has only one car If the scope is car we have which has recently been repaired then the car we are talking about has recently been repaired by a it is one of the dealer s cars also by a and there is no other car like that So there may be other cars that the dealer has but they have not been repaired and there may be other cars that were not the dealer s but have been repaired The diITerence in structure between the two is signaled by the comma If the comma is added the scope of the only ends there The relative clause is then said to be nonrestrictive if the comma is not there the relative clause is said to be restrictive If we look at Y syntax again we see that non restrictive relative clauses must be at least D adjuncts because they cannot be in the scope of the In fact one can see that they are DP adjuncts Let us see how this goes First we notice that the can be replaced by a possessive phrase which is in the genitive 478 Simon s favourite bedtime story 479 Paul s three recent attacks on squirrels 182 Lecture 17 Semantics IV The possessives are phrases so they are in speci er of DP quite unlike the de terminer the itself Notice that even though the possessive and the determiner cannot co occur in English this is not due to the fact that they compete for the same position In Hungarian they can co occur 480 Mari nak a cipoje Mary DAT the shoe Poss3sc Mary s shoe Literally translated this means Mary s the her shoe The possessive Marinak in the dative occurs before the actual determiner Now the actual structure we are proposing is this notice that the s is analysed as the D head there are other possibilities for example taking it to be a case marker which I prefer 481 DpDpPaulDrD sNpthree recent attacks on squirrels Now take a DP which has non restrictive relative clause 482 Simon s only bedtime story which he listens to care fully 483 Paul s only attacks on squirrels which were success ful These DPs are perfect but here we have Simon s only and Paul s only We shall not go into the details of that construction and how it differs from the only In the rst DP Simon s only takes bedtime story in its scope It can only do so if the relative clause is an adjunct to DP I remark here that I have not given an analysis of the construction A s only 8 just of the only 8 though this can easily be done Moreover there are some problems in mak ing the string the only and Simon s only a constituent so as to make the above semantic interpretation mechanism work Inasfar as the string the only is concerned we can make only an adjective thus forming part of the NP the only is then no longer a constituent For possessors we should then rst make them possessors of the NP Paul recent attack on squirrels make only take this into its scope and then nally add the head s How to reconcile this with the surface syntax is a moot point It costs us some movement steps Alternatively we need to postulate some in x operations for syntax so as to in x only into Paul recent attack on squirrel s to yields Paul only Lecture 17 Semantics IV 183 recent attack on squirrels and another to give Pau1 s only recent attack on squirrels Likewise one may wonder about the place of restrictive relative clauses It is clear that they can be neither adjuncts to DP nor adjuncts to D because then the only cannot take scope over them The restrictive relative clauses is therefore adjunct to either N or NP We shall not go into more detail So far we have seen that differences in interpretation manifest themselves in differences in structure The next example is not of the same kindiat least at rst sight This example has to do with quanti cation Suppose that the professors complain about of ce space and the administrator says 484 Every professor has an office He might be uttering a true sentence even if there is a single of ce that is assigned to all professors If this is to be understood as a remark about how generous the university is then it is probably just short for 485 Every professor has his own office in which case it would be clear that each professor has a different of ce The rst reading is semantically stronger than the second For there is a single of ce and it is assigned to every professor then every professor has an of ce albeit the same one However if every professor has an of ce different or not it need not be the same that there is just a single of ce We can use stilted talk to make the difference visual 486 There is an office such that it is assigned to every professor 487 Every professor is such that an office is assigned to him In the rst sentence there is an office takes scope over every profes sor In the second sentence every professor takes scope over an office Returning to the original sentence 485 however we have dif culties as signing different scope relations to the quanti ers clearly syntactically every professor takes his own office in its scope This problem has occupied 184 Lecture 17 Semantics IV syntacticians for a long time The conclusion they came up with is that the mech anism that gets the different readings is syntactic but that the derivation at some point puts the object into c commanding position over the subject There are other examples that are not easily accounted for by syntactic means Let us give an example 488 John searches for the holy grale There are at least two ways to understand this sentence Under one interpretation it means that there is something that John searches for and he thinks it is the holy grale Under another interpretation it means that John is looking for something that is the holy grale but it may not even exist This particular case is interesting because people are divided over the issue whether or not the holy grale existed or exists for that matter Additionally it is not clear what it actually was So we might nd it and not know that we have found it We may paraphrase the readings as follows 489 There is the holy grale and John searches for it as that 490 There is something and John searches for it as the holy grale 491 John is searching for something as the holy grale Here the meaning difference is brought out as a syntactic scope difference The rst is the strongest sentence it implies that both speaker and John identify some object as the holy grale The second is somewhat weaker according to it there is something of which only John believes that it is the holy grale The third is the weakest John believes that there is such a thing as the holy grale but it might not even exist Such differences in meaning are quite real There are people who do in fact search for the holy grale Some of them see in it the same magical object as which it is described in the epics while others do not think the object has or ever had the powers associated to it Rather for them the importance is that the knights of King Arthur s court possessed or tried to possess it So they interpret the medieval stories as myths that nevertheless tell us about something real as Schliemann believed that Homer s Iliad may not have been about the Greeks and their gods but at least about the fall of a real city one that he later found If the rst sentence is true then speaker and John agree in the identity of the holy Lecture 17 Semantics IV 185 grale if they do not agree then either of them must think of the other that they are mistaken about the identity of the holy grale In the second sentence the speaker concedes that John is at least concerned about the properties of an existing object say some bowl or dish to which John however attributes some mystical power Now whether or not these diITerences can be related back to diITerences in structures corresponding to 488 remains to be seen Such a claim is di icult to substantiate Semantics V CrossCategorial Parallelism There is an important distinction in the study of noun denotations be tween count nouns and mass nouns An equally important distinction is between processes and accomplishmentsachievements It is possi ble to show that the division inside the class of nouns and inside the class of verbs is quite similar We have said that nouns denote objects and that verbs denote events It has been observed however that some