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Handbooks in Linguistics
This outstanding
covers all
Mark Aronoff and
2001, 2003
Blackwell Publishers
Publishing company
Editorial Offices:
Cowley Road, Oxford
Tel: +44
(0)1865 791 100
1Origins of Language
2Languages of the World
3Writing Systems
12Generative Grammar
13Functional Linguistics
15An Introduction to Formal Semantics
16Pragmatics: Language and Communication
17Discourse Analysis
18Linguistics and Literature
19First Language Acquisition
20Linguistics and Second Language Acquisition:
One Person with Two Languages
22Natural Sign Languages
25Computational Linguistics
26Applied Linguistics
27Educational Linguistics
28Linguistics and Reading
29Clinical Linguistics
30Forensic Linguistics
32Language Planning
State University of New York, Stony Brook
Lyle Campbell
D. A. Cruse
University College of North Wales, Bangor
Andrew Spencer
Richard Sproat
AT&T Research
Rebecca Treiman
Wayne State University
Robert D. Van Valin, Jr
State University of New York at Buffalo
Thomas Wasow
Stanford University
Agnes Weiyun He
State University of New York, Stony Brook
For over a century, linguists have been trying to explain linguistics to other
people who they believe should be interested in their subject matter. After all,
everyone speaks at least one language and most people have fairly strong
of linguistics, it is intended for people who would like to know whatlinguistics
and its subdisciplines are about. The book was designed to be as nontechnical
as possible, while at the same time serving as a repository for what is known
rst century.
is to be regarded as authoritative, this will be
in large part because of the identity of the authors of the chapters. We have
recruited globally recognized leading
gures to write each of the chapters.
While the culture of academia is such that academic authors
nd it tremend-
allowed for fairly great progress in our understanding of this delimited area of
human behavior. Furthermore, the fact that language is the de
ning property
of humans, that it is shared across all human communities and is manifested
also learn about human nature.
Each chapter in this book is designed to describe to the general reader the
these chapters are somewhat shorter than the rest (approximately 4,000 words
We have tried not to emphasize ideology, but rather to divide things up by
gures 22.2, 22.3, and 22.7 are reprinted with permission from
A Basic Course in American Sign Language
, 1994, T.J. Publishers, Inc.,
1Origins of Language
Among the inhabitants of some African forests about eight million years ago
were ape-like creatures including the common ancestors of chimpanzees and
humans. Visualizing what these creatures were probably like is easy enough;
Andrew Carstairs-McCarthy
of whom have for decades been more adventurous than linguists in this area.
also are now beginning to offer.
Many religions provide an account of the origin of language. According
to the Judeo-Christian tradition, God gave to Adam in the Garden of Eden
dominion over all the animals, and Adam
rst exercise of this dominion
consisted in naming them. The fact that there are now many languages rather
than just one is explained in the story of the Tower of Babel: linguistic divers-
ity is a punishment for human arrogance. So long as that sort of account was
replace religious ones, it was inevitable that a secular explanation was sought
The fact that the origin of language must predate recorded history did not
inhibit eighteenth-century thinkers such as Rousseau, Condillac, and Herder,
who were con
while conclusions about how language must have arisen. Unfortunately there
In view of what has been said, it is not surprising that there is a shortage
of introductory surveys of this topic from a linguistic point of view; but
Aitchison (1996) can be recommended, as well as part II of W. Foley (1997).
Andrew Carstairs-McCarthy
must have emerged relatively early too.
icts with an opinion widespread among language originresearchers,
namely that the lowering of the larynx (with its concomitant increased risk of
choking) was a consequence of the evolution of more sophisticated language,
not a precursor of it (a
this predominant opinion, it may be argued, is to some extent a hangover from
the view that thesuperior
broadly speaking. This view was popular when Piltdown Man, with itshuman-
like skull and ape-like jaw, was still thought to be genuine, but is now gener-
ally rejected in the face of evidence for the small size of australopithecine and
guage from hominid brains. (I use the term
creature of the genus
c (though we will revert to it in section 6). But what of brain
structure? If it could be shown that an area of the modern human brain uniquely
associated with language was present in the brains of hominids at a particular
date, it would seem reasonable to conclude that those hominids possessed
language. But this line of reasoning encounters three problems. First, since
Andrew Carstairs-McCarthy
Andrew Carstairs-McCarthy
larly their knowledge of social relationships), and the results of experiments
4.1Vocal call systems
Until a few decades ago, it was generally thought that the calls uttered
by all animals, including monkeys and apes, were exclusively re
physical or emotional states such as pain, fear, hunger, or lust. In this respect,
the portion of the human vocal repertoire which primate call systems seemed
to resemble most closely was the portion consisting of involuntary sounds
such as cries of pain, laughter, or sobbing. No linguists have been reluctant to
not experience the relevant fear reaction and so would do nothing. However,
Andrew Carstairs-McCarthy
4.2Cognitive abilities
Long-term observations of primate groups in the wild, such as those of Goodall
fashion, and hence reinforces the worthwhileness of looking for precursors of
Social relationships among primates are both more complex and less stereo-
Andrew Carstairs-McCarthy
have communicated by sign before their vocal tracts had become capable
of modern-style speech, perhaps. One of the attractions of this proposal has
always been that it seems to provide a solution to the problem of how humans
that human languages have. A task for the language evolution researcher,
Andrew Carstairs-McCarthy
of the brain which controls movement of the hands; but it is not. Control of
bodily movements resides on the so-called motor strip, just in front of the
ssure which separates the frontal lobe from the
One suggestion which exploits that proximity will be discussed in the next
6Linguistic Evidence
of language has been left until last. However, as explained in section 1, lin-
guists have been relative latecomers to this
Andrew Carstairs-McCarthy
One striking fact about hominid evolution is that increase in brain size
was not steady. Rather, there was a
inevitably be a hexagonal pattern for reasons not of biology but of physics and
itant of structural properties of the brain that developed for other reasons
(quoted by Pinker 1994: 362). Chomsky has not looked for such structural
properties of the brain himself, preferring to concentrate on Universal Gram-
mar itself rather than on what may underlie it. But some researchers are now
using computer simulation to explore what happens when a signaling system
Andrew Carstairs-McCarthy
This tour of recent work on the origins of language has revealed few solid,
uncontroversial conclusions. Nevertheless, the
2Languages of the World
The aim of this chapter is to provide readers with an overview of current
Bernard Comrie
Scandinavian languages (including Danish, Norwegian, Swedish, andIcelandic);
an offshoot of German with considerable admixture from Hebrew-Aramaic
and Slavic is Yiddish, the traditional language of Ashkenazi Jews and a widely
spoken language of eastern Europe before the Holocaust. The Scandinavian
languages form North Germanic, while the other languages cited are West
Germanic; a third subbranch of the family, East Germanic, is now extinct, the
The Celtic languages (Ball 1993, MacAulay 1993) were once also dominant
languages of western and central Europe, but with the expansion of Germanic
Finally, with respect to the living languages, the Indo-Iranian languages are
spoken from the Caucasus to Bangladesh. Indo-Iranian divides into two sub-
tinuous area covering most of Pakistan, northern India, Nepal, andBangladesh.
The most widely spoken Iranian languages are Persian (Iran), with national
variants Tajik (in Tajikistan) and Dari (in Afghanistan), Kurdish (mainly in the
border area of Turkey, Iran, and Iraq), Pashto (in Afghanistan and Pakistan),
the classical language of Indian civilization; Pali, the sacred language of
Buddhism; and a large number of modern languages, of which the most
widely spoken are Hindi and Urdu, essentially different national forms of the
same language, in India and Pakistan respectively; Sindhi and Western Panjabi
Rajasthani, Marathi, Bhojpuri, Maithili, Assamese, and Oriya in India; Bengaliin
India and Bangladesh; and Sinhala, geographically separated from the other
Romani languages, spoken by Rom (Gypsies), belong to the Indo-Aryan group
In addition, two branches of Indo-European consist of extinct but well at-
tested languages. The best known of the Anatolian languages, spoken inwhat
is now Turkey, is Hittite, language of a major ancient empire (seventeenth
). Tocharian is a family of two closely related languages,
attested in texts from the latter half of the
the Xinjiang region in northwestern China.
2.2Uralic languages
The Uralic language family (Abondolo 1998) must once have been spokenover
a continuous part of northeastern Europe and northwestern Asia, but inroads
by other languages, primarily Indo-European and Turkic, have isolated manyof
the Uralic branches and languages from one another geographically. The fam-
ily falls into two clear subgroups, Finno-Ugric and Samoyedic. The Samoyedic
languages, all with small numbers of speakers, are spoken along the northern
fringe of Eurasia, roughly from the Kanin peninsula to the Taymyr peninsula.
Finno-Ugric divides in turn into a number of branches: Balto-Finnic (around
Volgaic (on the Volga, although the unity of this branch is now questioned),
Permic (northeastern European Russia), and Ugric (western Siberia and Hun-
gary, though the unity of Ugric is also questioned). The most widely spoken
languages are two Balto-Finnic languages, Finnish and Estonian, and one of
the Ugric languages, Hungarian. It should be noted that the present location of
Hungarian is the result of a long series of migrations, so that Hungarian is
now far distant in location from its closest relatives within Finno-Ugric.
2.3Altaic families
languages, which are not mutually intelligible with Japanese or with each
divided by the Spain
3.1Dravidian languages
The Dravidian languages (Steever 1998) are the dominant languages of south-
ern India, with Tamil also spoken in northern Sri Lanka. The Dravidian family
Telugu, the language of the Indian state of Andhra Pradesh, is a South-Central
Dravidian language, while the following are South Dravidian: Tamil (Tamil
3.2Austro-Asiatic languages
The usual classi
Bernard Comrie
Oceanic includes all other Austronesian languages of Melanesia, Micronesia
(except that Palauan and Chamorro are Western Malayo-Polynesian), and
triangle whose points are Hawaii in the north, Easter Island in the east, and
New Zealand in the south. Polynesian languages include Hawaiian, Tahitian,
Bernard Comrie
(Nihali) in central India. Burushaski is reasonably well described, while Nahali
distribution, this distribution of the family as a whole goes back to antiquity.
The family is generally considered to have six branches: Semitic in southwest-
South Semitic includes the South Arabian languages spoken on the southern
fringe of the Arabian peninsula. Most living South Semitic languages belong
One branch of Niger-Congo is spoken outside the area delimited above,
namely Kordofanian, spoken in the Nuba mountains of Sudan, to the south of
Nigeria border in the east. The precise extent of Kwa has shifted consid-
erably since Greenberg (1963), and not all the innovations have been generally
accepted. In Bendor-Samuel (1989), the term Kwa covers essentially Greenberg
Western Kwa, with his Eastern Kwa being mostly reassigned to Benue-Congo
(see below). The least controversial part of these changes is the exclusion of
Kru (see above) and Ijo (see below) from Kwa. In what follows, as in the geo-
graphical description given above, the restricted sense of Kwa as in Bendor-
Samuel (1989) will be followed. Kwa languages, in this narrow sense, include
Baule, an important regional language of southern C
Ivoire; the Akan
dialect cluster (Twi-Fante), the major indigenous language of Ghana; the Ga-
Dangme dialect cluster, including Ga, the major indigenous language of the
Ghanaian capital Accra; and the Gbe dialect cluster, including Ewe, a widely
spoken indigenous language in Ghana and Togo, and Fongbe, the most widely
Ijo, now usually considered a distinct branch of Niger-Congo, is spoken
around the delta of the Niger River in Nigeria, and is the major indigenous
Kinshasa, Angola), Luba-Kasai (Congo
(Kenya), Kamba (Kenya), Luyia (Kenya), Luganda (Uganda), Nyankore
(Uganda), Soga (Uganda), Kirundi (Burundi), Kinyarwanda (Rwanda)
and Kinyarwanda are essentially different national variants of the same lan-
Chagga (Tanzania), Haya (Tanzania), Makonde (Tanzania, Mozam-
bique), Nyamwezi (Tanzania), Sukuma (Tanzania), Lomwe (Mozambique),
Makua (Mozambique), Sena (Mozambique), Tsonga (Mozambique, South
Africa), Nyanja (Malawi, Mozambique, Zambia), Tumbuka (Malawi, Zambia),
Yao (Malawi, Tanzania), Nyakyusa-Ngonde (Malawi, Tanzania), Bemba
(Zambia), Luvale (Zambia), Tonga (Zambia), Northern Ndebele (Zimbabwe),
Shona (Zimbabwe, Zambia, Mozambique), Tswana (Botswana, South Africa),
Southern Sotho (Lesotho, South Africa), Swati (Swaziland, South Africa), North-
ern Sotho (Pedi) (South Africa), Tsonga (South Africa), Venda (South Africa),
Xhosa (South Africa), Zulu (South Africa).
4.3Nilo-Saharan families
Nilo-Saharan, as proposed by Greenberg (1963), has proven to be more con-
troversial than either Afroasiatic or Niger-Congo, although the most recent
structure of Nilo-Saharan is also more controversial. In what follows I have
therefore limited myself to citing some of the more widely spoken Nilo-
Nilo-Saharan languages are not spoken in a continuous geographical area,
and even in the areas mentioned below they are often interspersed with
Afroasiatic (Chadic, Cushitic, also Arabic) and Niger-Congo languages. One
Nilo-Saharan area is the middle course of the Niger River; another is Chad;
a third is the Nile around the Egypt
Sudan border; while a fourth includes
Sudan border area, of which the most widely spoken
is Nobiin. It also includes the Nilotic languages, a grouping which includes the
Luo (Lwo) languages Acholi (Uganda), Lango (Uganda), Alur (Uganda, Congo
(Kenya, Tanzania), Turkana (Kenya), Karamojong (Uganda), and Teso (Uganda,
includes Ngambay (Sara-Ngambay) (Chad), Lugbara (High Lugbara) (Congo
5Languages of the Americas
Minnesota, and Wisconsin down to Arkansas, with outliers historically almost
as far south as the Gulf and in Virginia. The Muskogean family, formerly con-
centrated in the southeastern USA, includes Choctaw, Chickasaw (these two
arguably dialects of a single language), Alabama, and Seminole.
The Iroquoian languages are spoken around the Great Lakes, apart from
Cherokee, originally spoken in Georgia; the family also includes Tuscarora,
Huron (extinct), Seneca, and Mohawk. The Algic (Algonquian-Ritwan) family
covers much of the northeast of North America, though also extending into
western Canada and with two outliers on the Great Plains (Cheyenne and
Arapaho). The family includes Blackfoot, the various forms of Cree spoken in
Canada, and Ojibwa in Canada and the USA. These are all Algonquian lan-
guages. The two Ritwan languages, Wiyot (extinct) and Yurok (moribund),
though indubitably related to Algonquian, are spoken in California.
Uto-Aztecan is one of the major language families of North America, spread-
odham) in Arizona and Sonora; Cora and
the language of the Aztec empire.
5.2Languages of Meso-America
The languages of Meso-America are surveyed in Su
rez (1983). The Uto-Aztecan
Other major language families of Meso-America are Otomanguean, Mixe-
Zoquean, and Mayan. The Otomanguean languages are spoken mainly across
the isthmus of Mexico, especially its southern part (Guerrero, Oaxaca, Puebla),
, are spoken further north and separated from the
mass of Otomanguean languages. Mixe-Zoquean languages are spoken in
a number of geographically separated groups in the isthmus of Mexico; the
rst of the great Meso-American civilizations, seem to havespoken
a Mixe-Zoquean language. The Mayan languages cover or covered most of
guages include Yucatec, Chol, Kekchi, and K
); although Choldoes
is important historically as the most direct descendant of the language of the
Mayan hieroglyphic inscriptions.
5.3Languages of South America
For Amazonian languages, Dixon and Aikhenvald (1999) provide a survey; a
comparable survey for Andean languages is in preparation by Willem Adelaar
Bernard Comrie
Bernard Comrie
Sign Language than it is to British Sign Language. Grimes and Grimes (1996)
3Writing Systems
But also, since Sumerian words were mostly just one syllable long (consonant-
also be used for other similar words for items that could not be easily pictured;
(Such reuse is called the
rebus principle
.) As soon as signs came to be
used in these transferred ways, they could also be used to record the wide
The following CVC signs are also used:
: 57).



recognizable pictures over the 3,500 years they were in use; but from quite
Table 3.2











systematically than in cuneiform, as are
Table 3.3
West Semitic abjads
Where two forms are shown, that on the right occurs at the end of a word.
(Ugaritic and Sabean values); {Mandaic values}.
Cf. table 3.11 for the ancient order of the Sabean abjad.