categorisations that have been made in the domain of objects carry over to events and vice versa They ultimately relate to an underly ing structure that is similar in both of them A particular instance is the distinction between mass and count nouns A noun is said to be a count noun if what it refers to in the singular is a single object that cannot be conceived of consisting of parts that are also objects denoted by this noun for example bus is a count noun In the singular it denotes a thing that cannot be conceived as consisting of two or more busses It has parts for sure such as a motor several seats windows and so on But there is no part of it which is again a bus We say that the bus is an integrated whole with respect to being a bus Even though some parts of it may not be needed for it to be a bus they do not by themselves constitute another bus Ultimately the notion of integrated whole is a way of looking at things a single train for example may consist of two engines in front of several dozens of wagons It may be that it has even been obtained by fusing together two trains However that train is not seen as two trains it is seen as an integrated hole That is why things are not as clear cut as we might like them to be Although we are mostly in agreement as to whether a particular object is a train or not or whether it is two trains an abstract de nition of an integrated hole is hard to give The treatment of count nouns in formal semantics has therefore been this A noun denotes a certain set of things the integrated wholes of the kind The word mouse denotes for example the set of all mice in this world call that set M A particular object is a mouse if and only if it is in M Groups of mice are subsets of M Therefore the plural mice denotes the set of all subsets of M Or maybe just the subsets that contain more that one element but that is not of essence here Let us then say this A is a B is true if what A denotes is an element of the denotation of B Then Paul is a mouse is true if and only if Paul is a member of M that is if Paul is a mouse We shall say the same about A are 8 it is true if and only if what A denotes is in B Except that the agreement on the Lecture 18 Semantics V 187 verb has to match that of A which is not a semantic fact Therefore Paul and Doug are mice is true if and only if the denotation of Paul and Doug is in the set of all subsets of M that is if it is a subset of M The denotation of Paul and Doug is among other things the set consisting of Paul and Doug This is a subset of M exactly if both Paul and Doug are mice Let us return to the issue of dividing objects of a kind It seems clear that the division into smaller and smaller units must stop A train cannot consist of smaller and smaller trains At some point in fact very soon it stops to be a train There is a difference with water Although in science we learn that things are otherwise in actual practice water is divisible to any degree we like And this is how we conceive of it We take an arbitrary quantity of water and divide it as we pleaseithe parts are still water Thus water is not a count noun it is a mass noun One problem remains though We have not talked about mass things we have consistently talked about mass or count nouns We said for example that water is a mass noun not that the substance water itself is a mass substance In this case it is easy to confuse the two But there are occasions where the two are different The word furni ture turns out to be a mass noun even though what it denotes clearly cannot be inde nitely divided into parts that are also called furniture But how do we know that something is a mass noun if we cannot ultimately rely on our intuitions about the world There are a number of tests that establish this First mass nouns do not occur in the plural We do not nd furni tures or courages On the surface waters seems to be an exception However the denotation of waters is not the same as that of a plural of a count noun which is a group Waters is used for example with respect to clearly de ned patches of water like rivers or lakes A better test is this one Mass nouns freely occur with so called classi ers while count nouns do not 492 a glass of water 493 a piece of furniture 494 a glass piece of bus Notice that one does not say a glass of furni ture nor a piece of wa ter The kind of classi er that goes with a mass noun depends on what it actually denotes Some can be used across the board like lot Notice that classi ers must be used without the inde nite determiner So with respect to 494 we can say a piece of a bus but then piece is no longer a classi er 188 Lecture 18 Semantics V There is an obvious distinction between whether or not objects of a kind are divisible into objects of the same kind and whether a language calls the noun denoting this kind a mass noun These must be kept separate To a certain degree languages exercise their freedom of seeing the world in a different light Some nouns are mass nouns when comes to using the tests but everybody knows the kind they denote is not divisible an example is furniture A someone less clear case is hair Notice furthermore that whether or not things of a kind can be divided into things of the same kind depends on what you believe the world to be like This is clearest when we look at water The scienti c world view that the process of division must come to a halt Eventually we have a single molecule of water and here the division must stop Yet our own experience is different As humans we experience water as arbitrarily divisible The language we speak has been formed not with scienti c world view in mind there is no authority that declares that from now on water must cease to be used as a mass noun Anyhow we see that there are example where even the naive experience tells us differently It is the same as gender distinctions for some languages they are not morphologically relevant but the division into various sexes or other classes can usually be represented one way or another Let us now look at verbs Verbs denote events as we have said Events are like lms We may picture them as a sequence of scenes lined up like birds on a telefone cable For example scene 1 may have Paul 10 feet away from some squirrel scene 2 sees Paul being 8 feet away from the squirrel scene 3 sees Paul just 6 feet away from the squirrel and so on until he is nally right next to it ready to eat it Assume that the squirrel is not moving at all This sequence can then be summarized by saying 495 Paul is attacking the squirrel Similarly in scene 1 someone is behind a blank paper In scene 2 he has drawn a small line in scene 3 a fragment of a circle From scene to scene this fragment of a circle grows until in the last scene you see a complete circle You may say 496 He has drawn a circle While you are watching the lm you can say 497 He is drawing Or you can say 498 He is spreading ink on the paper Lecture 18 Semantics V 189 All these are legitimate ways of describing what is or was going on Unfortunately the director has decided to cut a few of the scenes at the end So we now have a diITerent lm Now we are not in a position to truthfully utter 496 on the basis of the lm any more This is because even though what that person began to draw looks like the beginning of a circle that circle may actually never have been completed Notice that the situation is quite like the one where we stop watching the movie we are witnessing part of the story and guess what the rest is like but the circle may not get completed However 497 and 498 are still ne no matter what really happens Even if the director cuts parts of the beginning still 497 and 498 are ne No matter how short the lm is and no matter what really happen thereafter the description is adequate This is the same situation as before with the nouns Certain descriptions can be applied also to subparts of the lm others cannot Those events that can be divided are called atelic the others being telic This is the accepted view One should note though that by de nition a telic event is one that ends in a certain state without which the event would not be the same In other words if we cut out parts