An additional 16 characters represent variant sounds, and 11 more occur so rarely that they
commodities, which are not used as logograms in Mycenean Greek prose.
Table 3.5
The construction of Chinese characters (after Gabelentz 1881:
are used for writing grammatical morphemes attached to Chinese
) that are used for content words, and
are used for
foreign words (table 3.6). Korean struggled with characters longer than Japan-
ese and came up with a unique script described below.
Table 3.6
The syllabic nasal (hi. , ka. ) comes at the end of the list.
Vowel length is indicated in kana by doubling, or more often with a following dash: or
. Geminate consonants are written in kana with a preceding subscript hi. , ka.
, ka.
roll up
Table 3.7
Brahmi-derived scripts of South and Southeast Asia
Table 3.7
Table 3.8
Vowel indications in some scripts of South and Southeast Asia


Some consonant clusters in South and Southeast Asian scripts
Here, though, consonant clusters were not notated by combining symbols into
a single character regardless of syllable division. Rather, the end of every syl-
nal consonants are kept separate
from syllable-initial consonants, while vowels are still indicated by additions
Table 3.9
Old CyrillicRussian
Table 3.10
yew tree
god Tyr
birch twig
seventh centuries); both reveal the in
Table 3.12
West Semitic vowel signs (shown with the consonant
HebrewSyriac (Eastern)Syriac (Western)Arabic
melodies (the Tiberian system is the only one still in use). Arabic marks the
three short vowels and a number of morphophonemic phenomena (with, as
Table 3.13
Manichean, Parthian, Pahlavi, Avestan, Sogdian
Source of
]Phl. l []Phl.Phl.Av.
w, r
Iranian fonts courtesy of P. Oktor Skj
, Harvard University.
According to Hoffmann 1988, summarizing Hoffmann and Narten 1989.
Table 3.14
Uyghur, Mongolian, Manchu (after Coulmas 1996: 526, 344, 322)



t d
k g

Table 3.15

tread on
Korean syllable formation
Second, there are upwards of a dozen cases of scripts independently de-
invented by people who could not read or write in
any language, but simply were aware of the existence of writing (usually that
of Christian or Muslim missionaries). Earliest and most familiar is the Cherokee
syllabary, devised in the 1820s by Sequoyah (table 3.17A). Over the next cen-
tury or so, a number of syllabaries were invented in Africa, as well as some in
North and South America and in Oceania.
Table 3.17
The Cherokee and Cree syllabaries
A. Cherokee
B. Cree
A dot above the syllable (except for the -
2Writing and Language
1992). The suggestion that the shapes of some tokens relate to early, abstract
cuneiform signs is purely speculative, since there is no way to know what any
s syllabary order (read left to right)
been suggested. This order is found in the earliest abecedaries, from the four-
Table 3.18
certain how long they were in use). Paper, which is made from macerated,
ßowers] are
forever? Today cross over
s illusions and there
dreaming, no more
Iro wa nioedo chirinuru
Jerrold S. Cooper, John DeFrancis, Victor
Mair, M. O
Connor, and P. Oktor Skj
Space limitations preclude incorporating
4The History of Linguistics
Many ÒhistoriesÓ of linguistics have been written over the last two hundred
subÞeld, with conferences, professional organizations, and journals of its own.
Works on the history of linguistics often had such goals as defending a particu-
lar school of thought, promoting nationalism in various countries, or focuss-
Lyle Campbell
which was the language of religious and legal texts, was being replaced by
Akkadian. This grammatical tradition emerged, by about 1900
to be read. Most of the texts were administrative lists: inventories, receipts,
and rosters. Some early texts for use in the scribal school were inventories
(lists) of Sumerian nouns and their Akkadian equivalents. From this, gram-
; different forms of
the same word, especially of verbs, were listed in a way that represented
For the Greeks, morphology (word structure) was mostly a historical matter,
about the creation of the structure of words (part of
Lyle Campbell
had to mirror reality as grasped by understanding; that is, grammar was ultim-
ately underwritten by the very structure of the universe (Breva-Claramonte
languages) from accidental ones. For example,
Lyle Campbell
Information on languages from Africa, Asia, and America became available
in the form of word lists, grammars, dictionaries, and religious texts, and
attempts at classifying these languages followed. Historical linguistic interests
had a background in the Greek tradition
s nature-versus-convention debate
1643, and ten Kate 1710, had a lasting impact. Their analysis of words into
roots and af
xes (pre
xes), which was inspired by the Hebrew
Lyle Campbell
produced by accident; so strong indeed, that no philologer could examine them
all three without believing them to have sprung from
some common source
perhaps, no longer exists. There is a similar reason, though not quite so forcible,
, though blended with a very differ-
added to the same family, if this were the place for discussing any question
. (Jones 1798: 422
Based on this, Jones is usually credited with founding comparative linguistics
and discovering the relationship among Indo-European languages. However,
this is a most unfortunate misreading of the history of linguistics. Jonesneither
(quoted by Gregersen 1977: 97). Before
famous pronouncement was published (in 1798), Jonathan Edwards,
1826) (1787) demonstrated the family relationship among the Algon-
quian languages; Edwards listed
grammatical features
; Jones, in contrast, presented no linguistic evidence.
Connections among Indo-European languages had been observed by many
Lyle Campbell
re (from *bhr
s law, we expect the
of Sanskrit to correspond to
found in this Gothic word, and given the
. Verner
law. When the Proto-Indo-European accent followed the sound in question
rst sound in the word), as seen in Sanskrit
in Germanic, as in the Gothic word; otherwise, Grimm
Lyle Campbell
4.3The Neogrammarians
This success in accounting for what had originally appeared to be exceptions
dence that sound change was regular
and exceptionless. The Neogrammarians, beginning in about 1876 in Germany,
became extremely in
uential. They were a group of younger scholars who
proclaiming their own views. They were called
in German, where
young Turk,
originally intended as a humorous nickname for these rebellious and strident
Karl Brugmann (1849
1922), August Leskien, Hermann Osthoff (1847
sound laws suffer
or, more precisely,
occurs mechanically, takes place according to laws that admit no exceptions,
was declared virtually as doctrine in the so-called
of Hermann Osthoff and Karl Brugmann (1878), written mostly by Brugmann.
This became an important cornerstone of reconstruction by the comparative
stone started the waves) can cross or intersect outward moving waves coming
from other dispersion centers (started by other stones thrown into the water in
other locations). Changes due to language contact (borrowing) were seen as
analogous to successive waves crossing one another in different patterns. The
slogan, that every word has its own history, re
a word
s history might be the result of various in
uences from various
directions, and these might be quite different from those involved in another
s history; hence each word has its own (potentially quite different)history.
challenges to the Neogrammarian position, in fact the Neogrammarianfounders
gained support for their position in dialect study. They were impressed by Jost
s (1876) study of the Kerenzen dialect of Swiss German in which
he presented phonological statements as processes, modeled after P
ancient rules for Sanskrit. This
which Winteler saw in the dialect
modern rules
for example that in Kerenzen every
ÒngÓ inEnglish sing] before
inspired them to have con
Lyle Campbell
and through this to a
of languages. These types were often viewed
6The Rise of Structuralism
Thinking which led to the replacement of the historical orientation in linguist-
ics by emphasis on the study of living languages and their structure came
from a number of quarters at roughly the same time. For example, incipient
developed in several areas at about the same time,
nition varies from school to
unit of sound capable of changing the meaning of words. Some speculate
that in the wake of World War I, linguists were happy to free themselves of
the German domination represented by the Neogrammarian historicism
which had been predominant until then, and indeed the new currents, partly
convergent but also with individual characteristic differences, came not from
Germany, but from Switzerland with de Saussure, Russia with Baudouin de
Courtenay, and America with Boas.
6.1Ferdinand de Saussure (1857Ð1913)
uential Neogrammarian work on the vowels of Indo-European
genitive in Sanskrit, Saussure published little else, nothing on the topics for
Lyle Campbell
that system. He compared language to a game of chess, a highly organized
system of relations, where it is not the actual physical attributes of
ne the game, but rather the relation of each piece to the
American languages and cultures before they disappeared, and indeed his is
Lyle Campbell
s views reoriented the
eld towards
became the core of Boas
particular types of linguistic morphology with certain correlated stages of
cultural development...are rubbish
cant racial differences in the
the belief that differences in linguistic forms (believed to be con-
nected with the actual processes of thought) could be indexed to racial differ-
ences. However, he did uphold the psychological orientation of the earlier
s perception of the world is organized
or constrained by the linguistic categories his or her language offers, that
Lyle Campbell
language. The primary task of the linguist, according to Chomsky, should not
be to discover the structure of the language from a body of data; rather, the
goals should be to describe and explain the knowledge of the structure of the
language which the native speaker has. This shifted attention from actual
behavior (or recorded data) to the system of knowledge that underlies the
production and understanding of language, and, further, to the general theory
of human language lying behind this knowledge. This was a radical reorienta-
eld, rejecting the anti-mentalism of the Bloom
Chomsky redirected the goal of linguistic theory towards attempting to pro-
vide a rigorous and formal characterization of the notion
Universal Grammar.
In his view, the aim of linguistics is
Lyle Campbell
is approved by the mother when the child shows her a teddy bear
Look, Teddy is wearing a sock
receives the mother
disapproval when the child shows the mother a bear without a sock. Perhaps
as the rats learned, but not language. Language structure is very complex, but
children do not go through a prolonged trial-and-error phase. In Chomsky
A consideration of the character of the grammar that is acquired, the degenerate
quality and narrowly limited extent of the available data, the striking uniformity
of the resulting grammars, and their independence of intelligence, motivation,
the structure of the language can be learned by an organism initially uninformed
as to its general character. (Chomsky 1964: 58)
As evidence of innateness, the following have been offered. Language is ex-
tremely complex but children acquire it in a remarkably short period of time.
The stimulus or experience children have with the language around them
appears to be too poor to provide the basis for acquiring the mature linguistic
capacities that they ultimately attain. The language around them that children
experience consists partly of degenerate data which have little effect on the
capacity which emerges; the speech children hear is full of un
tences, mistakes, slips of the tongue (performance errors). It contains few or no
example sentences to illustrate some of the complex structures that children
attained includes the ability to produce an in
the poverty of stimulus argument.
tion of language is relatively independent of intelligence
learning ability of dim children is not noticeably inferior to that of bright
children; all but those on the lowest rungs of mental de
and language emerges at about the same time in children all over the world,
Case Grammar,
Generalized Phrase Structure Grammar,
Head-Driven Phrase Structure Grammar,
Functional Grammar,
Relational Grammar.
Lyle Campbell
goes unmentioned, though the major developments have been described here.
erties of universal grammar, and the function of language (and how function
may help shape language structure). The extent to which these approaches
will converge or diverge even further is anyone
linguistic media make the issue of remote language relationships appear to be
one of the biggest concerns of present-day linguists. In fact, it is the concern
of very few linguists; nevertheless, efforts to work out the history of human
languages and their more distant family relationships will continue, though it
5Historical Linguistics
One remarkably striking observation about language, seemingly trivial but
actually quite important, is that languages change through time. It is at least
conceivable that language could remain unchanged over time, as is the casewith
some other human institutions, e.g. various taboos or the rules to some games,
The mutability of languages can be demonstrated empirically through a
comparison of a single language at different stages in its history. For instance,
(1) below provides Þrst lines of some great works from three periods of Eng-
lish: Old English as represented by CaedmonÕs hymn of the seventh century,
Middle English as represented by ChaucerÕs Prologue to the
Canterbury Tales
from the late fourteenth century, and early Modern English as represented by
from the early seventeenth century:
(1)English at various stages in its history
ces Weard
ÒNow we ought to praise the guardian of the kingdom of heaven.Ó
Canterbury Tales
not part of contemporary English usage. As the translations show, the differ-
ences are considerable and noticeable. For instance, the long monophthongal
These two aspects of historical linguistics are linked also by the so-called
The general processes and principles which can be noticed in observ-
able history are applicable in all stages of language history.
There may well
be reason to believe that the bases for this principle are suspect,
time, but clearly, the
relatively small acoustic and articulatory space (as with Serbian voiceless affric-
], and palatal []) likely to lead to a loss of
e.g. coordinative compounds of the type
were rare in Ancient Greek but have become more numerous in Modern
Greek and the type has been extended to verbs, as in
Further, Greek syntax has shifted drastically, as the in
nitive of Ancient
Greek has given way to
nite-clause replacements, and constructions which
expression of the object, both illustrated in (2), among other changes:
nho trug
access that information electronically
I received
- as a pre
x referring to electronic transmission
the (relevant) speech community must be positively evaluated by speakersand
tions, once they have spread, can be called
of the speech community at large has been affected. Signi
cantly, as a corol-
lary, it must be noted that not all innovations take hold and spread so as to
become changes in a whole speech community; restricted spread of an innova-
tion can lead to the formation of dialects within a larger speech community.
Moreover, not all synchronic variation will result in a change in the long term,
for there can be situations in which stable variation persists over long periods
b.devoicing of word-
nal voiced stops occurred in Russian, Turkish,and
has come to be pronounced [rat])
c.reductions of clusters with concomitant lengthening of an adjacent
(pronounced [
n]), or Old English
d.loss of unaccented vowels, especially word-medially (syncope), as
e.adjacent sounds coming to agree in certain features (assimilation), as
the nasal and stop consonants, adjacent after syncope of theunaccented
-, agreeing in point of articulation (both labial, as opposed to dental
versus labial earlier); similar changes occur in Greek, Latin, Sanskrit,
f.reanalysis of third person verb forms with a person-marking suf
x (thus as base forms) occurred in Greek, Persian, and
g.in many languages, analogically innovated forms have taken over
the primary function for a sign while the forms they replace, if they
survive at all, take on a restricted function, as with English
terminology of recent decades be termed changes in the surface structure, i.e.
in the output of the grammar.
However, for the most part, explicit synchronic accounts of a linguistic phe-
Brian D. Joseph
appearance of a uniform paradigm in Classical Latin
forms. The frequency of cases such as these
and examples could bemultiplied
of speakers, with the widely seen apparently general changes simply repres-
enting the endpoint of a series of limited extensions of a change from its point
has to do with where change starts in a speech community and where it ends
up, as suggested in section 3. Just as a change might start in a restricted part
of the grammar, and be generalized from there, as with the Greek and Spanish
There are four main kinds of factors that play a role in inducing language
change: psychological factors, physiological factors, systemic factors, andsocial
factors. These all make sense in that they correspond to different aspects of
housed (somewhere) in the
brains of speakers, language as the production of sounds and signs and forms
through the physiology of the human body (e.g. the vocal tract), language as a
system with regularities and interacting components, and
as to what the use of a particular word was
focussing on. Finally, to the extent that universals of linguistic structure and
ed that have some reasonable cognitive basis, some changes
Greek came to require an object pronoun in a construction that previously did
not require it may be a case in point, if a perceptually based universal con-
nite clauses that are whole and intact, as opposed to the
possible with reduced clauses such as in
nitives, is responsible
for the appearance of the object pronoun in the later Greek form of the con-
struction (as suggested tentatively in Joseph 1980, though see Joseph 1990:
2 for some counter-indications).
One way of telling that a psychological cause such as analogy is responsible
for a change is that other causal factors can be ruled out. In particular, there is
no reason to think that physiological factors, such as the constraints of the
speech tract or the perceptual mechanism, a type of explanation pursued very
compellingly by Ohala (see, e.g. Ohala 1993, 2000), were at work. Still, in most
cases of pure sound change, physiology does play a leading role. The very
common loss of unaccented, especially unstressed, vowels (see (3d)), can be
perceptual salience of such vowels plays a role too. Moreover, assimilation
(see (3e)), surely the single most common type of sound change there is, is
triggered mostly by the greater economy of articulator movements needed in
the transition from one sound into the next when the sounds agree, e.g. in
point of articulation (as in (3e)).
In a sense, both analogy and physiologically induced sound changesinvolve
aspects of the language system as a system. Analogy, for instance, pertains in
part to the mental storage of linguistic material or the cognitive side thereof,
and has to do as well with the systems of relations among elements that
speakers perceive and establish. Physiology, moreover, pertains to those parts
of the system involved in the production or perception of speech. Still, there
are other system-related factors that play a role in bringing on language change.
Some of the shifts in long vowels seen in English, for instance, were not isol-
ated events but, rather, were tied to other changes in the vowel system; thus,
(roughly) not only did mid front
to involve whole systems of sounds moving rather than there being a series
of lexical material; thus the presence of
in English apparently blocksthe
the day before today
, whereas the absence of a word like *
conversely seems to play a role in the acceptability of the phrase
the day before
Finally, there are social factors that play a role in causing language change.
Some matters in language are directly sensitive to speakers
pronunciations, constructions, and the like. Admittedly, though, it is still an
unresolved issue among linguists as to when one can talk about a change
factors, as outlined above, or at the point at which an innovation has spread,
The recognition of the role of social factors leads to one particular type of
contact with speakers of a different language. Such language contact situations
of language contact. Language contact can be the source of innovations, most
evidently in lexical matters. For example, new words or phrases can enter a
language from models in another language, in the form of direct borrowings
, borrowed into Middle English from early French and ultimately
replacing earlier English
, more recently
borrowed, also from French, but also via so-called
a foreign phrase is rendered into the borrowing language, as with the phrase
, based almost literally on French
a va sans dire
language relatedness and regularity of sound change. These discoveries also
in Greek, Latin, and Sanskrit matching
in Ger-
manic (under certain conditions), has led most Indo-Europeanists to a recon-
struction of
for the sound in the source language (
that gave rise to the corresponding elements in the offspring languages.
Some of these groups are widely recognized to be themselves part of still
larger, more all-encompassing groupings. For instance, Finno-Ugric is con-
sidered to be part of the Uralic family (covering various languages in Siberia,
part of Afro-Asiatic (covering (Ancient) Egyptian, Berber, Hausa, and others),
Bantu is seen to be part of Niger-Congo (covering West African languages
such as Yoruba, Igbo, Twi, and others), Algonquian is taken to be related to
two now extinct languages in California (Wiyot and Yurok) and thus to be part
of a larger, so-called Algonquian-Ritwan or Algic, family, and so on.
These well-recognized larger groupings raise interesting questions, and
ongoing controversies, regarding the extent to which all languages can be
shown to fall into ever-larger groupings. Is Indo-European related to Uralic, as
many believe, and to Semitic? Do these families cohere as part of an evenlarger
so-called Nostratic family, covering as well other families such as Kartvelian
Brian D. Joseph
1See Ohala 1980, 1994: 332
2See Schourup 1982/1985 for an early
4The translation here is based on the
5See Janda 1999, and Janda and Joseph
6See Melchert 1991 for a particularly
death; Joseph 1998 gives a classroom
7As it happens, many Serbianspeakers
do not have this three-way distinc-
tion any more, so some mergers
have occurred here. My thanks to
Ronelle Alexander of the University
of California, Berkeley, for clari
8Fodor 1965 has a very interesting, but
9Note that
a are changes
that are attested in other languages
(e.g. the former in Pontic Greek, the
on-glide), and are thus possible out-
reckon with (though it is not clear
if these are direct changes or the
result of the accumulation of several
10For instance, the use of the marker
complementizer introducing the sub-
ordinated in
nitive disappears from
later Greek (compare the reduction
in English from the double comple-
cussed above). Similarly, the status of
generalized subordinator in Medieval
Greek (it derives from the Ancient
but in Modern Greek it is arguably
merely a grammatical marker of the
Warburton 1994).
11This is the phenomenon known
as Watkins
law (Watkins 1962), dis-
cussed with additional references in
12This is the observation embodied
37) and Winters 1995 for
13This phenomenon is referred to in
the literature as
18Note that the view that grammar
alone could use the number of rules
23See Labov 1994 for an excellent and
33The bibliography on historical lin-
cally referred to here do not even
eld. For reason-
relatively recent textbooks such as
and Joseph 1996, Trask 1996, among
Pamela Munro
6Field Linguistics
1What is ÒField LinguisticsÓ?
A native speaker linguist might certainly use introspection to produce data
to be analyzed for a basic description of his or her language, but introspective
armchair linguistics is normally directed at puzzling out relatively obscure or
at least higher-level problems in languages whose grammar is already fairly
well understood. Similarly, psycholinguistic studies conducted in the labor-
atory, acquisition studies based on observation of children in their homes and
elsewhere, and sociolinguistic studies conducted in a community generally do
not have the goal of producing basic grammatical description.
Studies like these can succeed precisely because basic description already
eld linguistics is to produce descriptions of languages
rst such descriptions. For this reason, what I am calling
There are many techniques for collecting data and doing
be analyzed (see section 4) and, very importantly, disseminated. (Data, even
analyzed data, that remains in someone
of little value to anyone.) Any circulated data must be written in a system that
Although there is not much literature describing
the amount of linguistic literature that results from
The type of literature or other production that comes from the analysis of
data can vary considerably. Basic descriptions usually take the form of gram-
Pamela Munro
intermediary language in order to ask for translations of words, phrases, and
transcription and translation but following up on grammatical constructions
I had never heard this type of sentence before, but discovered that it was atype
construction used to describe noises that speakers feel is par-
ticularly appropriate for illustration presented to children. (Catherine
s remark
or as a command addressed to him,
The sentence was especially striking because outside of words used in this
construction, such as the expressive syllable
, Chickasaw has no words
; other expressive syllables exhibit similar phonological peculiarit-
ies (Munro 1998). I have also learned that the presence of a baby is helpful for
stimulating a speaker to produce diminutive forms of verbs, which in a num-
c forms in many Asian languages) (Munro 1988). Of
as a standard prop. But it is important to follow the speaker
s reactions and
train of thought, and to pursue new lines of inquiry that are suggested by
Up till now, I have not considered monolingual
Pamela Munro
suitable word to refer to that speaker. Traditionally, the speakers who provide
data for linguists are called
a word that originally had at least
a neutral sense. In the last few decades, however (at least since Watergate),
the English word
acquired all the negative connotations of that word in the minds of most
I see no reason to apply such a loaded, unpleasant word to
the wonderful people who introduce me and my students to the joys of their
t use the word
it forces the linguist
Table 6.1
Verbal agreement markers in Garifuna
:Munro 1997
Pamela Munro
Pamela Munro
from books or tapes. But this sounds a little cold, and it
speakers have trouble believing that the students really may not be inter-
ested in their language for its own sake. I urge the students, therefore, to try to
develop such an interest
to read more about the people and their culture
than just about the language, and to work as hard as possible on their pronun-
ciation. All of these help validate their interest to the speaker, and increase the
s trust. Doing these things, even if they start out as conscious behaviors
designed to impress, increase the chances that the linguist will be successful,
and really will learn a lot about the language.
3What to Ask a Speaker, and What a
in mind. Perhaps they are researching a particular syntactic construction cross-
linguistically, or maybe they are looking for data to compare with that in a
surprises and often pays dividends in the form of revealing areas where the
If the language has been studied already, it is certainly worthwhile to review
not be correct, or may prove to be based on a different dialect from that of
the current speaker, so important facts from such works should always be
rechecked. (This is not the only thing that should be rechecked, of course. The
s own data, particularly old data, should be rechecked and added to
regularly. It
nd that a crucial word or beloved
sentence elicited only once and cited frequently since then in fact turns out not
to be replicable!)
Pamela Munro
how much they use their language. And consultants may well bring different
types of experience to different tasks. A
Pamela Munro
A student of mine recently drafted a small grant proposal in which she
Video tape recorders also allow any
eldworker to record gestures and other
4Analyzing the Data, and What to Do with It
4.1Basic analysis
what you do know. It is very important to keep writing
sections of agrammar
can be described within the framework of what you already know about lan-
Linguistic analysis of many sorts is covered in other chapters of this book.
eld linguist to remember is that analysis must be on-
Pamela Munro
orthography. Using a phonemic orthography simpli
es the presentation ofdata
and makes it easier to present one
s analysis in almost any forum, except for
much of his or her analysis of the language as possible. Preferably, such mater-
as wide a range of readers as possible. This is particularly true of languages
that are seriously endangered, for which it is (alas) relatively easy to foresee a
s linguistic description will be the only source of information
Languages at the University of California, Berkeley, and trained several gen-
of the descriptive linguist should be to produce a grammar, a dictionary, and
a collection of texts. Such material can serve as the basis for production of
pedagogical materials for language revival, cultural enrichment materials,
background research in many disciplines other than linguistics, and later com-
Pamela Munro
5Contributions of Field Linguistics to
Linguistic Theory and Other Scholarly Work
way in which new data can be presented within current models, and showing
ed to handle new facts. Per-
reality of phonemes
(1949 [1933]), which established the existence of native
mental concept of the phoneme (in Southern Paiute, Sarcee, and
Nootka), foreshadowing the development of generative grammar. The best
has been constantly concerned with the relationship of
of ergativity would have been impossible without a vast body of primary
descriptions. More recently ergativity has been a concern even in highly the-
Pamela Munro
1I am grateful to a number of colleagues
tion and others I consider here: Aaron
Broadwell, Ken Hale, Jack B. Martin,
Tuttle. I have learned a lot about
work from observing and talking to
I must also thank all the wonder-
2There are especially unfortunate po-
John Laver
John Laver
a means to a different end. An account of phonological contrasts is all that is
behavior at higher levels than phonology, in morphology, lexis, syntax, and
1perceptual stability;
2adequate perceptual contrast;
3ease and economy of articulatory performance;
4ecological robustness;
5ease of modi
Perceptual stability is achieved by languages tending to use sounds for which
small articulatory adjustments make little auditory difference. Maintaining
adequate perceptual contrast entails avoiding sound-differences close to the
limits of human discrimination. Ease and economy of articulation are the out-
speech production system. Ecological robustness re
to resist the perceptual masking effects of other sounds likely to be heard in
the environment (especially speech from other speakers). Finally, given that
the relative speed, loudness, and articulatory precision of the speech of a given
speaker change frequently in response to variations in the social and physical
John Laver
remains provisionally true until shown by further research to be inadequate.
John Laver
a.Upper lip
b.Lower lip
Schematic diagram of a cross-section of the vocal organs
:After Laver 1994a: 120
: the vocal folds in the larynx are vibrating (superimposing aerody-
: the lips are involved as articulators;
: the velum is in a raised position, sealing off the exit at the back
of the mouth to the nasal cavity, causing any air
ow to pass through the
: the closure of the lips momentarily seals off the escape of the air in
the mouth and pharynx to the outside atmosphere, causing a short-termrise
in air-pressure in the vocal tract. As the lips open again, the compressed air
is then released through them with a small, audible explosion.
An assumption in such abbreviated labeling is that the
ow of air is gener-
ow being out of the body. (In a fuller
with pulmonic egressive air
see section 10.1.) By identifying the activities of different sub-processes in this
way, and with an underlying understanding of the activities thus represented,
in terms of the initiating mechanism used. By far the most frequent initiator
owing breath through the vocal tract,
and acoustically excites it into resonance.
The cycle from closure of the vocal folds to separation and renewed closure
typically happens very fast (in a range from 60 to 240 times per second in
adult male voices in normal conversational English). The frequency of the
vibration corresponds to the auditory
the successive, intermittent voiced sounds of a whole utterance is in effect
heard as a melody, and functions as the
creaky voice
10.3.2Place of articulation
the medial phase of a segment. An enabling concept for approaching this clas-
: After Laver 1994a: 135
Neutral places of articulation are thus involved when the bottom lip moves
up against the top lip to create a
articulatory narrowing or closure; when
closure; when the blade of the tongue articulates against the
one considers the relative infrequency in the languages of the world of neutral
uvular and pharyngeal sounds, for whose relative rarity more speci
c reasons
10.3.3Degree of stricture
degree of stricture
ows through a gap at one or both sides of the tongue behind a central
Labels for double and secondary articulations
vibration of the vocal folds) brings it repeatedly into full contact. The symbol
tion is []. A language that contrasts voiced alveolar tapped and trilled stops
is Kurdish, as in the pair of words
John Laver