of the beginning that would not hurt But if we could out parts of the end that would make a dilference An example is the following 499 John went to the station Here it does not matter so much where John starts out from as long it was some where away from the station We can cut parts of the beginning of the lm still it is a lm about John s going to the station Telic events are directed towards a goal that gave them their name in Ancient Greek telos meant goal However as it appears the majority of nondivisible events are telic A diITerent one is 500 John wrote a novel Here cutting out parts of the lm anywhere will result in making 500 false because John did not write the novel in its entirety Now how do we test for divisibility 2 atelicity The standard test is to see whether for an hour is appropriate as opposed to in an hour Divisible events can occur with for an hour but not with in an hour With indivis 190 Lecture 18 Semantics V ible events it is the other way around 501 John wrote a novel in an hour 502 John wrote a novel for an hour 503 John was writing in an hour 504 John was writing for an hour So divisible events can be distinguished from nondivisible events However let us see if we can make the parallel even closer We have said that mass terms are divisible But suppose also this if you pour a little water into your glass and then again a little bit as a result you still have water You cannot say you have two waters You can only say this if say you have two glasses of water so the bits of water are separated Actually with water this still sounds odd but water in the sense of rivers allow this use Also it does not make sense to divide your portion of water in any way and say that you have two pieces of water in your glasses Likewise suppose that John is running from 1 to 2pm and from 2pm to 3pm and did not at all stopiwe would not say that he ran twice The process of running stretches along the longest interval of time as it possibly can There is one process only just as there is water in your glass without any boundary The glass de nes the boundary of water so if you put another glass of water next to it there are now two glasses of water And if John is running from 1 to 2pm and then from 3 to 4pm he ran twice there are now two processes of running because he did stop in between The existence of a boundary between things or events determines whether what we have is one or two or several of them We must distinguish between the event type denoted by a verb and the event type denoted by the sentence as a whole Take the verb drinking This denotes a process and is therefore atelic 505 Alex was drinking in an hour 506 Alex was drinking for an hour When combined with a mass noun it remains atelic when combined with a count noun or a nondivisible kind it is telic 507 Alex drank water in an hour 508 Alex drank water for an hour 509 Alex drank a beer in an hour 510 Alex drank a beer for an hour Lecture 18 Semantics V 191 A series of individual events can make a higher level atelic event 511 Alex was drinking beers in an hour 512 Alex was drinking beers for an hour Putting It All Together Having taken a closer look at phonology morphology syntax and semantics we shall revisit the big picture of the rst lecture We said that there is one oper ation called merge and that it operates on all of these four levels at the same time However we had to make concessions to the way we construe the levels themselves For example we argued that the English past tense marker was d but that it gets modi ed in a predictable way to t or ad Thus we were led to posit two levels deep phonological and surface phonological level Likewise we have posited a deep syntactic level and a surface level after movement has taken place and there is also a deep morphological level and a surface morphological level This throws us into a dilemma we can apply the morphological rules only after we have the surface syntactical representation because the latter reorders the lexical elements Likewise the deep phonological representation becomes ap parent only after we have computed the surface morphological form Thus the parallel model gives way to a sequential model which has been advocated for by Igor Mel cuk in his Meaning to Text theory In this model the levels are not parallel they are ordered sequentially We speak by organising rst the semantic representation then the words on the basis of that representation and the syntac tic rules then the morphological representation on the basis of the lexical and the phonological on the basis of the morphological representation Listening and understanding involves the converse sequence The paradigm of generative grammar is still different Generative grammar as sumes a generative process which is basically independent of all the levels It runs by itself but it interfaces with the phonology and the meaning at certain points The transformations are not taken to be operations that are actually executed but are ways to organize syntactic and linguistic knowledge This makes the empir ical assessment of this theory very dif cult because it is dif cult to say what sort of evidence is evidence for or against this model There are also other models of syntax These try to eliminate the distinction between deep and surface structure For example in GPSG the question words 192 Lecture 18 Semantics V are generated directly in sentence initial position there simply is no underlying structure that puts the object rst right adjacent to the verb from which it is moved to the beginning of the sentence It is put into sentence initial position right away Other grammars insist on special alignment rules There are probably as many theories as there are linguists But even though the discussion surrounding the architecture of linguistics has been much in fash ion in the last decades some problems still remain that do not square with most theories We mention just one very irritating fact We have seen that Malay uses reduplication for the plural If that is so then rst of all the plural sign has no substance there is no actual string that signals the plural like the English s What signals the plural is the reduplication This is a function p that sends a string x into that string concatenated with itself in the following way 513 px I x x Thus pkerani kerani kerani This function does not care whether the input string is an actual word of Malay It could be anything But it is this func tion which is the phonology of the plural sign This means among other that the phonological representation of signs must be very complicated if the story of par allelism is to be upheld recall the plural of mouse with a oating segment We have to postulate signs whose phonology is not a string but a function on strings Unfortunately no other theory can do better here if that is what Malay is like Thus the door has to be opened there is more to the operation of merge than concatenating strings If that is so we can try the same for syntax there is more to syntax than concatenating constituents It has been claimed that Chinese has a construction that duplicates entire constituents Even if that story is not exactly true the news is irritating It means that entire constituents are there just to convey a single piece of meaning here that the sentence is a question But we need not go that far Lots of languages in Europe have agreement of one sort or another English still has number agreement for example between the demonstrative and the NP this flag versus the se flags and with the verb The agreement is completely formal One says these troops and not this troops even though one does say this army However the number that the demonstrative carries is semantically dependent on the noun if the lat ter carries plural meaning then the whole is plural otherwise not The semantic contribution of these is not plural irrespective of whether the noun actually spec i es plural meaning Take guts whose meaning may be singular like courage Lecture 18 Semantics V 193 Unfortunately it cannot really be combined with a demonstrative Otherwise we would expect those guts and certainly not that guts A better example