Full voicing
Initial devoicing
Voiceless unaspirated
Voiceless aspiration
Full voicing

Final devoicing

Full voicelessness
Voiceless pre-aspiration
John Laver
Primary stress
Secondary stress
Syllable break
Minor (foot) group
Major (intonation) group
Linking (absence of a break)
More rounded
Less rounded
Nasal release
Lateral release
No audible release
Voiceless labial-velar fricative
Voiced labial-velar approximant
Voiced labial-palatal approximant
Voiceless epiglottal fricative
Voiced epiglottal fricative
Where symbols appear in pairs, the one to the right represents a voiced consonant. Shaded areas denote articulations judged impossible.
Voiced implosives
Affricates and double articula-
tions can be represented by
bar if necessary.
Where symbols appear in pairs, the one to the right
represents a rounded vowel.
Global fall
High rising
Low rising

Tap or Flap
Abigail Cohn
Consider the ÒwordsÓ shown in (1):
podapoda[z](cf. coda, codas)
German ch.b.rudihhuridhurid[z](cf. hoard, hoards)
z](cf. mattress, mattresses)
]c.bnickblickblick[s](cf. block, blocks)
Fluent speakers of English would agree that none of these are actual words of
is an allowable sequence at the beginning of a word (
is not. Finally, we also know how to manipulate alternating sound patterns.
For example, in the regular formation of the plural in English, what is written
is pronounced [s], [z], or [
z] depending on certain properties of
the last sound of the word; as native speakers, we automatically produce the
expected forms (block[s], hoard[z], mattress[
sound structure
which sounds occur, what their distribution is, how they can
be combined and how they might be realized differently in different positions
in a word or phrase, that constitutes the study of
differ in terms of their sound structure, as well as what the full range of
Abigail Cohn
sounds, varies enormously from one language to another. In his study of the
ber of consonants in a language ranged from 6 to 95, with a mean of 22.8;
while the number of vowels ranged from 3 to 46 with a mean of 8.7; and

Diphthongs: aj, aw, oj
Abigail Cohn
t exemplify, such as clicks, found in some languages of Southern Africa.
With 12 vowels, English has a relatively rich vowel inventory, especially con-
sidering that the distinctions are all made using only the two dimensions of
], which occurs only in unstressed position.) Some languages make
additional, or different, vowel contrasts. For example, in English the front
vowels have an unrounded lip position and the non-low back vowels have a
rounded lip position, but in many other languages, there are both unrounded
and rounded front and/or back vowels (e.g. French
i] Òrice,Ó with a highfront unrounded vowel, vs.
r\fa] ÒacquitÓ). Including all these contrasting dimensions,there are 48 consonants in this dialect, though there is some variation in the
consonant inventory of different dialects of Arabic.
While there is a tendency for languages with large consonant inventories to
have correspondingly small vowel inventories and vice versa, this is not neces-
with a very common 5 vowel inventory, but only 6 consonants for a total of
only 11 segments.
(5)Sound inventory of Rotokas
While there is great variation in the segments that occur in particularlanguages
strong predictions can neverthe-
less be made about which sounds will occur. Some sounds and categories of
sounds are just more common than others. For example, all languages have
there are also many cases where the presence of one property implies the pres-
Abigail Cohn
To summarize, these three phones [b, p, p
] constitute three separate abstract
h] are phones which stand in a special relationship to each
other, since they are part of the same phoneme (usually taken to be /p/). Such
sounds are called
. We can capture this relationship by describing the
h] occurs at the beginning of words and [p] occurs after [s].
(There is a lot more to this pattern, but we won
t pursue it here.) Or we can
go a step further and argue that the phoneme /p/ occurs at an abstract or
level and account for the observed surface distribution with a rule
b/c__d, which says that
environment following c and preceding d
). This general approach is funda-
Kenstowicz and Kisseberth 1979) where the goal is to develop a theory which
]prosodic word


This word consists of a sequence of sounds
. These sounds are
grouped into sequences of consonants and vowels, known as syllables (
Most speakers of English would agree that this form consists of four syllables
broken up as
. Consonants and vowels are grouped into syllables
in non-arbitrary ways, with a vowel forming the core or
e], and consonant or consonants preceding (
The Prosodic Word often has the same shape as what we would de
ne mor-
phologically as a word, but not necessarily. There are, for example, grammat-
ical words, which we take to be words morphologically, but which can
on their own phonologically, such as



In English, anything from a single consonant to a complex structure of up to
three consonants preceding and four following may constitute a well-formed
syllable. (Four consonants following the vowel are not included in (13); an
ksts].) Many restrictions hold, however, on possible com-
binations of consonants preceding or following the vowel and only a small
the plural marker or third person singular or the [t] or [d] of the past tense
(though there are some three consonants clusters which occur as codas in the
text). Such patterns can be characterizedsimply if we make reference to the syllable, but are much harder to character-
ize if we only refer to the string of segments.
Good evidence thus exists for making formal reference to the syllable as
part of the hierarchical structure of the phonological system to account for
observed alternations and also to be able to capture consonant sequencing
restrictions. In addition, the syllable is often argued to be divided into subparts.
Evidence for this comes from the fact that co-occurrence restrictions hold on
the consonants preceding the core of a syllable, as well as following, but not
generally across the subparts of the syllable. One general approach to the
internal organization of the syllable is as shown in (14), where the substructure
are illustrated:
Based on a wide range of evidence, there is argued to be a major break in the
Abigail Cohn
ÒstringÓ[origami]Òpaper foldingÓb.N$C
ÒstampÓ[onna]ÒwomanÓ[hakka]ÒpeppermintÓ[kaa]ÒpulleyÓAs illustrated in (17), only (C)V and (C)VC occur in Japanese (as well as somelimited cases of long vowels (C)VV(C)). CV syllables can occur in any positionin the word (17a). But CVCs are allowed only if the coda consonant is a nasal
lowed by [bo], but it would not be an allowable syllable, if it occurred on its
nal syllable in a word. A
kin]above in (17b)) is well formed, but other nasals and other consonants in thisposition are not allowed.
ways foreign words are modi
(19)More borrowings from English into Japanese
and Prince 1993 inter alia). Languages differ in how they rank particular con-
straints. If we have correctly identi
ed the relevant constraints (a majorresearch
those affecting syllable structure and those affecting input/output relations,
ed. This is true in both English and Japanese, as shown in (23a)
and (23b) for Japanese [kokoro]
ve seen above they have very different syllable patterns. In these tableaux,
the constraints are all unranked, indicated by the dashed vertical lines, in
ll see in the tableaux below.


b.Japanese [kokoro]
st], indicated by . An! indicates an insurmountable violation. This is followed by shading of thesuccessive cells in the same row, indicating that the adherence to these lower
t relevant to the outcome. (23a) is the optimal candidatein
twice. This is still preferableto
We see here that (25e) [tesuto], which respects both N
fact that both (26d and e) are eliminated, but more needs to be said about why
the optimal outcome is (26b) rather than (26a or c). An additional constraint
t formalize it here, the intuition is that on one
hand a single consonant in coda position is more acceptable than a cluster and
smaller units. We have an intuition that [p, b] are more similar than [l, b]. This
is because the former share more sound properties than the latter. These sound
properties are called
distinctive features
. The notion of distinctive features grows
[] , [] , [
] ),
but some researchers argue that multivalued features should be incorporated
directly into the system. While some have argued that place of articulation
might also be multivalued, there is good evidence that the speci
about the nature of most feature systems is that the features themselves are not
as we can see by the fact that
Here the nasal is becoming more similar to the following consonant by shar-
ing the place of articulation, with a coronal nasal [n] before coronals (and
also vowels), a bilabial nasal [m] before bilabial stops, and a velar nasal [
before velars. The morpheme /-
n/ has three allomorphs: [
, whereby a sound becomes more similar to its
neighbor(s). While such patterns of nasal place assimilation are very common
cross-linguistically, this pattern is not as systematic in English as in some other
t always share the place of articula-
income [n-k]. (There are systematic explanations of these differences, but
considering these would take us beyond the scope of the present discussion.)
the alternation in the shape of the regular plural marker in English that we
saw above in (1). As we observed above, what is spelled as
is pro-
z]. The distribution of these three variant shapes or
allomorphs of the plural morpheme is not arbitrary. Rather, the distribution is
Abigail Cohn
The autosegmental rule in (35a) indicates that the [+nasal] feature speci
tion spreads to the right to a following vowel, resulting in structures such as
that illustrated in (35b). Here the pattern of assimilation is captured directly
through the sharing of a single feature speci
age of allowing us a straightforward account of the iterative nature of this
We also saw an example of spreading in our characterization of compensat-
ory lengthening above in (29), where the whole feature matrix specifying the

The string 1, 2, 3, where 2

is rewritten as
1, 1, 3 where 1 is the preceding vowel
Use of transformational rules has generally been rejected now in both phono-
logy and syntax due to their excessive power, since there are no predictions
about what are allowable structures formally. There is also no insight resulting
from such formalism as to why particularly these sorts of patterns occur in
In addition to assimilation of a single feature (e.g. vowel nasalization) and
total assimilation (e.g. compensatory lengthening), there are cases where two
[anterior] and [coronal]) as a following stop
is used to show that the resulting feature values are
dependent on those elsewhere in the rule, in this case the values for both
[anterior] and [coronal]. We see similar formal problems as in the case of single
feature spreading and in addition, there is no explanation why certain features
(41)Polish Vowel Raising
In (41a), we see that before liquids (actually sonorants more generally), there is
\thigh]/____ [
A back non-high vowel becomes high in the environment before a
voiced sound in word
Since part of the trigger of the Vowel Raising rule, the following voiced sound,
(43)a.Underlying representation/rog
Vowel Raising
Surface representation*[rok][rogi]
b.Underlying representation/rog
Vowel Raising
Surface representation[ruk][rogi]
It is clear comparing the two derivations that the Vowel Raising rule must
apply before Final Devoicing, otherwise Final Devoicing would in effect rob
relevant cases from Vowel Raising. Such cases show that the ordering of rules
may be crucial. We have characterized these patterns of alternation following a
rule-based approach. We could equally well pursue a constraint-based ap-
proach, but in either case, we need to be able to account for the ways in which
phonological processes might interact with each other.
Abigail Cohn
] in English follows directly from this approach without our having to
affect each other and evidence for reference to distinctive features, as well
Abigail Cohn
Ayako Tsuchida, and Draga Zec for pro-
this chapter.
1The description of possible sounds
used in language is part of the pur-
Morphology is about the structure of words. All languages have words and
in all languages some words, at least, have an internal structure, and consist
of one or more
comprises the root morpheme
ÒcatÓ to which is added the sufÞx morpheme ÒsÓ indicating plural. Now, for
this characterization to mean anything we have to know what a word is. How
do we know, for instance, that a string such as
is two separate words,
is not a preÞx? Conversely, how do we know that the ÒsÓ of
isnÕt a word in its own right. Here we need the help of syntax:
can never be split up this way, the reason being that the
ÒsÓ component is an element which can only exist as part of a word, speciÞc-
ally at the end of a noun. In other words, ÒsÓ is a sufÞx and hence a
. The property of indivisibility exhibited by
A single word such as
more than one cat
are all independent words and can all be separated by other words or
This chapter will examine the different structures words exhibit and the
morphological relationships they bear to each other, and the nature of the
morpheme. We begin by clarifying the notion ÒwordÓ itself.
1.1The lexeme concept
If we ask how many words are listed in (1) we can give at least two answers
(1){cat, cats}
Andrew Spencer
In one sense there are obviously two, but in another sense there is only one
1.2Inßection, derivation and compounding:
y introduce certain important notions which will
, in which we create word forms of lexemes (such as the
, in which we create new lexemes from old
, a single word formed by combining two
other words. We begin with compounds.
The most straightforward type of compound simply consists of two words
Andrew Spencer
(4)a.a very black bird
b.a blacker bird
c.a bird, black as coal,
ew overhead
(5)a.*a very blackbird
b.*a blackerbird
c.*a black-as-coal-bird
(because a blackbird doesn
meaning; it just has a bare morphophonological shape. Therefore, (3) should
be rewritten as (6):
is a lexicalized compound whose internal structureis
. In time, with changes in pronunciation, even this historical struc-
ture becomes opaque. Thus,
I.ABS 1sgSUBJ-spear-take-1sgSUBJ
In (7a) the subject pronoun is in the ergative case (the case used to mark the
subject of a transitive sentence), while the object is in the absolutive case.Being
transitive, the verb agrees with both the subject and the object. In (7b) the root
of the object noun has formed a compound with the verb root. This renders
the verb intransitive, so it agrees solely with the 1st person subject. The sub-
ject pronoun is now in the absolutive case, the case used for intransitive
subjects. Finally, notice that the 1sg pre
noun root and the vowels of the root have changed. This is due to vowel
harmony, under which the
vowel /i/ is changed to /e/ when there is
vowel elsewhere in the word (e.g. the /o/ of
). Vowel harmony
only operates within a word, and this helps us identify the incorporative com-
plex as a single word form morphologically. Examples (7a, b) differ slightly in
emphasis but are otherwise synonymous. Thus, it is clear that
still real-
Andrew Spencer
irregular (such as
) or regular (e.g.
ections express grammatical or
tem organizes the forms of words into systematic groupings or
are essentially two sorts of function subserved by in
gular vs. plural) or tense. This means that the words of a given classobligatorily
past tense (even if these are not actually distinct forms, as in
refers to this as
inherent in
One typical inherent in
or semantic role of a noun in a sentence is shown by its form. In Russian a
noun generally has distinct forms for the subject, direct object or indirectobject:
dalaIr-eknig -u
in (8) are case-in
xes described for Chukchee by Skorik (1977: 179
Andrew Spencer
represents palatalization. Consonants are always palatalized
nominative, while in the animates the accusative takes the form of thegenitive.
This type of situation, in which parts of a paradigm are systematically ident-
(16) (see Muravyova 1998; empty cells represent non-existent forms in which
the subject and object would have the same person features):
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kaFeminine nominative singular
kiFeminine genitive singular
kamFeminine dative plural
It might be thought that the adjective agrees in declension, but this is wrong.
All nouns in Russian have one of three
, masculine, feminine, or neuter.
Male and female humans are masculine and feminine respectively and for
other nouns gender depends largely on declensional class. Members of class
I are masculine, those of classes II, III are feminine and those of class IV are
neuter. However, there are certain exceptions. Thus, the word
grammaticalized and expressed as part of the obligatory conjugation system.
However, the af
13) are not like this. Rather, they are
optional elements which are added to modify the overall meaning of the verb.
prolonged interrupted fashion
is a new lexeme related to
a form of the word
(inherent in
ection)? Cases like this are quite common
and promise to provide fertile ground for future research into the problem.
2The Morpheme Concept and Agglutinating
2.1Item-and-arrangement morphology
On this basis both of the morphemes are a pairing of a pronunciation (or
shape, the morph) and a meaning. They are thus signs and hence are both
mittedly, -
noun incorporation example (7b) is in fact a bound stem form (the word for
might argue that there are compounds consisting solely of bound roots, the
traditional account of plural morphology treats the plural suf
way, a type of sign with a phonology and a semantics, as shown in (21):
This way of looking at things immediately leads us to the conclusion thatwords have a hierarchical structure which can be represented as a tree dia-
gram. A possible structure for
Andrew Spencer
In (22) the grammatical property [plural] is said to
from the suf
in such operations and there have been a number of ingenious ways of dealing
with them. I shall mention just three particularly salient cases here (introduct-
ory discussion of different types of operations can be found in Bauer 1988,
The regular past tense ending appears as three different morphs depending on
where /
/ is the schwa or reduced vowel). This variation is
d/) are the three
d/ after /t, d/, /t/ after a voiceless sound, /d/ elsewhere. Other cases of
allomorphy may be irregular. For instance, while
have regular
ending and addsthis
to an irregular stem form lacking the
show irregular allomorphy. Where a given morpheme is realized by more than
one allomorph we have a (mild) deviation from the agglutinative ideal.
2.2.2Processual morphology
Certain types of irregular verb in English form their past tense by taking the
basic root,
This kind of process is called
most famously Semitic languages such as Arabic and Hebrew, apophony is
regular and widespread throughout the grammar. It is very dif
cult to repres-
1982, for the classic item-and-arrangement analysis of Semitic). Another well
, illustrated by the Tagalog examples in
Here, morphological categories are signaled by a kind of pre
sists of a copy of certain of the segments of the stem. Any analysis of this
phenomenon has to recognize that there is a process involved at some level
(see McCarthy and Prince 1998, for a summary of some recent proposals).
morphology in which a morphological category is signaled by loss of a por-
tion of the base. Anderson (1992: 64
ectional processes
which, apparently, have to be so analyzed, such as the example in (24) fromthe
Muskogean group:
Andrew Spencer
roll up (sg. Obj.)
roll up (pl. Obj.)
Here, the plural or plural object form of the verb is derived from the singular
form by removing the rhyme of the
2.2.3Form: meaning deviations
In this subsection we examine the idealization that one form corresponds
to one meaning/function and vice versa. We already know of two types of
many meanings). However, four additional types of deviation can be dis-
a single word. morph, two meanings
able morpheme signaling number. Thus, -
simultaneously. Note that this is not homonymy,
word form and these meanings are inseparable. We say that the morph shows meaning, two morphs
One and the same function can be signaled (redundantly) by different morphs
in a given word. A simple example is found in Latin:
(25)Latin verbs:
I love/I have loved
P/N (sg.)PresentPerfect
- morph realizes perfect tense, and has no other function, so we can say
of (perfect) tense. However, the 1sg endings
also differ with tense, and thus serve as secondary exponents of this category.
. This is often referred to as meaning, no morph: null morphemes
Notice that there is no ending in the genitive plural of Russian class II and IV
nouns in (14). In a morpheme-based theory we must say that this property
doesnÕt have any meaning, strictly
ives in (26) illustrate a case in which a morpheme can be said to be meaningful
Andrew Spencer
2.3Morpheme order
How do we ensure that the morphemes come in this order and not, say,
Lieber (1992) argues that we can make use of the syntactician
entry stating what kind of stem it can occur to the right/left of. For possessor
xes are marked to occur next to Number-marked stems. A
, [CASE:Iness],...
N [NUMBER:{Sg, Pl}]_______]
value of the feature NUMBER.
Finnish, however, presents a problem for an approach of this sort. The point
of the subcategorization approach is that the addition of a suf
on the structure of the stem as built up so far. The nominative case ending is
zero in the singular and -
. However, the real form is
However, this will lead to considerable complications because we will now
have a stem marked for plural to which other case markers could attach. We
must therefore impose some principle saying that once a form is marked for
t be marked again. Indeed, Lieber (1992) introduces essentially such
categorial signature,
cant departure from
and purposes just a variant of the model to be discussed below.
2.4Rule function morphology
rather badly. An alternative conception has been argued for by many morpho-
logists (see Anderson 1992, Aronoff 1994, for examples and surveys of the
literature), under which af
Andrew Spencer
As Stump (1993) argues, (34) is just another type of rule function and can
an iguana-like expression
xation is sotransparent
that it resembles compounding
are in fact compounds (though of a very rare type in English). Now contrast
Although these may also be similitudinal adjectives, they are not composi-
tionally derived from their bases. This means that the base has lost all meaning
true for all uses. If we say
Andrew Spencer
are saying that he is extremely bad and unsuitable. He himself is not neces-
s irrepressible
optimists). Such cases are the norm and it turns out that there is a cline of
transparency running from
3.2Four types of lexical relatedness
Transparent derivational morphology de
and so on. Each of the pre
gical properties; the majority of the native verb lexemes in the language are
like this (indeed, the majority of monomorphemic, non-pre
are loans).
This property of the Russian lexicon is particularly damaging to the classical
morpheme theory. Of the 28,500 or so verbs in Zaliznjak
, roughly 24,000 are pre
xed. Of these a large proportion are
highly regular aspectual or Aktionsart formations (which could be claimed to
be more like in
derivation) or a subtype of systematic polysemy.
In sum: lexemes can be related to each other by (1) morphology which
induces a compositional meaning change; (2) systematic meaning relation which
is not matched by any formal relatedness (
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3.3Mixed categories
notion of word. Considerable research effort has been directed in recent years
Andrew Spencer
There is good reason to regard such phrasal verbs as single lexical items,
Hungarian, processes which derive nouns or adjectives from verbs often apply
equally well to the phrasal verbs. This is illustrated below where a simple verb
(43) is compared with a particle verb (44) (Ackerman and LeSourd 1997: 89):
solution (to problem)
d.old-hatatlan anyag
d.meg-old-hatatlan feladat
, can be systematically realized
as more than one word in the syntax. Ackerman and LeSourd argue that this
calls for a more sophisticated concept of lexical integrity: word forms such as
are single indivisible words, they cannot be
split up once they appear in sentences and thus they exhibit lexical integrity.
However, a given lexeme may be realized by a combination of such words,
lexemes, they do not exhibit lexical integrity. In other words, lexical integrity is
a property of word forms but not necessarily of lexemes.
word form, grammatical word. Not all the properties of words can beexplained
in terms of syntax or phonology, in particular, the existence of arbitrary in
tional classes demonstrates the need to treat morphology as an autonomous
component of grammar. The classical sign-based concept of the morpheme has
been extremely in
uential in thinking about the internal structure of words,but
this has been largely abandoned, at least for in
ection, where morphologists
increasingly appeal to the notion of rule functions and defaults to capture the
structure of paradigms and the order of elements, and to account fordeviations
from the
of agglutinating morphology.
We surveyed four types of derivational relatedness, showing that words can
be related to each other in four main ways: in terms solely of semantics, with
no morphological relationship, in terms purely of morphology, with nosemantic
relationship, in terms of polysemy, in which there is a semantic relationship
but the word forms remain the same, and, the standard case, in terms of a
semantic relationship mediated by morphology. We also looked at important
Parts of this chapter are based on work conducted as part of research funded by the
Economic and Social Research Council (Project Reference R000236115), to whom Iexpress
my gratitude. I am grateful to Mark Aronoff for helpful suggestions for improvement.
D. A. Cruse
10The Lexicon
2.1Lexical forms, lexical units and lexemes
The word
is used in different senses, and it will be as well to clarify the
most important of these right from the start. Suppose we are doing a cross-
word puzzle. It is quite possible that, say,
is the correct answer to a clue,
is not: from this perspective
are different words.
(1)I have discon
s prognosis
Is there such a word as
mean here? Clearly not what it means in the
crossword context, since the dubious sentence contained
2.2Individuating word-forms: graphic and
English speakers can discern purely from the sound the different positions of
the word boundaries in
that such a meaning is not really impossible, merely unlikely in our culture: in
The constraint that we are looking at says that the elements that constitute the
meaning of a word must form a continuous dependency chain, with no gaps
lled by elements from outside the word.
3Lexical Semantics
The study of the meanings of words within linguistics is called
a satisfactory picture of any of the existing systems in a short space, but the
Much debate centers on the relation, if any, (but surely there must be some)
Here we can infer from the context that John
whereas Bill
D. A. Cruse
I spoke to a teacher; so did Mary
cant frequency throughout the vocabulary, and must be capable of
cant generalizations. (A much fuller treatment of sense rela-
tions than can be accommodated here may be found in Cruse 1986.)
There are two major classes of sense relation, depending on the grammat-
. For a lexical item X to be a hyponym of another item Y, the truth of
must follow logically from the meanings of X and Y. An expectation
5.1.3Relations of identity and inclusion III: synonymy
words with the same
This description undoubtedly applies to all words that
. However, it is not restrictive enough,
as it surely also applies to, for instance,
, which both refer to
horses, but which are not synonyms. It would seem useful, therefore, to exam-
ine more closely the notion of
Synonym pairs or groups can be categorized according to how close the
meanings of the words are. Three degrees of closeness can be recognized:
propositional synonymy
(21)Are you sitting comfortably, children? Then I
(22)?Are you sitting comfortably, children? Then I
Absolute synonymy presumably approximates to what those people have in
mind who maintain that true synonyms do not occur in natural languages.
There is perhaps a case for saying that absolute identity of meaning can
(26)He was murdered, or rather, executed.
(27)?He was murdered, or rather, beaten up.
(28)?He was killed, or rather, deprived of life.
Near-synonyms, then, are words which share a salient common core of mean-
ing, but differ in relatively minor respects. There is at present no more precise
Synonyms (of all kinds) often occur in clusters, and it is common for thecluster
to be centered round a neutral word which subsumes all the rest, and of which
the others are a semantic elaboration. For instance,
are probably the most basic sort. They can be distinguished
from non-complementary incompatibles by the fact that negating either term
logically implies the other. For instance,
Proposition P is not true
Proposition P is false
Proposition P is not false
Proposition P is true
are complementaries. They may be contrasted with ordin-
. Other complementary pairs are:
. A pair of complementaries bisects some conceptual domain, with-
fall on one side of the divide or the other. (The negation test works only for
items which belong in the domain presupposed by the test word:
properly apply.) The
: both members of a pair are impartial in the comparative:
(29)X is heavy, but it
s lighter than Y.
(30)X is light, but it
s heavier than Y.
Other examples are:
long:short; high:low; wide:narrow; thick:thin; fast:slow; hard:soft
Polar antonyms indicate degrees of objective, usually measurable, properties.
(31)?X is good, but it
s worse than Y.
(32)X is bad, but it
(ii)Overlapping antonyms: One antonym yields a normal impartial
How bad were the exam results this year?
questions do not appear with antonyms from this group (
the room when you moved in?/?What was the cleanness of the room when you
moved in?; How polite was John when he came to see you?/?What was John
(iii)Equipollent antonyms: Normal
-questions are possible with both
terms, but both are committed:
What is its temperature?
seems unusual in this respect.
An interesting property of overlapping antonyms is the feature of
Take the case of
The exam results this year were bad, but they were
. However, the use of
(ii)dynamic directional opposites (usually called
An important feature of such verbs is that the path of change is irrelevant. For
direction: what is important for entering is to start out
?a male aunt, ?a highly strong man
6Meaning Extensions and Change
6.1Established readings and nonce readings
Some of the alternative senses of a word are permanent and establishedfeatures
of the language, and we would expect them to be recorded in any dictionary
worthy of the name. We may also assume that they are laid down in neural
predates the
(to my surprise) current British undergraduates, when asked to pick out the
reading they intuitively feel to be the literal one, are virtually unanimous in
reading. Another possible criterion is fre-
quency in a language: one might reasonably expect the literal meaning to be
the most frequent. Once again, however, this does not always accord with
(strong) native speaker intuitions. For instance, few would dispute that the
well-established that we are hardly aware that it is non-literal is
D. A. Cruse
: A word of explanation is perhaps needed regarding the position of the word
in the above hierarchy, which for some non-British speakers of English, who feel that
are synonyms, and that
Collins Handguide to the Wild Animals
of Britain and Europe
fragmentary than this, covering such areas as vehicles, buildings, clothes, and
A taxonomy typically has well-de
gure 10.2, A is at Level 1,
B and C are at Level 2, D, E, F, and G are at Level 3. One level of a taxonomy
, as it seems that the struc-
ture is organized around this level. It is the level at which the
perhaps the most signi
cant difference concerns structural levels: meronomies
tend to have no, or only weakly developed, levels, hence there is no equivalent
to the basic level of a taxonomy.
7.2Word families
Another type of grouping of associated words is the
lexemes are built up out of a
and one or more
instance, the word
is composed of the root
and the pre
is composed of the root
, the pre
word family is composed of all the words derived from a given root. For
instance, the following all belong to one word family:
nationnational (adj.)national (n.)
A broad grouping like this is composed of a number of nested sub-domains,
are very vague, and will differ according to the purposes of the compilers
1The Domain of Syntax
studies how the words of a language can be combined to make larger units,
Mark C. Baker
b.A VP consists of a verb (V), possibly followed by an NP and/or a
V, or V
NP, or V
CP, or V
c.A CP consists of a S, possibly preceded by a complementizer (C)
English also includes the following words, which are members of the indic-
(5)Noun phrases: John, Mary, Bill
Verbs: believes, likes
This is a very small vocabulary, and a relatively short list of rules/patterns.
contrast, computers have no inherent common sense; they do all and only
what they are told in the most literal fashion. But while this can make working
program a computer to do a task forces one to take stock of exactly what goes
turns out to be highly relevant to the study of language. The syntax of English
3.1The vastness of syntax
rst important lesson that comes from several decades of research on syn-
tax is that there is much more to syntax than anyone ever imagined. Natural
attitude of the computer programmer. Prior to re
plex activity requiring great intelligence; in contrast, forming grammatical
English sentences seems like a very ordinary, routine behavior. After all, play-
ing chess requires conscious mental exertion and some people can do it much
Third, the phrase structure rules as given also express the more subtle fact that
the dress
Similarly, the second sentence in (6) would have the phrase structure diagram
in (11); note the recursion, where one S is embedded inside another.
While these rules can be elaborated, re
sense of how they are intended to work.
Already some complications arise. The phrase structure rules as given ac-
count for the ungrammaticality of (7a) compared to (7b), where the subject has
(12)*John likes.
Indeed, (12) feels just as bad as (7b). However, unlike (7b), (12) can be gener-
ated by the phrase structure rules we have given. The difference is intentional.
The reason is that (12) becomes grammatical when another verb is substituted
. However, sentences like (7b) are
Arrived the dress,
Tore the dress
Mark C. Baker
expressing the relationships among the different parts of a syntactic structure
e.Who will John think
likes the dress?
f.*Who will John think that
likes the dress?
(20a) and (20b) are both simple sentences, formed by the phrase structure rules
Since the object is inside the VP, as shown by the phrase structure diagram in
However, the subject NP is not inside the Verb Phrase; therefore question
words cannot move out of the subject:
a picture of
a picture of
One might think that this is simply a matter of linear order
that a pronoun
can never refer to a noun phrase that comes after it. However, this is not true.
For example, in a sentence like (29), the pronoun
comes before
; never-
can be understood as referring to John, at least for most English
First we must check if the pronoun
c-commands the NP
category that properly contains
is the VP, and
is outside this VP. Thus,
the pronoun does not c-command
in this structure. Therefore, the DRC
does not apply, and (18) can; thus, the pronoun may refer to the same thing as
However, (28) comes out differently:
Here the
rst category that contains the pronoun
and S obviously contains the NP
as well. Therefore, the pronoun does
c-command the noun phrase in this structure, so the pronoun cannot refer to
the same thing as that noun phrase, by the DRC. Finally, (34) is the structure
Here the pronoun
rst phrase which properly contains
is the subject NP. This
subject NP does not include the object
. Therefore, the pronoun does not
c-command the NP in this example. Therefore, coreference is possible again.
ned over the basic phrase structure of the
clause, and there is a gap inside the clause where a noun phrase normally has
to be. Thus, this too can be thought of as a movement process. Now given the
(38)a.John gave what to who.
b.What did John give to who?
c.*Who did John give what to?
transformational processes of a language may or may not be the same. For
example, English has a rule that moves question words to the front of the
of syntactic constraints it is striking that constraints originally discovered for
languages like English and French often show up in other languages
least it is possible to rephrase the constraint slightly so that it applies to all of
we thought, but it is also more similar than we thought.
Ozo brokepot.
Ozo broke the pot.
While Edo does not have any process that fronts the VP that is directly compar-
form a relatively tight unit to the exclusion of the subject, as in English. Thus,
the basic phrase structure patterns S
VP and VP
NP (or
CP) are equally valid for both languages.
Ozo will break what
what that Ozo will break
What will Ozo break?
Edo also has the optional process of assigning a pronoun the same reference
as a noun that appears elsewhere in the sentence. Thus, (43) is ambiguous in
However, Edo does not have the Auxiliary Inversion transformation. Thus,
in (42b) the future tense auxiliary
does not shift to before the subject in
special functional word
ing gives syntacticians the impression that, while languages are certainly not