is Latin litterae letter which you write to a friend a morphological plural derived from littera the letter in the sense of the letter A The letter you write is a single object though it is composed from many alphabetic letters It con trols plural agreement in any event Now if the plural morpheme appears many times in the sentence but only once is it allowed to carry plural meaningiwhat are we to do with the rest of them The puzzle has been noted occasionally and again several solutions have been tried Harris speaks of a scattered morpheme he thought they are just one element distributed scattered over many places The same intuition seems to drive generative grammar but the semantics is never clearly spelled out Language Families and History of Languages It is clear even to an untrained person that certain languages say Ital ian and Spanish must somehow be related Careful analysis has es tablished relationships between languages beyond doubt A language lndo European has been proposed and argued that it is the ancestor of about half of the languages spoken in Europe and many more The study of the history of language tries to answer at least in part one of the deepest questions of mankind where do we come from Today linguistics focuses on the mental state of speakers and how they come to learn language To large parts the investigation dismisses input that comes from an area of linguistics that was once dominant historical linguistics The latter is the study of the history and development of languages The roots of historical lin guistics go as far back as the late 17th century when it was observed that English German Dutch as well as other languages shared a lot of common features and it was quickly observed that one could postulate something of a language that ex isted a long time ago called Germanic from which these languages developed To see the evidence let us look at a few words in these languages English Dutch German bring brengen brenan bringen bginan sleep slapen slapen schlafen lafan ship schip sx1p Schi ff 1f sister zuster zyster Schwester westea good goed xud gut gut 514 This list can be made longer It turns out that the correspondences are to a large degree systematic It can be observed that for example word initial p in Dutch and English corresponds to German pf that initial s becomes f before t and p And so on This has lead to two things the postulation of a language of which we have no record called Germanic a set of words together with morphology and syntax for this language and a set of rules which show how the language developed into its daughter languages In the present case the fact that Dutch p corresponds to German pf is explained by the fact that Germanic not to be confused with German had a sound p the star indicates reconstruction not that the sound is illegitimate This sound developed word initially into p in Lecture 19 Language Families and History of Languages 195 Dutch and into pf in German This is called a sound law We may write it in the same way as we did in phonology 515 p gt p Dutch 516 p gt pf German Often one simply writes p gt pf for the sound change The similarity is not accidental in the case of phonological rules they were taken to mean a sequential process a development from a sound to another in an environment Here a similar interpretation is implied only that the time span in which this is supposed to have taken place is much longer approximately two thousand years The list of Germanic languages is long Apart from the ones just listed also Danish Swedish Norwegian Faroese Icelandic Frisian and Gothic belong there Gothic is interesting because it is a language of which we only have written records we do not know exactly how it sounded like As with the Germanic languages similarities can be observed between French Spanish Italian Rumanian and Portuguese In fact all these languages come from a language which we know very well Latin The development of Latin into these languages is well documented in comparison with others This is important since it allows to assert the existence of a parent language and changes with certainty whereas in most cases the parent language has to be constructed from the daughter languages This is so for example with Celtic from which descended Gaelic Irish Welsh and Breton Cornish and Manx are also Celtic but became extinct in the 19th century Another Celtic language Gaulish was spoken in the whole of France but it was completely superseded by Latin We have records of Gaulish only in names of people and places For example we know of the Gaulish king Vercingetorix through the writings of Caesar The name is a Celtic name for sure Throughout the 19th century it became apparent that there are similarities not only between the languages just discussed but also between Germanic Latin Greek Celtic Sanskrit Old Persian Armenian Slavic Lithuanian and Tochar ian It was proposed that all these languages and their daughters of course descend form a single language called Indo European When people made ex cavations in Anatolia in the 19203 and found remains of Hittite researchers soon realised that also Hittite belongs to this group of languages During the last 200 years a lot of effort has been spent in reconstructing the sound structure morphol ogy and syntax of Indo European to nd out about the culture and belief and the ancient homeland of the Indo Europeans 196 Lecture 19 Language Families and History of Languages The time frame is roughly this the Indo European language is believed to have been spoken up to the 3rd millennium BC Some equate the Indo Europeans with people that lived in the region of the Balkan and the Ukraine in the 5th millennium BC some believe they originate further north in Russia other equate them with the Kurgan culture 440072900 BC in the south of Russia near the Caspian sea From there they are believed to have spread into the Indian subcontinent Persia and large parts of Europe The rst to arrive in central Europe and Britain were the Celts who established a large empire only to be topped by the Romans and later by the Germans How the Language Looked Like The sounds are believed to be these Consonants are unaspirated aspirated voiceless voiced voiceless voiced velar k g kh gh 517 palatal k g kh g apico dental t d th dh labial p b ph bh Other people assume instead of the palatals a series of labiovelars k g k h g h The diITerence is from an abstract point of view irrelevant we do not know anyway how they were exactly pronounced but it makes certain sound changes more likely Another set is y w r 1 m and n which could be either syllabic or non syllabic Syllabic y was roughly i nonsyllabic y was j Likewise syllabic w was u nonsyllabic w was w The nonsyllabic r was perhaps trilled nonsyllabic m and n were like In and n Syllabic 1 was written similarly and n The vowels were i 2 syllabic y e a o and u 2 syllabic w Here are some examples of roots and their correspondences in various Indo European languages wlk os wolf In Latin we nd 1upus in Greek 1ykos in Sanskrit v1quotkal1 Lithuanian vi Ika s in Germanic wulfaz from which English wolf and German Wolf wolf dekm ten In Sanskrit da a Latin decem pronounced dekem or even Lecture 19 Language Families and History of Languages 197 dek with nasalized vowel in Greek deka Germanic tehun from which Gothic taihun German zehn tsezn and English ten Here is an example of verbal conjugation lndo European is believed to have had not only singular and plural but also a dual for two The dual was lost in Latin but retained in Greek and Sanskrit The root is bher to carry Sanskrit Greek Latin Sg 1 bhar a t mi pher c fer 6 2 bhar a t si pher eis fer s 3 bhar a t ti pher ei fer t Du 1 bhar a t vah 518 2 bhar a t thah pher e ton 3 bhar a tah pher e ton Pl lbhar a mah pher o mes fer i mus 2 bhar a tha pher e te fer tis 3 bhar a t nti pher o nti fer u nt To be exact although Latin fero has the same meaning it is considered to belong to another in ectional paradigm because it does not have the vowel i In Attic and Doric Greek the lst plural was pheromen Thus there has been a variation in the endings The verb bher is also found in English in the verb bring often root vowels become weak giving rise in the case of e to a so called zero grade bhr How Do We Know The reconstruction of a language when it is no longer there is a di icult task One distinguishes two methods comparison between languages and the other internal reconstruction The latter is applied in absence of comparative evidence One observes certain irregularities in the language and proposes a solution in terms of a possible development of the language It is observed for example that irregular in ection is older than regular in ection For example in English there are plurals in en oxen vixen and plurals in vowel change women mice These are predicted by internal reconstruction to re ect an earlier state of the language where plural was formed by addition of en and vowel change and that the plural s was a later development This seems to be the case Likewise this method 198 Lecture 19 Language Families and History of Languages predicts that the comparative in English was once formed using er and e st but at some point got replaced by forms involving more and most In both cases German re ects the earlier stage of English Notice that the reasoning is applied to English as it presents itself to us now The change is projected from present day English But how can we ascertain that we are right First and foremost there are written documents We have translations of the bible into numerous languages including medieval Georgian a Caucasian lan guage and we have an Old English bible King Alfred s bible and a Gothic bible for example Latin and Greek literature has been preserved to this day thanks to the effort of thousands of monks in the monasteries copying was a very honorable and time consuming task in those days Also other languages have been preserved among which Avestan Sanskrit and Hittite written mostly in cuneiform The other languages got written down from the early middle ages onwards mostly in the form of biblical texts and legal documents Now this pro vides us with the written language but it does not tell us how they were spoken In the case of Hittite the problem is very obvious the writing system was totally different from ours and it had to be discovered how it was to be read For Sanskrit we know from the writings of the linguists of those days among which Panini 500 BC is probably one of the latest how the language was spoken This is be cause we have explicit descriptions from them of how the sounds were produced For Latin and Greek matters are less easy The Greeks for example did not real ize the distinction between voiced and voiceless consonants they knew they were different but couldn t say what the difference was In the middle ages all learned people spoke Latin but the Latin they spoke was very different from classical Latin both in vocabulary and pronunciation By that time people did not know how things were pronounced in the classical times 2 rst century BC So how come we know One answer is for example through mistakes people make when writing Latin Inscriptions in Pompeii and other sites give telling examples One speci c exam ple is the fact that m after vowels was either completely lost or just nasalized the preceding vowel One infers this from the fact that there are inscriptions where one nds ponte in place of what should have been pontem People who made the mistakes simply couldn t hear the difference Which is not to say that there is none only that it was too small to be noticeable Also in verse dating from that time the endings in vowel plus m counted as nonexistent for the metre This in turn we know for sure because we know what the metre was This is strong Lecture 19 Language Families and History of Languages 199 evidence that already in classical times the nal m was not pronounced The next method is through looking at borrowings into other languages The name Cae sar and the title that derived from it was borrowed into many languages and appears in the form of Kai ser in German taken from Gothic kai sar and c sar sezazr in French So at the time the Goths borrowed the word the letter c it was pronounced k And since French descends from Latin we must conclude that the Gothic borrowing is older Moreover there was a diphthong The diphthong was the rst to disappear becoming plain long e2 and then k changed into s in French and tf in Italian and Rumanian A third source is the alphabet itself The Romans did not distinguish v from u They wrote v regardless This shows that the two were not felt to be distinct It is unlikely that v was pronounced v as in English vase Rather it was originally a bilabial approximant the nonsyllabic w mentioned above which became a labiodental fricative only later Historical explanations are usually based on a lot of knowledge Languages consist of tens of thousands of words but most of them are not indigenous words Many words that we use in the scienti c context for example come from Latin andor Greek Moreover they have been borrowed from these languages at any moment in time The linguistic terminology phoneme 1exeme is a telling example These words have been arti cially created from Greek source words Learned words have to be discarded Another problem is that words change their meaning in addition to their form An example is German sch1 imm bad which originally meant inclined Or the word vergamme1n to rot which is from Scandinavian gama11 old English but derives from a spatial preposition which is still found in Dutch bui ten outside From there it took more abstract meanings until the spatial meaning was completely lost If that is so we have to be very cautious If meanings would be constant we could easily track words back in time we just had to look at words in the related languages that had the same meaning But if also the meaning can changeiwhat are we to look out for Linguists have put a lot of effort into determining in which ways the meanings of words can go and which meanings are more stable than others Two Examples Among Many As an example of the beauty and danger of historical linguistics we give the history of two words 200 Lecture 19 Language Families and History of Languages The rst example shows that once we know of the rules the resemblances become very striking The English word choose has relatives in Dutch and Ger man If we look at the verbs that these languages normally use we might get disappointed the Dutch word is kiezen and the German is wah1en The re lation between Dutch and the English are easier seen First notice that the Dutch verb has a perfect participle gekozen chosen which has the o in place of the ie The change from e to 0 called Ablaut is widely attested in the Indo European languages Now k often becomes tf before either e or i like Latin ke became tfe in Italian often with loss of e in pronunciation Now this change occurred in English only not in Dutch However we still have to see why Ablaut occured in English The Old English word in fact was ceosan When no star appears that means that we have written records The pronunci ation of c changed and incorporated the e and the in nitive ending got lost like with other verbs The German case seems hopeless In fact wah1en does not come from a related root However in German we do nd a verb kiesen in similar meaning although it is now no longer in use Strangely enough the perfect passive participle PPP of the verb auserkiesen two pre xes added aus and er is still in use auserkoren chosen The verb itselfis no longer in use Notice that the ablaut is the same as is Dutch which incidentally also uses the circum x ge en as does German Finally in German the PPP has r in place of s which would be pronounced z The change from s to r in be tween vowels called rhotacism is a popular change There are more examples The English was is cognate to Dutch was but German has war Latin has plenty of examples of this Now the root from which all this derives is believed to be Germanic keusa to try out choose Once we have progressed this far other words come into sight Latin gustare to taste from which via French English got di sgusting Greek geuomai I taste Sanskrit ju ati he likes Old Irish do goa to choose ithey