Uyi said that Ozo bought car.
Uyi said that Ozo bought a car.

In contrast, in (45a) there is a clause that functions as the subject of the main
All things being equal, it should be possible to replace the
object of this clause with a question word and then move that question word
to the front, forming the question in (45b). But this is impossible.





what that that Ozo bought please Uyi.
Note that exactly the same judgments hold true of the English translations.
n y


n h
Isoken wants that the dog follow her. (OK her
She wants that the dog follow Isoken. (Only OK if she

The examples in (46) have an embedded clause that functions as the subject of
the main verb
, and the speaker desires to express that the object
putting a pronoun in the embedded clause and a name in the main clause, or
vice versa. The examples in (47) are similar, except that this time theembedded
Now if the speaker desires to
express that the subject of wanting is the same person as the intended object
of following, the options are restricted: the name must be used as the subject
of the sentence as a whole, and a pronoun must be used as the object of the
embedded clause, as in (47a). It is grammatical to use a pronoun as the subject
and a name as the embedded object, as in (47b), but then the pronoun can only


what that Uyi said that Ozo bought.


who that Uyi said that buy car.
However, English avoids the problematic con
question word with a pronoun, as shown in (49) (see (Koopman 1982) for
discussion of this pattern in Vata):

who that Uyi said buy car.

who that Uyi said that he buy car.
Moreover, this difference in the two languages is not an arbitrary one.
Edo is different from English in that it normally requires embedded clauses
Therefore, (49a) is ungrammatical in this language. On the other hand, there
are other situations in which pronouns show up where question words once
were in Edo. This then is a simple example of how even in areas where lan-
guages look somewhat different, important similarities can be discerned, par-
Over all, when one compares the syntax of different languages, they seem to
be making different choices from a similar range of options: they have thesame
kinds of phrase structures, with possible differences in the order of the words;
straints, although with different speci
the idea that much of human language is somewhat like a kit that you buy ata
store: the basic pieces are prefabricated, although there is some variation inhow
you assemble them (and much freedom in how you decorate the
Up to this point, there is reasonably broad agreement across a wide range
cant differences in emphasis. Disagreement
way that constraints like the CED emerge as theorems of the system. This is
roughly the view of more mathematically oriented theories like categorial gram-
However, there is also evidence that points the other way. For example, Foley
and Van Valin (1984: 22
4) mention that question words are not moved in the
c.Sak ranuhwe
In English and Edo, the subject must come before the verb and the object
after; in Mohawk this is not so. Rather, the subject, the object and the verb can
appear in any of the six orders that are logically possible for a three word
likesSak dress
Sak likes the dress.
b.Sak atya
Sak dresslikes
tawi neSak.
likedressNE Sak
s neSak.
dresslikeNE Sak
dressSak like
b.*?Uhka senuhwe
s neakokara
whoyou-likeNE story
In English, the DRC says that a pronoun subject cannot refer to an NP con-
tained in the direct object, but a pronoun object can refer to an NP contained in
the subject ((27) and (28)). In contrast, both kinds of coreference are possible in
(57)a.(Akauha) wa
neUwari akona
NE Marypot
s pot helped her.
b.(Rauha) wahanohare
neSak rao
hewashNE Sak knife
rst impression is that the syntax of Mohawk is radically different
from the syntax of English, and (except for question movement) virtually none
of the rules and principles seem to carry over. Rather, it seems like, in order to
analyze Mohawk insightfully, one must start from scratch, building a theory
There is another possibility, however. It could be that Mohawk is actually
rather like English, but we are looking at it wrong. In fact, when one looks a
little further, certain similarities begin to turn up. Consider once again the
Mark C. Baker
John ...
John ...
b.(Rauha) wahihrori
himI-toldthat Sakis-a-good-worker
is a good worker.
Again, the pronoun object of the
rst verb can refer to an NP in the embedded
Perhaps then
Consider next the CED. Given the structures in (61) and (62), the CED pre-
-words should be able to move out of
-clauses are immediately contained in VP. This is true
(64)You think [that Mary kicked
Ð ]?(65)You cried [because Mary kicked
Ð ]?(In fact, this kind of contrast was part of the original motivation for the CED inHuang (1982).) Strikingly, the same contrast is found in Mohawk. Sentences
like (66a) are perfectly grammatical, while sentences like (66b) are not:
(66)Uhka ihsehre
Whoyou-think Marykicked
(67)*Uhka wa
ne tsiUwari wahuwarasvtho
whoyou-shoutedbecause Marykicked
Thus, there is evidence that the CED applies in Mohawk too.
(68)(Rauha) wahanohare
hewashNE Sakknife
Here the pronoun subject can be coreferent with the NP
inside the direct
object, unlike in English. If the DRC really holds in Mohawk, this can onlymean
that the object NP is in some other position where it is not c-commanded by
the pronoun subject. In other words, it must be outside of the smallest phrase
that properly contains the subject. Is there such a position? The answer is yes:
Since the loosely attached NP is not in the VP, it follows from the CED that a
question word cannot move out of this NP. These sentences fall into place with
The important thing to realize here is that the DRC and the CED both seem
to go wrong in Mohawk
crucially they go wrong in the same way
assume that object NPs are inside the VP. Once this assumption about basic
structure is corrected, the conditions consistently give the correct results after
rst impression was that Mohawk was different from English inalmost
every imaginable way. We have now corrected that impression; in fact, Mohawk
differs from English in only one way, as stated in (71) (see Jelinek 1984; the
idea apparently has roots as far back as Humboldt
s remarks on Nahuatl in the
leave out both subject and object pronouns unless they want to give them
With this in mind, we can reconsider Mohawk structures in (69) and (70).
These structures are peculiar from the English perspective because there is no
direct object (or the direct object is in the wrong place, depending on your
terminology). However, given Mohawk
s rich agreement system, it is reason-
able to say that there is an object present, but it is simply one of the invisible
This structure does not look so unfamiliar. English too can have structures in
which the true object is a pronoun, and some NP is attached to the sentence to
clarify what that pronoun refers to, as shown in (75).
(75)a.That dress, he really likes it.
b.He really likes it, that dress.
c.That dress, he really likes it, John.
mon in English, but it does exist. Thus, it is not really accurate to say that
English and Mohawk have different structures; it is more accurate to say that
Finally, we can ask why NPs
English. Moreover, recall that embedded clauses do not need to be dislocated;
(77)a.It is generally believed [that John is telling the truth]
b.*It is generally believed [John]
(Compare: [John]
Apparently putting the verb in the passive form disrupts its ability to take an
NP object, but has no effect on clauses. This has led linguists to propose a
(78)If an af
NP as a direct object.
In particular, it has an af
x that agrees with the object in person, number, and
gender. Suppose this agreement af
Mohawk; they will always be dislocated. There will be no similar effect on
Almost all the principles are the same, and the one difference is a rather super-
cial one. However, that one difference just happens to be like a pebble that is
in exactly the right position to start an avalanche: it has repercussions through-
out the grammar.
Universal Grammar,
human languages are essentially the same.
when one shifts from looking at languages as some kind of list of sentence
12Generative Grammar
To most people, the word ÒgrammarÓ suggests a normative enterprise,dictating
what constitutes correct language use. For example, many educated English
speakers would identify at least Þve supposed grammatical ÒerrorsÓ in the
(1)Hopefully, we will be able to easily Þgure out who to talk to.
Thomas Wasow
linguistics as the American Kennel Club
s breed standards are to biology:
arbitrary evaluative standards of no relevance to objective description.
then, to refer to structural properties of
have mastered without explicit instruction. These are largely properties of
languages that are not even mentioned in traditional grammars, though some
are addressed in foreign language instruction. They include facts about word
order, for example, that
in (1) must appear in that order, or else
the sentence becomes unacceptable. They also include facts about the proper
forms of words in particular contexts, for example, that replacing
more technical jargon,
and morphosyntax. The term may also be construed more broadly to include
principles relating linguistic forms to the meanings they express (semantics)
and/or the sound patterns of languages (phonology).
is associated with the tradition of grammatical research
initiated and inspired by the work of Noam Chomsky. This term is some-
times construed very narrowly to refer only to work directly derivative from
s. Here it will be used more broadly to refer to work generally
Here N is the category of well-formed numerals, and the arrow can be inter-
Thomas Wasow
I have won,



You will win,



Postal also observed that imperative sentences take only a restricted range of
tags, though there is nothing overtly present in the initial portions of imper-
Close the door,



analysis, he reasoned, we could use a simple rule to generate tag questions on
declaratives are fundamentally alike. The desire to capture generalizations
plays a very important role in the argumentation of generative grammar.
2.5The theory of grammar should make
To the extent possible, facts about individual languages should be derived
from general principles that apply to all languages. Information stipulated in
motivated in part simply by standard scienti
Thomas Wasow
of the mind/brain of the person who knows a particular language
More speci
cally, Chomsky has argued that a rich theory of universal gram-
mar is necessary to account for the possibility of language acquisition. Themost
Phrases are identi
as semantic units as well. Like words, phrases are generally classi
(NP), verb phrase (VP), prepositional phrase (PP)
derive from the categories
of words that appear in canonical instances of those phrases. These words are
Thomas Wasow
In the 1950s and early 1960s, Chomsky, Postal, and others argued thatsimple
CFGs lacked the descriptive power to account for all of the syntactic regular-
ities of natural languages. Although some of those arguments have since been
called into question, the conclusion remains generally accepted (see Savitch,
(8)Imperative transformation:
(7) takes as input trees for simple declarative sentences, and produces as
outputs trees for the corresponding sentences with tags. It does this bycopying
(8) derives imperative sentences from declaratives starting with
I excused

b.He excused himself. [
must refer to the same person]
c.He excused him. [
must refer to different people].
The facts in (9a) are manifestly about the distribution of the words
Thomas Wasow













POS noun

leaving other properties unspeci
Chomsky (1970) that the phrase structure rules of languages could be reduced
sides of the rules. This idea has been developed in many different ways, but
has entered into most theories of generative grammar. In its simplest version,
it holds that all phrases should be viewed as projections of lexical heads and
that phrases uniformly have three levels: the lexical head, an intermediatelevel,
and the full phrase. These are often designated as X, X
(where X can
stand for any combination of features). Then the principal phrase structurerules
could be schematized as follows (where the superscripted asterisk is an abbre-
viation for zero or more occurrences of the immediately preceding symbol):
These rule schemas embody the claim that all phrases have the same basic
structure, consisting of a lexical head, possibly followed by some other phrases
) and possibly preceded by a single phrase (known
). Variants of this idea go under the label
X-bar theory.
Although there are many different versions of X-bar theory, schematizing the
phrase structure rules through underspeci
The rule schemas in (11), as stated, do not appear to be good candidates for
universal grammar, because they stipulate particular orders of elements. But
there are languages (such as Japanese) in which lexical heads consistently
come at the beginnings of phrases. It has been proposed (e.g., by Gazdar and
Pullum (1981)) that the information about hierarchical structure and the
information about left-to-right ordering of elements should be decoupled. That
way, the schemas in (11) could be regarded as universal, up to the ordering of
elements on the right-hand sides. This is another idea that has emerged in a
number of different generative theories.
4Some Phenomena Studied by Generative
Thomas Wasow
4.1Binding principles
The examples in (9) above illustrate that English has two different types of
pronouns, namely re
forms) and non-re
both refer to the speaker (as does
), the environments in which
they can be used differ. In particular, consider the following contrasts:
(12)a.*I support me.
b.I support myself.
c.They support me.
d.*They support myself.
(13)a.I don
b.*I don
c.*They don
d.They don
) roughly

b.We wound the rope around

it  the rope

These examples show that locality cannot be measured simply in terms ofnum-
prohibits local antecedents. Just what counts as




This provides further evidence that imperatives should be treated as having
4.2Filler-gap dependencies
Context-free grammars provide a formal mechanism for expressing relation-


a student.


which student does Pat rely?


which student does Kim say we think Pat relies?
Thomas Wasow
requires a prepositional phrase complement
same restriction on the choice of prepositions is maintained; (16c) illustrates
dislikes one student.

dislike one student.

would the parents all claim dislike one student?

would the parents all claim dislikes one student?