all look like cognates to this one Indeed from all these words one has reconstructed the root geus to choose The Latin word presents the zero grade gus Roots typically had e Ablaut is the change of e to o The zero grade is the version of the root that has no e Similarly dik is the zero grade of deik to show In West Germanic we have kuzi vote choice But beware French choisir does not come from Latinithere is no way to explain this with known sound laws For example it cannot be derived from gustare Known sound laws predict gustare to develop into go ter and this is what we nd Instead choisir was taken fromiGothic Indeed French has taken Lecture 19 Language Families and History of Languages 201 loanwords from Germanic being occupiedinhabited in large parts by Germanic tribes The name France itself derives from the name of a tribe Frankon With respect to Dutch and German the reconstruction is actually easy since the languages split around the 17th century Certain dialects of North Germany still have p where others have pf It often happens that a word is not attested in all languages For example English horse corresponds to Dutch paard and German Pferd with same meaning The sound laws allow to assert that paard and Pferd descend from the same word but for English horse this is highly implausible There is a German word Ross horse and a Dutch ros which sound quite similar but they are far less frequent What we have to explain is why the words are different Now we are lucky to have source con rming that the word was sometimes spelt hros sometimes ros in Old German In Icelandic it is still hross The loss of h before r is attested also in other cases like the word ring But the change happened in English too and the only reason why the h was preserved in horse is that the r changed places with o Finally where did Dutch and German get their words from Both words come from the same source but it is not Germanic it is Medieval Latin paraveredus post horse 200 900 AD which in turn is para veredus para comes from Greek l para aside and veredus is Celtic It is composed from ve under and reda coach In Kymric there is a word gorwydd horse So paraveredus had a more special meaning it was the horse that was running on the side The coach had two horses one on the right and one on the left the one on the left was saddled and the one on the right was the side horse English has a word pa1frey which denotes a kind of riding horse The Indo European root that has been reconstructed is ekWos Latin equus Greek hippos and Sanskrit a val1 Had we not known that the Latin word is equus we would have had to guess from French cheva1 and Spanish caballo Thus roots do not survive everywhere Words get borrowed changed re turned and so on There are not too many roots that are attested in all languages mostly kinship terms personal pronouns and numbers Other Language Families In addition to Indo European there is another language family in Europe the Uralic language family The languages that are said to belong to that family are 202 Finnish Estonian Lappish Hungarian and a number of lesser known languages spoken in the north of Russia The a iliation of Hungarian is nowadays not dis puted but in the 19th century it was believed to be related to Turkish Unfortu nately the written records of these languages are at most 1000 years old and the similarities are not always that great Finnish Estonian and Lappish can be seen to be related but Hungarian is very much diITerent This may have to do with the fact that it was under heavy in uence from Slavic Turkish the Turks occu pied Hungary for a long time and Germanic not the least through the Habsburg monarchy The a iliation of Basque is unknown Other recognized language families are Semitic including Hebrew Ethiopic Amharic Aramaic and Arabic Altaic Turkish Tatar Tungus and Mongolian Dravidian spoken in the south of India Tamil Telugu Kannada and Malay alam Austronesian Malay Indonesian Malagassy languages spoken on Ma cronesia Micronesia and Polynesia EskimoAleut Inuit 2 Eskimo indige nous languages spoken in Canada Greenland Western Siberia and the Aleut ls lands The list is not complete Sometimes languages are grouped together be cause it is believed that they are related but relationships are actually hard to come by This is the case with the Caucasian languages Georgian and many others It is believed that the people who live there have not moved for several millenia This has given rise to a dazzling number of quite distinct languages in a relatively small area in and around the southern part of the Caucasian mountains Probing Deeper in Time It has been tried to probe deeper into the history of mankind One way to do this is to classify people along genetic relations a large project with this aim has been led by Cavalli Sforza another has been to establish larger groupings among the languages Although genetic relationships need not coincide with lan guage relationships the two are to a large degree identical Two hypotheses are being investigated starting from lndo European Joseph Greenberg proposed a macrofamily called Eurasiatic which includes lndo European Uralic Altaic Eskimo Aleut Korean Japanese and Ainu spoken in the north of Japan and Chukchi Kamchatkan It has been suggested on the other hand by Russian lin guists lllyc Svityc and Dolgopolsky that there is an even larger macrofamily 203 called Nostratic which originally was believed to include all Eurasiatic families Afro Asiatic spanning north Africa including Semitic Dravidian and Kartvelian 2 Caucasian Greenberg did not reject the existence of Nostratic but wanted to put it even farther back in history as a language which developed among other into Eurasiatic Moreover the position of modern Nostraticists has come closer to that of Greenberg s views At a larger scale there are believed to be twelve such macrofamilies in this world all ultimately coming from a single language Examples of words that are believed to have been passed to us by the single ancestor language are kuan dog mano man mena think about mi n what 39i aq wa water tik nger one and pa1 two see Merrit Ruhlen amp John Bengtson Global Etymologies in Merrit Ruhlen 0n the Origin of Ian guages Stanford University Press 1994 2777336 This is highly speculative but the evidence for Eurasiatic or even Nostratic is not as poor as one might think Common elements in Eurasiatic are for example rst person in m second person in tn Greenberg has collected a list of some 250 words or elements that are believed to be of Eurasiatic origin Ruhlen and Bengtson list 27 Proto World roots Index Ablaut 200 adjective 98 adjunct 105 admissibility local 106 adposition 106 adverb 98 a ix 80 145 aITricates 27 agreement 110 111 subject verb 114 agreement feature 118 allomorph 144 allophone 28 ambisyllabicity 56 anaphor 134 archiphoneme 52 argument 99 oblique 102 attribute 30 autosgmental phonology 56 AVS 31 inconsistent 31 been ciary 176 binarism 3 8 c command 126 candidate 76 optimal 75 204 case 1 1 1 category 93 96 lexical 98 major 98 circum x 146 class 168 classi cation system 35 classi er 187 clause 107 matrix 107 subordinate 123 coda 55 comparability 126 comparative 149 compensatory lengthening 152 complement 105 complementizer 98 compounding 82 conclusion 155 conjunct 163 consonant similar 68 constituent 89 92 context 28 91 Continuity of Constituents 89 coordination 89 count noun 186 dactylus 63 dative 113 Index 205 derivation 96 determiner 98 de nite 11 1 inde nite 111 diphthongs 27 discourse 4 Distributed Morphology 11 environment 28 event 175 atelic 189 telic 189 experiencer 176 exponent 3 extrasyllabicity 56 feature 30 grammatical 112 foot 62 function 160 gender 111 168 feminine 111 masculine 111 neuter 111 Generalised Phrase Structure Gram mar 108 generation 6 genitive 113 Anglo Saxon 113 GPSG 108 grammar 6 95 haplology 68 head 105 122 movement 122 semantic 180 Head Driven Phrase Structure Gram mar 108 HPSG 108 idiom 5 immediate constituent 90 in ection 82 integrated whole 186 intension 174 International Phonetic Alphabet 14 intonation 15 IPA 14 language 6 96 string 92 lax 34 level 100 Lexical Functional Grammar 11 lexicon 