More generally,
they were in a different position from where they actually occur. Dependencies
like preposition selection or verb agreement, which are normally local, can
it [
does not look like the required local antecedent for
. Moreover,
cannot serve as the antecedent for a re
closer to the object position. The binding pattern here is just what principles A
and B would predict if
were in the subject position of
A very natural way to account for such relationships in a transformational
grammar is to posit a rule that moves
-phrases to the front of the sentence.
to the relevant verb or re
exive, and the dependencies can be licensed locally,
With such a treatment of
-questions and similar constructions, a ques-
, move from the gap

the novelthat thought Ithat understood I
thought Ithat would-be he there
I thought that he would be there.

the man that thought Ithat would-be there
the man that I thought would be there
which dog
which dog
do you thinkwe saw
Thomas Wasow
saidIthat thought Ithat would-be he there
I said that I thought that he would be there.
the man that saidIthat thought Ithat would-be there
the man that I said that I thought would be there
the man that thought that would-be he there
the man that thought he would be there

the man that saidhe that thought that would-be he there
the man that said he thought he would be there
irt gursh
the man that saidthat thought he that would-be he there
the man that said he thought he would be there
ll gaps inside of relative clauses, as illustrated in
Thomas Wasow
ways in which generative theories differ from one another. There are too many
such theories to provide a comprehensive survey (see Sag and Wasow (1999:
brief description of the historical development of transformational grammar.
5.1Transformational theories
Transformational grammar has evolved considerably over the decades (see
Newmeyer 1986). The earliest work (Chomsky 1957) was concerned largelywith
showing the inadequacy of context-free grammar for the analysis of natural
languages, and with providing precise, explicit transformational descriptions
of particular phenomena (largely from English). In the 1960s, transformational
both should be process-neutral and hence non-directional. It is possible to
Thomas Wasow
NP subject and an NP object; (ii) that it denotes the protection relation; and
(iii) the roles played in that relation by the NPs
referents, namely, that the
referent of the subject protects the referent of the object. One possible formal-
In most cases, the arguments of the semantic relation (that is, the elements

This representation incorporates both the information that imperative
has a second-person argument and that it has no subject. Further, the second-
person argument is the one that plays the protector role in the semantics.
(26)a.*Your mother protects yourself.
Thomas Wasow
sentence (where the appropriate type of phrase is one that has the properties
of the missing element that are encoded in the GAP value).
In addition, a principle is required that will guarantee that GAP values are
(30)a.*Pat became famous and away.
b.*Everyone wishes for comfort and happy.
c.*Chris eats snails and drink wine.
If GAP is one of those features that must be identical across conjuncts, then
facts like (23) are an immediate consequence. In a coordinate structure, either
is, they either all are gap-free, or they all have a gap with the same
6The Future of Generative Grammar
Thomas Wasow
and promises to continue to be
a robust line of research that has
greatly enriched our understanding of human linguistic abilities.
1Relative clauses are noun (or noun
13Functional Linguistics
If one were to take an informal survey among non-linguists regarding theprim-
would be, Òlanguage is used for communication.Ó This is the commonsenseview
of what language is for. It might, therefore, come as a surprise to many people
that some of the most prominent linguists in the Þeld reject this view and that
The goal of this chapter is to introduce the reader to the basic ideas of func-
functional linguistics arose. It will also be explained how the majority of pro-
terms and distinctions will be introduced that are relevant to elucidating func-
tionalist and formalist approaches to the study of language. In the following
Robert D. Van Valin, Jr
munication does not entail the view that all uses of language are necessarily
communicative. Foley and Van Valin (1984) continue:
There may well be instances of verbal behavior which are non-communicative,
Robert D. Van Valin, Jr
yapi kiy
Eat the bread!
Lakhota, unlike English, expresses these different types of sentences by simply
tactic structure, except for the omission of the subject in the command in (3c).
The direct object NP and the verb are in the same position in all threeexamples.
utterance, i.e. a statement; it also indicates that the speaker is male. The par-
in (3b) signals that the sentence is a question (it is neutral with respect
tence is a command and that the speaker is female. This way of expressing
questions, statements, and commands is much more common across the world
(5)a.Mary called Sam, and she talked to him for an hour. He scolded her
for refusing to help her sister at the party, and she replied that she
had been too busy.
b.Mary called Sam, talked to him for an hour, was scolded by him for
refusing to help her sister at the party, and replied that she had been
too busy.
The two participants to be tracked are Mary and Sam, and in (5a) they are
unambiguously referred to by third-person pronouns that are differentiated in
terms of gender. Hence
always refers to Mary and
The situation is somewhat different in (5b); there are nouns or pronouns refer-
Robert D. Van Valin, Jr
primarily, and some use combinations of them (see Van Valin 1987, Comrie
It was mentioned above that many of the basic mechanisms crucial to clause-
internal grammar are involved in reference tracking, and this highlights an
important aspect of functional analysis. Voice constructions like passive, or
grammatical relations like subject and direct object are not treated as purely
formal grammatical entities; rather, they are analyzed in terms of the functions
they serve. With respect to voice constructions, in some languages they are
part of a referent-tracking system, as in English, while in other languages they
are not. If a language has a syntactic referent-tracking system, then grammat-
ical relations like subject will be centrally involved in it; in languages which
use a gender-marked pronoun system only, then neither voice nor grammat-
ical relations will serve any role in referent-tracking. In functional linguistic
analysis, forms are analyzed with respect to the communicative functions they
serve, and functions are investigated with respect to the formal devices that
are used to accomplish them. Both forms and functions are analyzed, not just
b.Nihonwa, Tokyogasumi-yoi.
As for Japan, Tokyo is easy to live in.
from their study of Mandarin, Japanese, and other so-called
and applied them to the analysis of English and other more familiarlanguages;
there they found functional motivations for grammatical phenomena, albeit
not always coded as directly as in these languages. Hence the investigation of
languages from Asia, Africa, Australia, and the Americas led to insights about
the interaction of form and function in language that led directly to the devel-
opment of functional linguistics in the United States. Functional approaches
3A Brief Look at the Development of
Robert D. Van Valin, Jr
, for example, is in a syntagmatic relation with the verbs that it appears
, and it is in a paradigmatic relation with
present tense,
present participle.
Similarly, Lakhota
from (3) is in a syntagmatic relation with
and a paradigmatic relation
is syntagmatically related to both
and it is paradigmatically related to other Lakhota NPs
a kiag
yapi kiy
manthe breadthe eat-PROG DECL
The man is eating the bread.
yapi kiy
woman abreadthe eat-PROG DECL
A woman is eating the bread.
Syntagmatic relations de
ne the frame in which paradigmatic relations exist,
and the elements in a paradigmatic relation to each other constitute classes
which are in syntagmatic relation to each other. To continue the Lakhota ex-
each other as a regular pattern in the language. Each of the constituents of this
are themselves names for substitution
position. Syntagmatic (co-occurrence) and para-
digmatic (substitution) relations among signs constitute the structure of lan-
guage, and it is this structure, and not the way signs are used in speaking, that
is the proper domain of linguistic study, according to Saussure and Bloom
Chomsky (1965) proposed a distinction analogous but not identical to
performance. As we have seen, all three theorists maintain that linguistics is
/meaning/performance but rather
Robert D. Van Valin, Jr
referring to the participant affected by the action is the subject. In (5b) and (6b)
passive is used in the third clause. The subject, which is the topic of the mini-
discourse, is not the doer of the action of the verb in that clause. The construc-
tion in (5b) and (6b) requires that the topic be the subject of each sentence in it,
and therefore passive must be used in the third sentence. This suggests that
Robert D. Van Valin, Jr
Grammar (SFG) (Halliday 1967, 1994), and Role and Reference Grammar (RRG)
(Foley and Van Valin 1984, Van Valin 1993, Van Valin and LaPolla 1997). Nichols
(1984) presents a survey of functionalist approaches which usefully categor-
izes them as extreme, moderate, and conservative. Her descriptions of each are
still valid and are given below.
The conservative type merely acknowledges the inadequacy of strict formalism
or structuralism, without proposing a new analysis of structure
...The moderate
type not only points out the inadequacy of a formalist or structuralist analysis,
but goes on to propose a functionalist analysis of structure and hence to replace
or change inherited formal or structural accounts of structure
...Extreme func-
tionalism denies, in one way or another, the reality of structure qua structure.
It may claim that rules are based entirely on function and hence there are no
purely syntactic constraints; that structure is only coded function, or the like.
1972b, 1975, 1987) and Prince (e.g. 1981a, 1981b), seeks to augment standard
formal analyses with functional principles, thereby creating an additional func-
in the grammar. Kuno (1987) is very expliciton
Functional syntax is, in principle, independent of various past and current
models of grammar...Each theory of grammar must have a place or placeswhere
t from utilizing a functional per-
[A] language is considered in the
rst place as an instrument for communicative
verbal interaction, and the basic assumption is that the various properties of
natural languages should, wherever this is possible, be understood and explained
in terms of the conditions imposed by their usage. The language system, there-
Robert D. Van Valin, Jr
to lower levels of grammatical struc-
ture. Halliday (1985) maintains that the ultimate explanations for linguistic
phenomena are to be found in language use.
Language has evolved to satisfy human needs; and the way it is organized is
functional with respect to these needs
it is not arbitrary. A functional grammar
grammar, in the sense that everything in it can be
explained, ultimately, by reference to how language is used. (1985: xiii)
rather than psychological modes of explanation. At the same time it has been
more with discourse structure. Hence it falls toward the more extreme end of
the spectrum.
Among the three approaches, it could be argued that conceptually thebiggest
Robert D. Van Valin, Jr
Table 13.1
Types of explanatory criteria
Domain toTheory-internal
be explainedcriteria
:Van Valin and LaPolla 1997: 7.
(11)Theory-internal explanatory criteria
a.Economy (also known as
): is it the simplestaccount?
b.Motivation: are the main explanatory constructs independently motiv-
ated or are they speci
c to the problem at hand?
c.Predictiveness: do the hypotheses predict phenomena beyond those
for which they were formulated?
If an approach restricts itself to theory-internal criteria only, then syntactic
phenomena are explained in syntactic terms, semantic phenomena in semantic
(12)a.As for his
sister, Tom
t talked to her in three weeks.
.*As for his
sister, she hasn
t talked to Tom
in three weeks.
b.It is his
sister that Tom
t talked to in three weeks.
.It is Tom
t talked to in three weeks.
Robert D. Van Valin, Jr
are from many formalist ideas. Bates (1987) noted that functionalism is like
Protestantism, a group of warring sects which agree only on the rejection
of the authority of the Pope. Work by conservative functionalists has yielded
important insights regarding the pragmatic nature of many syntactic constraints,
but they do not address the crucial question of the nature of structure in lan-
guage, particularly syntactic structure, since they assume a generative account
of structure. Extreme functionalists have uncovered many important generaliza-
tions about discourse structure, information
ow, and the discourse functions
of grammatical forms, but by rejecting the notion of language as a structural
central questions of linguistic theory, that of the nature of linguistic structure.
cult task of proposing
alternative conceptions of linguistic structure and developing explanatory the-
1It is often asserted by advocates of
results that defy common sense, the
However, the counterintuitive results
of special relativity and quantum
side the range of human experience,i.e.
at close to the speed of light.Linguistics
rather, it deals with what has long been
considered the quintessential human
phenomenon. Hence it is reasonable to
question the denial of the relevance or
ture of the phenomenon to be described
2Abbreviations used in glosses: CL
3Strictly speaking, the pronouns could
refer to other individuals of the appro-
priate gender. However, in this and
the construction.
4For an overview of the Prague School,
see Vachek (1964, 1983), and for more
recent work by Prague School func-
1The Diversity of Human Languages
There are approximately six thousand different languages spoken in the world
today (see Comrie, chapter 2, this volume). Some of these languages are very
closely related to each other; that is, the communities that spoke these lan-
guages became separated from each other relatively recently in time. Others
in some cases tens or perhaps hundreds of thousands of years (see Joseph,
chapter 5, this volume). An obvious reßection of the differences among lan-
guages can be observed in vocabulary. An American moving to Britain will
Þnd a surprising number of different words for everyday things, but can largely
understand and be understood. The same American visiting France orGermany
William Croft
you will come.from leave at.Lagos
iij x-elbiriijun chicopch-u-chiiriimar
at-three sunit left away the ananimal at-its-mouth the sea
pero naj-alajjuyubchik.aree k
u riiachix-r-ilo
butdistant-very mountains now. Andthe man he it saw
chialgox-okapanu-wach leeq
that a.little it enteredin.thereits-facethesun
path edge-its-atvehicle-atgoing-those-of embrace-its-to
j-epkart im
wished-having-as.if branches-ofspreading.out oldoaksitting was
! abama-
and.then no!then it
pierced-which it
gure out what these sentences mean (the trans-
lations are given below), the grammar of each of these is very different from
English, and moreover, all are very different from each other. The sentences in
4), incidentally, illustrate what the typologist must do in examining the
of words in the original language, represented by the
what their individual meanings are, represented in the line below the original
language; and what is the resulting meaning of the whole, represented by the
translations given below. (All non-English examples in this chapter will have
this three-line format. A list of abbreviations for grammatical terms occurring
in the second line of the examples is found at the end of the chapter.)
William Croft
) is grammatically different. It occurs after the verb,
and substitution of a pronoun for
in (6) would require the object form
But many languages do not categorize the phrases referring to the particip-
ants in events in the same way. Compare the translations of (5) and (6) in
Yuwaalaraay, an Aboriginal language of Australia:
ama yinar-
notthatwoman -
Õt run.
The snake [A] bit the man [P].
Yuwaalaraay does not have subject and object in the English sense. The gram-
mar of participants is expressed by case suf
x (notated here with the zero
). In a transitive sentence like (8) however, what an English speaker
A, has a case suf
case (abbreviated ERG), and the
phrase P has no suf