6 LFG 11 local admissibility 106 logical consequence 155 Logical Form 11 loudness 62 markedness 39 mass noun 187 Maximise Onset 61 meaning 3 5 merge 6 metathesis 74 metre iambic 63 trochaic 63 metrical stress 63 minimal pair 24 morph 10 144 morpheme 5 8 10 144 morphological change 146 morphology 4 206 Index natural class 34 necessity 174 node 126 nominative 113 Non Crossing 89 Not Too Similar Principle 71 noun 98 nucleus 55 number 109 object 99 direct 99 indirect 113 obstruent 67 occurrence 87 constituent 93 Onset Legitimate 61 onset 55 legitimate 61 opposition 39 equipollent 39 privative 39 Optimality Theory 73 OT 73 overlap 87 person 112 PF 11 phone 10 phoneme 10 25 28 Phonetic Form 11 phonological representation deep 50 surface 50 phonology 4 phrase 98 100 pluperfect 172 positive 149 postposition 106 pragmantics 157 precedence 87 90 predicate 166 pre x 146 premiss 155 preposition 98 pro form 107 process 175 projection 100 intermediate 100 pronoun 112 proposition 154 ranking 76 reading 177 realisation rule 34 reciprocal 134 Recover Adjacency 75 Recover Obstruency 74 Recover the Morpheme 74 Recover Voicing 75 relative clause 180 restrictive 181 representation surface 73 syntactic 109 underlying 73 rhyme 55 root 53 81 root of a tree 90 rule context free 95 domain 56 S structure 11 sandhi 44 Index 207 Sapir Whorf Thesis 168 scope 177 selectional feature 1 18 semantics 4 154 sentence ambiguous 156 sign 3 5 exponent 5 morphological structure 5 phonological structure 5 semantic structure 5 syntactic structure 5 signi ed 3 signi er 3 sonoricity hierarchy 57 sonoricity peak 58 sound law 195 speci er 105 SR 73 start symbol 95 state 175 statement 154 stratum 5 stress 15 62 primary 62 secondary 63 string 92 structure morphological 7 subject 99 su ix 146 suprlative 149 syllabi cation 59 syllable antepenultimate 62 closed 55 heavy 63 open 55 penultimate 62 weight 64 Syllable Equivalence 75 Syllable Structure 1 55 Syllable Structure 11 57 syntactic representation deep 120 syntactoc representation surface 120 syntax 4 tense 98 tension 34 theme 176 tier 57 topicalisation 119 trace 141 trans x 147 transformation 120 Transformational Grammar 11 tree 90 root 90 truth value 160 type 165 UR 73 V2 122 value 30 value range 30 variation free 26 28 verb 98 distributive 170 transitive 100 verb second 122 Voice Agreement Principle 67 Wh Movement 121 122 208 Index wh word 121 word 98 Words are Constituents 89 world 173 zero grade 200 Languages Afro Asiatic 203 Ainu 202 Albanian 13 Altaic 202 Amharic 202 Arabic 202 Aramaic 202 Armenian 195 Austronesian 148 202 Avestan 198 Basque 13 202 Breton 195 Bulgarian 122 Caucasian 202 Celtic 195 201 Chinese 149 Chrau 147 Chukchi Kamchatkan 202 Cornish 195 Danish 195 DraVidian 202 203 Dutch 194 195 1997201 Eskimo Aleut 202 Estonian 202 Ethiopic 202 Eurasiatic 202 209 Faroese 195 Finnish 60 62 72 77 116 150 202 French 13 20 58 59 62 150 154 168 195 1997201 Frisian 195 Gaelic 195 Gaulish 195 Georgian 116 202 German 13 32 33 49 50 52 56 62 83 106 116 122 146 147173 194L201 210 Germanic 72 194L197 20L202 Gothic 195 1977199 Greek 62 189 1957201 Hebrew 202 Hittite 195 Hungarian 56 62 81 106 115 116 122147150168182202 Icelandic 195 201 Indo European 195 197 2007202 Indonesian 148 202 Inuit 149 202 Irish 195 Italian 195 199 200 Japanese 60 72 106 202 Kannada 202 210 Languages Kartvelian 203 Korean 49 202 Kymric 201 Lappish 202 Latin 41 56 58 62 65 81 84 1117 113116135148151193 1957201 Lithuanian 195 196 Malagassy 202 Malay 202 Malayalam 202 Mandarin 13 Manx 195 Mohawk 149 Mokilese 31 Mongolian 202 MordVin 116 Norwegian 195 N ostratic 203 Old German 201 Old English 200 Old Irish 200 Old Persian 195 Portuguese 13 195 Potawatomi 116 Rumanian 122 147 195 199 Russian 49 Sanskrit 14 29 41 44 83 106 1957 198 200 201 Scandinavian 199 Semitic 202 Slavic 195 202 Spanish 13 195 201 Swahili 154 Swedish 62 195 Tamil 202 Tatar 202 Telugu 202 Tocharian 195 Tungus 202 Turkish 202 Uralic 201 202 Welsh 195 West Germanic 200 httpwww phonetics ucla ed ucoursechapter 6hindihindihtm H w m I tl Ij I I a d p D J I 39Iquot Iquot 393 f l b 13 10 16 quotthe EIIquot quotthe r39r39IE1quot quotpHEBquot quotlongquot 18 lmu 135 N l di quot u g g quot t h 91 r quot II n a m II quot 39 r quot quot quot1 0 n d a g quot 10 quottiredquot httpwww phonetics ucla ed ucoursechapter 9danishdanishhtm h I Table 31 Contrasts among consonants in English Lubim lnmdmmt Abrulm v AIvmfluluml 13911th Ilulmi 5mm mnl Ifirimk39s uum unrinuannI lap Ip pa 1 match III pick 1k lab lb pad d Madge L13 pig 9 Cunzinwnti Eta high 1039 gtip M masher If hip lm lL cv lhv 5 up zj measule 3 Numls sum Im sun In sung In Liquhls amulid ye i wet 1w lee 1 palalau real 1 Table 315 Phonetic and phonemic transcriptiun of English PI miirmhlc pmpcnytw nur Phrmrlir I ltmmuic39 npvmnmi in IllanIllh nmk rmliml mnsnipn39nn Word nmu ripriun plan J39panx vo elessness of hquid ki ip 9111px vmcelessness of hquid k1j a kmk voiielessness of glude ZIIIJU 1 U glide after mid 101152 vowel In c ltla itquotajdl a mjds aspiration 1139x1 HAIL lion Canadmn Razsing Remarks on Contemporary Linguistics 5th edition Marcus Kracht Department of Linguistics UCLA 3 125 Campbell Hall 450 Hilgard Avenue Los Angeles CA 90095 1543 kracht humnet ucla edu March 7 2007 Despite the merits of the book there are a number of things that it either fails to explain or which are inconsistent I d like to point out a few of them These notes are meant to clarify issues that have either come up in discussions or I have noted while reading through the book I shall keep updating them Notice that everything I say below is for your bene t only Wherever I say that things in the book are incorrect I will refrain from checking your knowledge of such matters thus it will not arise in either the assignments the midterm or the nal When I elaborate on what the book says however this material might come up Watch the date on this manuscript as I might update this in the future The Feature System The little circle before the place features as in oLABIAL is an unhelpful way to deal with features It provides no bene ts and is confusing Basically rather than working with a distinction between a feature having the values or now we are playing with the distinction between having a feature and not having it Here is a way to achieve the same elfect We simply say that not having a feature means that the feature has value So if a sound has labial features then mark it as LABIAL if it does not have labial features mark it as LABIAL In the latter case also mark every other feature in that group as minus for example mark all LABIAL sounds as round Vowel Quality in American The vowel system of Standard American is dilferent from that displayed in the handbook of the IPA collected by Peter Ladefoged based on a south Californian speaker The dilferences are unimportant for the subject matter but may explain why a lot of people have di iculties assessing the identity of certain vowels The IPA lists in as central vowels 1 in the place where you nd the schwa and otherwise only A This explains why many of you cannot tell the dilference between a and A 7 there is none in the way you speak in case even and especially as native Americans Thus what elsewhere comes out as 63 the will rather sound 6A Similarly there is no vowel a listed in the IPA handbook only 0 and 1 Again this explains why so many have a hard time hearing the dilference between vowels that are written as o and 1 in the transcription of the wordsithere is likely to be none in the words The status of the glottal stop The glottal does not appear in the chart of phonemes Nevertheless it is part of the sounds that are characterised by the abstract feature system 325 of Chapter 3 Notice that the diphthongs ow and ej have been simpli ed to o and e respectively This is an inconsistency that is not explained anywhere as far as I see In present day English every vowel is automatically preceded by a glottal stop z39fthe onset is empty So we have on on aens1 answer but mek make Another way to view is to say that in English the onset is never empty it always consists in at least one sound By default it is the glottal stop There