eld linguistics (see Munro, chapter 6), and indeed many typologists have
The basic discovery of typology is that there are in fact limits to linguistic
diversity. Universals of grammatical structure describe constraints on how
grammatical structures encode the meanings or functions they express. By
and other languages from what is peculiar to each individual lan-
guage. Many explanations of typological universals take the form ofinteracting
William Croft
the order of subject, object, and verb is attributable to information status such
of a free or discourse-governed word order language. The classi
cation oftypes
that one chooses is not theory-independent: for example, Dryer 1997 argues
ed in terms of the relativeposition
a four-way typological classi
cation: SV/VO, VS/VO, SV/OV, VS/OV. But
such re
nements are made after the next step, the actual analysis of the cross-
The facts given in the preceding paragraph illustrate an important fact: lan-
guages vary considerably in their grammar. Objects may occur before or after
the verb; so may subjects. The most widespread single pattern is for thesubject
to precede the object; but K
and a number of other languages are VOS
(there are also a very small number of OVS languages which also go against
the most common pattern). The universals of language that can be inferred
from these facts are more subtle, and can be seen when the order of other
types of words in a language are taken into consideration.
Consider for example the relative orders of certain types of modi
precede the noun:
(10)a.red bookb.three books
(11)Kosraean (Austronesian, Caroline Islands)
William Croft
Table 14.1
Attested vs. unattested adjective and numeral word orders
Adjective-noun order
Numeral-noun orderAttested (Jamiltepec Mixtec)Attested (English)
Noun-numeral orderAttested (Kosraean)
Extremely rare
(13)If a language has Adjective-Noun word order, then it (almost always)
has Numeral-Noun word order.
The discovery of implicational universals of word order by Greenberg (1966)
demonstrated that there could be universal properties of language that do
not imply that all languages are identical in some respect. The implicational
The upper left cell is the language type with both dominant orders (NA and
NumN), which are not harmonic with each other. The other two attested types
have one recessive order, but the harmonic order is also present. The extremely
rare type would have both recessive orders (AN and NNum), neither of which
is dominant. That is, the extremely rare type is not motivated by either domin-
ance or harmony, which accounts for its rarity. Note that one cannot satisfy
both motivations at once, since the dominant orders are not harmonic with
each other.
Further explanations have been offered for the motivations of dominance
and harmony. Dominance
the default order
terms of language processing in production and comprehension. The default
or preferred pattern (other things being equal) is for smaller or shorter modi-
rst, while the longer or larger ones come last
Two general explanations have been proposed for harmony. The
tion is based on language processing. The harmonic orders (AN, DemN and
NumN) are parallel: all involve a modi
er preceding the head noun. It hasbeen
proposed that if parallel grammatical structures have parallel word order, they
would be easier to comprehend and produce. The second explanation is basic-
ally a historical one. It has also been noticed that the constructions used for
harmonic word orders are often the same across categories. For example, in
example in (2), a genitive agrees with its head noun with a pre
Óits-face the sunAGR-Noun GenitiveAnd a preposition in K
agrees with its complement with the same pre
William Croft
Overt plural inflectionNo plural inflection
No singular inflectionAttested (Tatar)
Overt singular inflectionAttested (Zulu)
Extremely rare
William Croft
category. Pronouns in English, for instance, can express gender as well as
In English, neither the singular nor plural pronouns express number by a
ection; instead number is implicitly expressed by distinct forms
. However, the singular pronouns (in the third person) also
express gender distinctions (
no matter what gender the referents are). The grammatical coding of addi-
tional, cross-cutting, distinctions in the singular but not in the plural is an
Behavioral potential is also represented by an implicational universal:
(22)If the marked member of a category grammatically expresses a cross-
cutting distinction, so does the unmarked member.
That is, alongside languages like English which express gender distinctions
in only the singular, there are languages which express gender distinctions in
both singular and plural, and languages which do not express gender distinc-
tions in either the singular or plural. But the universal predicts that there are
no languages that express gender distinctions in the plural but not in the
A third property of typological markedness points to its underlying explana-
tion. The unmarked member is more frequent than the marked member in
language use, as revealed for example by text counts of singular vs. plural
nouns. The form in which concepts are encoded is motivated by theirfrequency
of use. Concepts that occur more frequently in language use (e.g. singular) will
tend by default to be expressed by fewer morphemes than less frequently
in grammatical form is a processing explanation, called
. Of course, we may also ask why people talk more about singleobjects
or individuals than they talk about groups of objects or individuals. There are
presumably deeper reasons for why this is true. But frequency in language use
Table 14.3
Analogical change from Old Church Slavonic to modern Polish
Old Church Slavonic
you are
you are
he/she/it is
he/she is
we are
we are
you (pl) are
you (pl) are
they are
they are
other universals of the expression of meaning in form. A more frequent form
is more
related forms; while less frequent forms are less
rmly entrenched, and in fact
may be derived from (linked to) semantically nearby, entrenched forms. Amore
entrenched form can preserve cross-cutting distinctions more easily, while less
entrenched forms can be derived by adding an in
nearby, more entrenched form.
Also, a more entrenched form can be irregular, in that it is independently
stored in the mind, accounting for the fact that more frequent forms are more
likely to be irregular than less frequent ones. Finally, a less frequent form may
change to conform with a more frequent form in the same in
digm. For example, the third person singular is the most frequent form in
William Croft
Pronouns and nouns referring to humans vs. nouns referring to nonhumans:
e.g. Tiwi (Australian, Melville & Bathurst Islands)
Pronouns and nouns referring to humans and animates vs. nouns referring
to inanimates: e.g. Kharia (Austroasiatic, India)
We can describe the cross-linguistic distribution of plural markings across
classes of pronouns and nouns with a ranking, called the
animacy hierarchy
(23)1st/2nd person pronouns
3rd person pronouns
The hierarchy is a succinct way to capture a chain of implicational universals:
animate nouns have a plural marking, so do human nouns; and so on.Another
way of describing the generalization expressed by the hierarchy is that if any
class of words has a plural, then all the classes to the left (or higher) on the
hierarchy have a plural (conversely, if any class of words lacks a plural, then
all classes to the right or lower on the hierarchy lack a plural).
The animacy hierarchy is manifested in many different parts of the gram-
mar of languages. Agreement of the verb with a subject is often restricted to
the upper portion of the animacy hierarchy, again, with different cutoff points
in different languages. Direct objects in the upper portion of the animacy
hierarchy often have a special object case in
number of languages, if the object is higher on the animacy hierarchy than the
form found when the (more common) opposite state of affairs
Relatively recently, an explanation has been offered by typologists for what
underlies grammatical hierarchies and related patterns. These patterns are
The conceptual space constrains possible grammatical groupings of words
3rd prn
3rd prn
3rd prn
3rd prn
3rd prn
William Croft
Table 14.4
Distribution of absence vs. presence of subject, object and
SubjectObjectOblique (dative)
Big Nambas
(Latvian: Indo-European, Latvia; Hungarian: Uralic, Hungary; Big Nambas: Austronesian, Big
:Croft 1990: 104
The grammatical relations hierarchy also de
across languages. Languages vary as to how many noun phrases the
verb agrees with: some have no agreement, others agree with one noun phrase,
while still others agree with two or even three noun phrases in the clause.
Verb agreement is associated with the higher end of the grammatical relations
the ability to trigger verb agreement indicates the greater beha-
vioral potential of the grammatical relation. As with case marking, the cutoff
point for the presence or absence of agreement varies across languages:
No agreement: Mandarin Chinese
canspeak China-speech
Agreement with subject only: Spanish
Lossoldado -squebr
The soldiers broke the windows.
Agreement with subject and direct object: Kanuri (Nilo-Saharan, Nigeria
-see -
The grammatical relations hierarchy as we have described it here does not
apply to all languages, of course. In section 1, we saw that some languageshave
a distinct case marking for transitive subject (A), the ergative, while the trans-
itive object (P) and intransitive subject (S) are encoded in the same way, the
absolutive. However, the same kind of cross-linguistic pattern can be found as
with subjects and objects. That is, we can formulate an alternative hierarchy of
grammatical relations, given in (28):
The alternative hierarchy in (28) makes the same predictions about casemarking
and verb agreement for the languages it applies to. Absence of case marking is
associated with the upper end of this hierarchy (see table 14.5).
And as with the ordinary grammatical relations hierarchy, the presence of
verb agreement is associated with the upper end of the alternative grammat-
ical relations hierarchy in the languages for which it is relevant (compare
No agreement: Tongan:
Agreement with absolutive only: Chechen-Ingush (North Caucasian, Chechnya):
[CM agrees with
[CM agrees with
this book-
- read
m reading this book.
Agreement with absolutive and ergative: K
There is a single underlying explanation for this pattern:
token frequency
subject category occurs more frequently than the object category: subjects are
Table 14.5
Distribution of absence/presence of absolutive and ergative
P)Ergative (A)
(Tongan: Austronesian, Polynesia; Yup
ik: Eskimo-Aleut, Alaska; Tzutujil: Mayan, Guatemala.)
: Croft 1990: 105
William Croft
found with both transitive and intransitive verbs, while objects are found with
transitive verbs only. Hence the subject category is typologically less marked
than the object category. The absolutive category occurs more frequently than
the ergative category
for the same reason. Hence the absolutive category is
less marked than the ergative category.
The two grammatical relations hierarchies illustrate an important point about
typological universals. Typological universals do not presuppose the existence
ical variation across languages, and those patterns in turn allow typologists to
Conceptual space for semantic roles
Map of attested systems of grammatical relations
construct hypotheses about the structure of conceptual space. Conceptual space
is presumably a property of the human mind, and thus typology offers an
important tool to uncover the structure of the mind.
3.3Economy and iconicity
In section 3.1, we described typological markedness, which restricted the pos-
sibilities of presence vs. absence of grammatical expression of a conceptual
category in languages. We introduced the concept of economic motivation: the
more frequently used category is more likely to be reduced in expression or
left unexpressed. However, one must still explain why languages such as Zulu,
which express both singular and plural with in
ections, and MandarinChinese,
which express neither category, are also found. The Mandarin type demon-
strates that some grammatical categories are simply not universal. The Zulu
case demonstrates that another motivation is involved in the expression of
. Iconic motivation is the preference for the struc-
ture of language to re
ect the structure of concepts. In the Zulu example, each
William Croft
conceptual category, both singular and plural, are overtly encoded in the word
motivation more widely in the grammars of human languages.
We begin with a subtype of iconicity called
: the correspond-
meaning correspondence in
This car runs
x. The Turkish forms are iconic, but not very economic. The
YesNoClassic iconic structure
NoYesZero expression of category
NoYesAbsence of category
William Croft
Table 14.7
meaning correspondences in paradigmatic
�1 (unrelated)NoYes
�1 (related)YesYes
Economy and iconicity play an important role in limiting cross-linguistic
variation in the expression of individual meanings by individual forms. This is
only the coarsest description of grammatical structure though. In the analysis
of the grammatical structure of sentences, there is much more than just the
division of the whole sentence into its parts (and the corresponding division
of the meaning of the whole into its component meaningful parts). Words in
sentences are organized hierarchically into phrases which themselves are put
William Croft
is best illustrated by an example. The semantic relation of
session, roughly, those entities which are obligatorily possessed, such as one
s daughter. (Of course, a hand can be cut off from a person, and
s parents may die before her, but the body part or person always
able possession, roughly, those entities which are not obligatorily possessed,
such as artefacts and other physical possessions. Conceptually, inalienable pos-
Alienable possessionInalienable possession
Mekeo (Austronesian)e
X # Y
X + Y
Warrgamay (Australian)
ulmburu bin
dilly-bagwoman foot
X + A # Y
X # Y
Kpelle (Niger-Kordofanian)
X # Y
X + Y
housechief back
X # A # Y
X # Y
: Based on Croft 1990: 175
Òmy backÓ uses a linguistically closer construction than Òmy house,Ó whileÒthe
chiefÕs houseÓ uses a linguistically more distant construction than Òthe chiefÕs
Linguistic distance has been shown to limit signiÞcantly the range of cross-
linguistic variation found in a wide range of grammatical constructions, includ-
ing possession, causative constructions (Haiman 1983), the different types of
Þnite and nonÞnite complements found with different verbs (Giv—n 1980), and
the relative order of inßectional preÞxes and sufÞxes on verbs (Bybee1985).
He felled the tree
describes a more direct
William Croft
Minnie walked into the room.
her/him push down atsofaon
I pushed her/him down onto the sofa.
re yooherej
Hindi (Indo-European, India):
However, all three languages belong to a single family, Indo-European.
Hence, they are all descended from a single ancestral language (see Joseph,
William Croft
languages are descended are assumed to conform to the typological general-
be radically different from all contemporary ones. Historical records of ancient
languages such as Sanskrit, Ancient Egyptian, Sumerian, and Ancient Chinese
languages implies that all language types can be connected by processes of
change. Finally, it is assumed that all language change is
or another. This last hypothesis is supported by the wide range of variation
found in individual languages, which demonstrates the presence of alanguage
change in progress, and by direct historical evidence in the languages where
One can use these working assumptions to take a synchronic typological
that can be tested where historical data exist or where the history of a lan-
guage can be reliably reconstructed. For example, it is well known that the
word order of a genitive modi
er and noun is closely related to the wordorder
of an adposition (preposition or postposition) and noun. If a language has
prepositions, then it has noun-genitive order, as in Indonesian (Austronesian,
Òto the cityÓ and rumah Tomo
[house Tomo]
If a language has postpositions, then it has genitive-noun order, as in
[Yelso from]
from Yelso
Òwhite manÕs woman.ÓThere are exceptions to this generalization. English is arguably one of those
exceptions: it has prepositions (
), but in addition to thenoun-genitive
. However, it turns out that the exceptional languages all
have adjective-noun order that is harmonic with the genitive-noun order
English has adjective-noun order (
genitive noun order in
One can re
ne the cross-linguistic generalization to include adjective-noun
order in the pattern:
If a language has prepositions, then if it has genitive-
noun order, it will also have adjective-noun order.
More interestingly, one can
then dynamicize this relationship and hypothesize that adjective-noun order
rst, then genitive-noun order, and
nally adposition order. To do
William Croft
Conceptual space for grammaticalization path from motion to future action
William Croft
(you), third person (he, she, it, they)
CM: noun class agreement marker
: ergative, a case marking used to indic-
: genitive/possessive marker
: nonfuture tense
: present tense
15An Introduction to
in the world. They are able to do this because they represent connections
the class has the property of having
nished his/her paper. Therefore, as-
suming that the second speaker understands both (1a) and (1b), then he/she
recognizes that asserting (1b) involves making a statement which is incompat-
rst speaker.
that if it is possible to construct a successful account of the meaning of declarat-
non-declarative sentences, like interrogatives that are employed for asking
work of the German logician, Frege, who created the foundations of
order logic.
We have identi
Two-place connectives denote functions from pairs of truth-values to a truth-
maps two true sentences into the value true, and every other
combination of truth-values into false. (3a) is true iff both
are true.
other pair of values into true. (3b) is true iff at least one of the disjuncts con-
is true.
) is true and the consequent is false, and true otherwise. It
follows that (3c) is true iff either
is true.
Finally, a negated sentence is true iff the sentence to which the negationapplies
is false. (3d) is true iff
(4)a.Someone sings.
b.Everyone dances.
they do seem to occupy the same grammatical category as these terms. How,
s paper.
Notice that each occurrence of the variable
The intension of an expression E is essentially a rule for identifying E
extension in different situations. Carnap characterizes intensions as functions
from possible worlds to denotations, where a possible world can be thought
of as the result of specifying the properties and relations which hold for the
produced a sentence with the same extension (truth-value) in the actual world
(at the present time), but a different intension (proposition).
We observed that one of the main tasks of semantic theory is to explain
how speakers compute the meanings of complex phrases from the meanings
of their parts. Frege adopts the principle of
adequacy on any account of meaning. Compositionality requires that the mean-
its syntactic components. This condition implies that, for any phrase P, given
the meanings of the constituents of P, there is a function which maps these
meanings into the meaning of P. This principle has enjoyed wide acceptance
throughout the history of semantic theory. Clearly, if an account of meaning
es compositionality, it speci
for another with the same truth-value but a different proposition can alter the
extension, as well as the intension of the entire VP.
In addition to the Frege
Carnap view there is another approach, which
dispenses with intensions and seeks to construct a theory of meaning solely in
terms of the contributions which expressions make to the truth (i.e. extension)
conditions of sentences. This approach is developed by Davidson, and it takes
as its starting point Tarski
nition of truth for
rst-order languages.
Tarski constructs a recursive de
nition of the predicate
rst-order languages similar to the
rst-order language characterized by Frege.
nition proceeds stepwise
rst to elementary sentences constructed from
individual terms (constants or names, and variables) and predicates, next to
compound sentences formed by applying truth functions to other sentences,
es the truth conditions for S in terms of the relations which must
hold among the denotations of the constituents of S. As a result, Tarski
s truth
verb like believe, which takes a sentential complement, is (t/e)/t (a function
from sentences to VP
s), an NP is a t/(t/e) (a function from VP
to individuals. A modi
several predicates. (10a), for example, is analyzed as (10b), which states that
there is an object x such that x is a house, x is green, and Mary has x.
(10)a.Mary has a green house.
x(house(x) & green(x), & has(mary, x)).
Adverbs are also taken as predicates, and they are applied to events, which are
allegedly occurred. If (12b) is true, then there may have been no event of Mary
submitting her paper. Non-extensional modi
ers require a different kind of
semantic representation. They cannot be analyzed as predicates that apply to
objects and events. Therefore, Davidson
s approach does not provide a uni
treatment of modi
Syntactically it is a function from predicates to predicates, and semantically it
denotes a function from the intension of its syntactic argument to the exten-
sion of its syntactic value. An adjective denotes a function from the intension
The truth conditions of these sentences can be expressed by the
sentences in (16), where
are naturally represented as denoting
truth conditions of
rst-order sentences, and it is necessary to use more power-
ful systems, like GQ theory, to model the semantics of natural language.
3Dynamic Semantics: beyond Static
Shalom Lappin
conjunction of these conditions on u yields a discourse representation struc-
ture that holds iff there is a man who came in and that man sat down, which
is the desired reading of the sequence.
Applying this approach to (22b), the two inde
clause introduce two distinct discourse referents u and v, and the conditions
(u,v). These referents and conditions are accessible
to the consequent clause, where u and v are substituted for
, respect-
ively, to produce the condition
(24a) has the same truth conditions as (24b), in which the entire conditional is
dynamic x is a man and y is adonkey and x owns y], thendynamic [x beats y])b.xy((man(x) & donkey(y) & owns(x,y))  beats(x,y))(for every x and for every y[[if x is a man and y is a donkey and x
owns y], then [x beats y]])
(24a, b) are true iff for every pair
such that a is a man, b is a donkey,
and a owns b, a beats b. However, 24a corresponds directly to (22b) in that
it represents both inde
(24b). Therefore, this analysis provides an explanation for the fact that, in sen-
tences like (22b), pronouns which are anaphorically dependent upon inde
, it is possible to obtain (25) for (22a). (25) has the same truth
corresponds to a restricted
to a restricted dynamic existential
x [[if
and x owns y]], then
)As in the case of (24a) and (22b), (25) corresponds directly to (22a) in that the
is represented by a (dynamic) existential quanti
er (as in (24b)). Therefore, the dynamic bindingaccount
of donkey anaphora also permits us to account for the fact the pronoun
While DRT uses inde
nites to introduce referents into a discourse and
dynamic binding relies on dynamic operators to pass information concerning
discourse referents from one sentence to another, the third approach locates
(26)a.A man came in. The man who came in sat down.
b.Every man who owns a donkey beats the donkeys he owns.
c.If a man owns a donkey, the man who owns a donkey beats the
So in (20), for example, the E-type pronoun
(14)a.Every student sings.
cational situation q which supports (29) includes John. Therefore,
situations involving a donkey owner and a single donkey, then (31) asserts
are situations in which he beats that donkey. This yields the
rst reading.When
from distinct syntactic structures. The narrow scope reading is obtained when
as an argument of
substituted for the pronoun. The VP of the
(32) where
is always in object position. The structure is associated
On the second approach, sentences containing scope-taking expressions are
assigned schematic semantic representations in which the scopes of these terms
are left unspeci
In the representation for (32), for example, the scope
ned representations to capture
this paper. I am solely responsible for any
shortcomings which remain.
1There are numerous introductory
lighting different issues and tending
extends Tarskian semantics beyond
rst-order systems.
7Interestingly, Tarski expressed
skepticism about the prospects for
developing formal truth de
that their terms are often vague or
ambiguous. Morever, they permit self-
reference in a way which generates
as referring to itself. Davidson, like
universal force. See Kadmon (1990),
Heim (1990), Chierchia (1992), and
sions of this problem.
20Heim (1990), and Lappin and Francez
(1994) pursue this approach. Lappin
Ruth Kempson
16Pragmatics: Language
1The Puzzle of Language Use: How Do We
use a word, it means just what I choose it to mean Ð neither more, nor less.Ó
This is the view of language expressed by Humpty-Dumpty in Lewis CarrollÕs
Alice through the Looking Glass
. It may seem mere commonsense that describing
Then there is the way we can describe things by using words in ways which
only have a very indirect relation to what a dictionary would indicate is their
re a real race-horse.
How can the words
real race-horse
be predicated of a single individual,someone
Ruth Kempson
an answer to this question. Pragmatics is the study of communication
study of how language is used. This study is based on the assumption of a
rules of the language to work out that B was conveying that she knew how to
(5)A:Elton John sang at Diana
B:I spent the whole day in Kensington Gardens. The smell wasamazing.
The questions posed by this conversation are:
how does B understand what A has referred to by using the word
how does talking about Kensington Gardens answer A
taken to refer to the day of Princess Diana
how does A understand what the words
refer to?
The general problem we want to use this example to address is: how do
language-internal principles interact with more general reasoning capacities?
presumably means the funeral service of Princess Diana. Since the funeral
was televised, there were several means of seeing the funeral
vision or by attending the event in person. B replies that she went to the area
surrounding Kensington Palace for
the whole day.
a procession from Kensington Palace to Westminster Abbey, as well as the
s reply is taken to imply that she was in the area in which the
funeral took place at the time of the funeral, so her reply provides a positive
answer to A
this reply up with the words
. She relies on A
s being able to under-
stand what these words mean by recovering information about the mass of
owers left in Kensington Gardens, and hence success in referring to the smell
owers. Almost none of this information is knowledge about the
English language. There is nothing in the meaning of the word
our knowledge of language and general reasoning capacities, because B has to
rst in order to establish that the word
has been uttered,
is a pronoun which is the sort of word that is used to
sentence A utters, the word
is presented as object of the verb
Ruth Kempson
Nevertheless, the process of building up the structure corresponding to some
: be perspicuous (avoid obscurity, avoid ambiguity, be
brief, be orderly).
These are not rules that dictate behavior but, rather, maxims underpinning
collaborative exchange of information. Take for example marking an exam,
candidate, you disagree, and we then negotiate an agreed mark. Such collabor-
ative endeavors are said to be directed by the cooperative principle and its
maxims. Of course, it is not always the case that people do tell the truth, or are
extremely swift, and exciting to watch and hence to be with. Notice that, said
been taken, much less nicely, to mean that I was highly strung, bad tempered
Ruth Kempson
which provide the trigger for the
commonsense reasoning
process that adds
to (or replaces) the stricter descriptive content of an uttered sentence. Notice
who areassumed
s utterance of the expression
would be tightly restricted to the women described outside Kensington Palace
down on some other grave elsewhere in the country, nor every woman at
home watching the event on television. Even the predicate
owers that took place that day. Many
the phenomenon is not a conversational implicature either, as it is an invariant
be recovered. The Gricean program has to allow for special stipulations for
aspects of meaning such as these which fall outside both the truth-conditional
program, and the implicature form of explanation, as Grice himself pointed
conventional implicatures
indicate that they were not regular implications of descriptive content but
today if you are to have any hope of being treated as a serious candidate.
Imagine also that it is raining. To you, the information that it is raining is not
relevant because you are trying to work out how best to present yourself and
your achievements. This can be characterized through considerations of amount
of effort required for the inferential effects to be achieved. What you are cur-
rently focussing on
the context against the background of which you are
are premises which concern this particular act
I must remember to mention my degree results
I must remem-
If I use the word
And so on. What the weather is like does not
which the proposition expressed has to be recovered. To succeed in the second
task means establishing (a) some proposition corresponding to the intended
has expressed is arrived at. So, for example, (16)
(17) uttered in the context
saying those words
I am carrying out an act of promising. On the speech act
act theorists that there is clearly more to language than just describing things
depends on context, but all words. The very generality of this phenomenon of
cations of words should be viewed
relevant to the hearer. So
Ruth Kempson
The proposition expressed
Figure 16.2
gure 16.2 (I put question marks above the parts of the struc-
ture which she knows must be there, but doesn
Ruth Kempson
Notice what form the information presented by the words has to take in this
PAST : admire
With the tree structure corresponding to the proposition expressed now
rmation of this processing perspective on syntax itself, we can now
see that the way these partial trees are built up by a hearer may be affected
culty processing them, though we may judge them less than perfect,because
the pronoun isn
t strictly necessary. Consider what happens in processing, as
the hearer continues on from the point at which
is processed, this
contribution this occurrence of
obtained from
makes in the inter-
optimal relevance should dictate that any choice available to the speaker which
involves the hearer in processing additional lexical material for
inferential effect will always be less than optimal, unless this less economical
strategy helped in what otherwise might be a potentially over-complex struc-
ture which risks causing the hearer undue processing dif
culty. It is this process-
Ruth Kempson
1This was once said to me as a fervent
(and much appreciated) compliment!
2What a user of a language knows
. In a grammar there are facts
about the sounds used to build words
), facts about how words are
meaning of words/sentences that are
integral properties of those words/
Phonology; chapter 11, Syntax; chap-
3A very useful collection which pro-
vides readings in all the major topics
4Sentences in sequence are often
used, contrarily, to imply events in
lished. And I became pregnant.
5It has long been recognized by both
linguists and philosophers that pro-
6An important assumption here is that
construction or manipulation of inter-
nal cognitive representations. We can,
for example, only see that rose bush
Q. As with the earlier trivial infer-
14There is no
xed choice of premisses
any choice of premisses will do as
long as it licenses inferential effects
15There are several alternative accounts
of the way in which construal of
which it is uttered. In some of these,
there is no commitment to any form
of representation. Amongst these is
Searle, who argues for a concept of
relative to which language
up, the two-place predicate
This is a standard notation
cept of functional application under-
Agnes Weiyun He
17Discourse Analysis
[I]n the world of human beings, you wonÕt Þnd a language by itself Ð the Dutch
language strolling the canals, or the English language having a nice cup of
tea, or the German language racing madly along the autobahn. You only Þnd
To imagine a world without discourse is to imagine a world without language
c language use. Here, we are concerned with
What makes discourse analysis stand out as a discipline independent from
although intricately interwoven with other domains of linguistic inquiry isthat,
more than any other domains of linguistics, discourse analysis emphasizesthat
language is not merely a self-contained system of symbols but more import-
logy on sound systems, pragmatics on rules governing information processing
s concern may seem far broader and therefore
more elusive: discourse analysis seeks to describe and explain linguistic phe-
nomena in terms of the affective, cognitive, situational, and cultural contexts
of their use and to identify linguistic resources through which we (re)construct
our life (our identity, role, activity, community, emotion, stance, knowledge,
belief, ideology, and so forth). Essentially, it asks why we use language the
way we do and how we live lives linguistically.
To this end, discourse analysts insist on the use of naturally occurring lan-
guage data (as opposed to invented data). However, in spite of the shared
global aim, different discourse analysts may focus on vastly different aspects
of communication, draw upon divergent analytical traditions, and resort to
Agnes Weiyun He
a self-contained system, discourse linguists maintain that language is insepar-
able from other aspects of our life and that the selection of linguistic forms
social, interactional, cognitive, affective needs). This position is compatible
with and is inspired by insights from a number of different sources including
anthropology, cognitive science, functional linguistics, psycholinguistics, philo-
sophy, and sociology.
&+;\n \b\n\b
&,)!\f"+#\r\b\n \f\fE01"#
&3) \r\f%\b\b\f\t\fA\b\b(\f\f
&3+\b(\f\t\t/ \r\b\b(\f\t\f\f\b%\f\b$$\f\n\r\b\n
centered around the question why the speakers select the linguistic forms that
not in any particular order.
Agnes Weiyun He
example, we will have certain expectations about topical progression, turn-
taking rules, and outcome of the interaction as well as constraints on context.
s utterance here designed as a simple narration of a past event (that
Agnes Weiyun He
the head of the listener. What sorts of
Dijk and Kintsch 1983; Schanck and Abelson 1977) are relevant and necessary
be assessed in terms of their problem-ridden nature. He would also need to
properly position Susan
s utterance in the context of her immediate andoverall
it has to do with the
information status
Agnes Weiyun He
The notion of Theme was originally developed by a European linguistic
tradition known as the Prague School (Danes 1974, Mathesius 1975). Working
with Slavic languages whose word order is more
such as English and depends crucially on degrees of knownness/givenness
which says that word order has to do with how informative
, or CD. A sentence
degree of CD. In
uenced by the Prague School approach, linguists working
Agnes Weiyun He
+,&!*\bC.$ \b\n \b"+#\f\t\t.(\f@\b\n
\b\t\n \f\b\t\n \f\b\t\n