is some rationale for this In Old English verse where the rhyming principle was based on alliteration which means roughly that the onset is repeated not the rhyme one possibility for rhyming was to use words with a vowel However in Standard 2 American English which is what we look at here none of this can be brought to bear on the analysis Finding Syllables The rules for establishing the syllable boundaries are not laid out explicitly Let me put them down here for clarity 1 An English syllable has one and only one vowel Thus there are as many syllables as there are vowels This refers to the phonemes not the letters of course N Vowels and only vowels are nuclear sounds in English LA A legitimate onset is any sequence of nonvowels with which a proper En glish word begins Proper words are words of English that are not proper names of people countries or cities and are not recent loanwords or quota tions from other languages 4 In a word the onset belonging to a nucleus is the longest stretch of nonvow els that precedes it in the same word and is a legitimate onset UI Any sequence of sounds that spans between a nucleus and the next onset or the word boundary is an coda Notice that the division into syllables only requires that one knows about legiti mate onsets there is no need to know what the legitimate codas are Let me stress that this is the algorithm that we are using It may need re nement but it is quite accurate For the purpose of this lecture please ignore all further complications for example ambisyllabicity Applying Rules A rule is a statement of the form A gt BXY Rules are applied to strings orimore generallyisyntactic representations Let s focus on rules operating on strings The part to the left of the slash indicates the change that the rule intro duces if it at all applies the right hand side tells us on what condition it applies 3 It does so by telling us what the environment of A must be in order for the rule to apply To begin with the latter the parts XY says that the rule applies if the pa1ts that undergoes change nds itself immediately to the right of X and imme diately to the left of Y X and Y may be strings but in general can be properties of strings they may include abstract symbols such as word boundary or V vowel sonorant If they are empty the condition is void For example if X is empty the rule applies if A is followed by Y if Y is empty the rule applies if A is followed by X If both are empty it applies to all occurrences of A Now let us be given an arbitrary string 9 we call 9 the input to the rule The output is what the rule returns Two things may happen the does not rule apply or it does Moreover if it applies it may apply at dilferent places Let us look at these cases in turn D The rules does not apply In this case the rule does not change 9 J is also the output 2 The rule does apply In this case it may choose an occurrence ofA in fand replace it with B This gives a new string 7 which is then the output Let the rule be a gt A D This means that the rule applies if it has an occur rence of a at its beginning of a word or more exactly right next to an occurrence of D D The rule does not apply to DcatD Thus ifthe input is DcatD the output is DcatD again D The rule does apply to DappleD The only occurrence of a is right after B so the context condition is ful lled The rule applies by taking out that occurrence Dpp1eD and then inserting A DAppleD This is the output Since D is a symbol it is the word boundary which we normally write with a blank we may also create strings containing more instances of it for example Dapples are DhealthyD Ifthis is the input to the rule there is a choice as to where it can be applied There are three occurrences of a the rst two are at the beginning ofa word apple are the third one is not So applying the rule once gives us two possible outcomes 0 The environment of the rst occurrence is DpplesDare DhealthyD We insert A into this environment and get DApple s D are Dhe a1 thy D 9 The environment ofthe second occurrence is DapplesDre DhealthyD We insert A into this environment and get D apple 5 DAre Dhe a1 thy D 9 The environment of the third occurrence is DapplesDare Dhe1thyD This occurrence may not be chosen as e which precedes the underscore is not identical to D Notice that if some environment matches the condition the rule must be ap plied Otherwise the rule is called optional It may then be applied to any occurrence that matches the conditions on the environment It does not matter whether we think of the rules as acting on strings of letters or strings of sounds The concept of a rule stays the same The only dilference is the kind of object to which it applies Certainly we will not want to apply a rule designed for pronunciation to be applied to strings of letters and vice versa A and B may be strings but we may also take advantage of the feature de composition There are two important cases to look at Write for the empty string The rule G gt BXY will when applicable insert B the rule The rule A gt XY will when applicable delete A Context Free Rules A special topic not covered in the book are the context free rules This is a rule where the context is empty More exactly it has this form 1 X gtY1YzYn where there is one letter to the left X and one or several letters to the right the Yi We could write this rules as follows 2 X gtY1Y2 Yn But it is generally agreed that the context condition is not mentioned The format 2 shows us that the rule can be applied to any X regardless what is found to its left and regardless what is found to its right That is why the rules are called context free Xbar syntax can be written using context free rules Here are some rules of X bar syntax NP gt Det N39 NP gt N N gt N PP N gt N 3 We can collapse two rules with the same symbol to the left as follows NP gt DetN N 4 N gtNPPN The vertical slash indicates a choice between the items on its left and on its right It is not part of the rule For example in the rst line the slash separates the string Det N and N This means that we have two rules one where we replace NP by Det N and another where we replace it by N These rules are interpreted as follows Suppose we have a string NP Then by the rst rule we are allowed to replace this by the sequence Det N In this sequence both Det and N are seen as single symbols just accidentally written using several characters Following this we are allows to replace N39 by N PP for example This means that the sequence Det N becomes Det N PP upon involving that rule We could use another rule the last one for example and get instead Det N Now we have exhausted the rules however There is nothing that we can do using the rules But notice that the rules above only talk about projections of Ns andimoreoverionly with Ps as complement In particular nothing is said about FF is general So we add another set of rules PP gtDegP39 PP gtP39 P39 gtPNP P gtP 5 In shorthand we may write this as PP gt Deg P39 P39 6 0 P gtPNPP And so we can continue the derivation From Det N PP we can get to Det N Deg P and nally Det N Deg P NP At this point we call our rules upstairs and replace NP rst by Det N and then by Det N The sequence we get is 7 Det N Deg P Det N We still need to ll in the words though There are two ideas One is to simply use context free rules N gt house cat theoreml idea 8 Det gtthea Deg gt almost right P gtinunder That means that wherever we nd N we may choose to replace this either by house or by cat or by car or by whatever follows in this list Thus applying the rules we can go on as follows Det N Deg P Det N Det house Deg P Det N a house Deg P Det N 9 a house Deg under Det N a house right under Det N a house right under the N a house right under the cat Make sure you check that in passing from one line to the next I have applied just one rule to one particular item What I obtained was an understandable though somewhat unusual phrase of English Typically Xbar syntax is written in an abstract form as follows XP gt Z X XP gt X X gt X YP X gt X 10 Here X Y and Z are placeholders for categories X can be A V N or P Y can again by A V N or P Finally Z depends on what X is If X N then Z Det 7