+;3!'\n\r. \f\r\t\b\r\f
In theory,
can mean a number of different things: it can index the
or probability, it may indicate interpersonal obligation, and so forth. In (3),
3Linguistic Resources for Doing and Being
As discussed previously, discourse linguists take a dialectical view of the
Agnes Weiyun He
In a similar vein, discourse analysts have pursued the role of language
in the (re)construction of
(Jacoby and Gonzales 1991),
3.2Activities and tasks
Agnes Weiyun He
&&8*6"# \b\t -9:$
&&;! \f$"# 
We see that in the very beginning Neil identi
you are a math major
request; his
identity and forecasts a change of major, which will be the focus of discussion.
Subsequently, Susan corrects Neil
s categorizing her as a math major through a
self-repair of her own utterance (line 4,
I AM a math I mean I TRANSferred
). By changing from
indicating a present state of
I TRANSferred,
process of how she became a math major. She also displays a lack of commit-
ment to being a math major, and thereby converges with Neil
(line 3) that their encounter is to be about a change of major. In what follows,
Neil revises
egory which on this occasion also echoes and reinforces Susan
displayed in her previous turn. Susan then acknowledges that Neil
s categor-
ization of her is accurate (line 8). Hence, before the
rst seven utterances are
that being a math major may pose a problem for her to later attend medical
she do linguistically to help her construct that appearance? What is thefunction
of quoting Helen, another advisor? What role does Neil play while the student
eshing out her purpose of visit? How does Neil address her concern? Does
he provide a straightforward answer? Is he assertive, direct, cautious, and/or
and uncertainty in contrast to the certainty and truthfulness of Helen
Thus Susan portrays the account of the problem as certain and truthful and
attention, alignment, and subsequent advice. And Neil is not merely a passive
recipient of Susan
s report. Rather, he actively anticipates her account (line 18),
Agnes Weiyun He
storytelling at workplaces. It is disciplined in the sense that not all approaches
to discourse are equally defensible against all sources of doubt and that one
The writing of this chapter was in part supported by a research grant from the Spencer
Foundation. I am solely responsible for the statements made and the views expressed.
Nigel Fabb
18Linguistics and Literature
1Introduction: Literary Linguistics
ÒLiterary linguisticsÓ is the application of linguistic theory to literature. In this
theory relate to the special characteristics of literary texts. The Þrst aim is to
model the cognitive processes which shape verbal behavior. Literarylinguistics
Nigel Fabb
Nigel Fabb
tis t
ar sphoo-e the-oo-n e-ri-di k-su-ne-ee-ke ma-khes-thai
forces a word boundary to appear at a certain place in the line, relative to the
phonological constituent structure of the line; a bridge rule has the opposite
effect, preventing a word boundary appearing at a certain place in the line.
word boundary
involved can be a lexical word boundary or a clitic
group boundary; in Greek drama, tragedies tend to constrain the former while
Nigel Fabb
Nigel Fabb
[ b r
n d ]
[ b r


[ r


Sound patterning offers other problems which are of linguistic interest. One
problem involves the constituency of the material which is patterned. In most
kinds of rhyme the repeated material is a well-formed constituent (e.g. the
rime of the syllable; however, there are plenty of examples of sound-patterning
where the repeated material is not a single well-formed constituent. Thus
rhymes may include the
in the rhyme
(used by Byron). Similarly, alliteration
that the utterance (including the literary text) provides partial evidence for
and so on. Thus a communicated proposition is attributed to a source who has
a particular attitude towards that proposition. The source is usually the com-
however, it is equally possible that the proposition can be attached to another
source; in this case, it is some third party
s belief which is being reported and
the communicator can signal her own lack of commitment to the proposition.
Where the communicator communicates that a proposition is attached to a
third party, and that it should be held in an attitude of doubt or disbelief, then
irony arises. This is not speci
c to literature but a possibility in every commun-
Sperber and Wilson
s account of irony is part of a more general account of
point of view.
A reader
s or hearer
Nigel Fabb
when we consider the fact that in languages with an option of expressing a
proposition either in verb-medial or verb-peripheral sentences, there is a tend-
ency for verb-peripheral sentences to be the storyline sentences. Again, this
may possibly arise for functional reasons relating to the importance of the
verb (and hence its need to be informationally prominent) in storyline clauses.
A third example comes when we consider the use of strategies such as noun-
incorporation (Vel
zquez-Castillo 1995) which make noun phrases more or
nd that the formal choice re
ects narrative demands relating to how promin-
appears to be the case for linguistic form which realizes what Labov (1972,
genres evaluate narrative events in terms of what they might mean to the
ive, but as Labov shows, it is realized by typical kinds of linguistic form
example by the use of modals, negatives, and so on, or by stylistic effects like
Jakobson, who pioneered the linguistic study of parallelism, believed that
of linguistic form). In ordinary verbal behavior, items which are equivalent
vowels, but on the (suprasegmental) tonal contour which lies above the utter-
ance as a whole; here, it is possible that an aspect of underlying linguistic form
ics must ask two questions: are literary rules cognitive rules? and how does
literature exploit the possibilities of linguistic communication?
1This chapter is largely based on re-
search reported in Fabb (1997). His-
are provided by various anthologies and
conference collections: Sebeok (1960),
Brian MacWhinney
19First Language
discovered that human infants were speci
cally adapted at birth to perceive
ever, around three months, at the time of the
no particular linguistic structure, but their well-integrated intonation makes
them sure parent pleasers. By six months, the baby is producing somewhat
more structured vocalizations, including a larger diversity of nasals, vowel
types, and syllables with the canonical consonant-vowel (CV) structure. The
basic framework of early babbling seems to be constructed on top of patterns
of noisy lip-smacking that are present in many primate species (MacNeilage
1998). These vocal gestures include some form of vocal closure followed by
a release with vocalic resonance. Essentially, this is the CV syllable in which a
Until the sixth month, deaf infants continue to babble normally. However,
by the age of nine months, deaf infants have lost their interest in babbling.This
suggests that the babbling present at six months is sustained largely through
point of view, babbling is essentially a process of self-entertainment.
ability to record the sounds of words. The second is the development of an
ability to control vocal productions that occurs in the late stages of babbling.
The third development is the general growth of the symbolic function, as rep-
used to dredge up fuller representations from memory. For example, a child
s tail sticking out from behind a chair and realize that the rest
of the dog is hiding behind the chair. This understanding of how parts relate
playing with toys, the 12-month-old will begin to produce sounds such as
that represent properties of these toys and actions.
Often these phonologically consistent forms appear before the
rst real words.
Because they have no clear conventional status, parents may tend to ignore
rst symbolic attempts as nothing more than spurious productions or
If we look at early word learning from the viewpoint of the child, we realize
rst steps toward learning words are taken in a fairly passive way. Even
before the child has produced her
rst conventional word, she has already
acquired an ability to comprehend as many as ten conventional forms. She
and the clarity with which it is typically presented, this is perhaps not too
phonological processes echo similar processes found in the historical develop-
ment and dialectal variation of adult languages. What is different in child
cations occur at once, making somany
words dif
cult to recognize.
4Early Semantics
The salience of early articulatory limitations tends to mask other, more subtle
challenges facing the toddler. With only a few words to her name, there is no
great danger that one word will be confused with another. However, as the
s inventory of words or
grows, the challenge of keepingwords
apart from each other increases. At the same time, the toddler also needs to
gure out how broadly she can apply each new word.
reuse a word. Instead, the child has to take each context and decide which
aspects are likely to be generalizable for repeated uses of the word. But
out how to reuse words is not a trivial problem. In fact, scholars from Plato
to Quine have considered the task of
guring out word meaning to be a core
intellectual challenge. Quine (1960) illustrated the problem by imagining a
scenario in which a hunter is out on safari with a native guide. Suddenly,
and the hunter, who does not know the native
language, has to quickly infer the meaning of the word. Does it mean
s a rhino
or perhaps even
? Without some
additional cues regarding the likely meaning of the word, how can the hunter
gure this out?
The problem facing the toddler is similar to that facing the hunter. Fortu-
nately, the toddler has some good cues to rely on. Foremost among these cues
is the parent
s use of joint attention and shared eye-gaze to establish common
reference for objects and actions. If the father says
proxemic cues to infer that the word
refers to the hippopotamus. A
similar strategy works for the learning of the names of easily produced actions
such as falling, running, or eating. It also works for social activities such as
The normal child probably understands the role of shared
eye gaze even before learning the
rst words. At three months, children main-
tain constant shared eye gaze with their parents. In normal children, this con-
tact maintains and deepens over time. For autistic children, contact is less
stable and automatic. As a result, autistic children may be delayed in word
learning and the general growth of communication.
The importance of shared reference is obvious to most parents. In fact, in
the fanciful recollections in his
405), St Augustine outlined an
analysis not very different from the one presented here:
This I remember; and have since observed how I learned to speak. It was not that
Shared reference is not the only cue the toddler uses to delineate and pick
out the reference of words. She also uses the form of utterances to derive the
meanings of new words. For example, if the toddler hears
Here is a zav,
is a common noun. However, if she hears
Here is Zav,
is either a proper noun or perhaps the name of a
quantity. If she hears
I want some zav,
and not a proper or common noun. Cues of this type can give a child a rough
idea of the meaning of a new word. Other sentential frames can give an even
more precise meaning. If the child hears,
This is not green, it is chartreuse,
is a color. If the child hears,
cover it, just sprinkle it lightly,
but shallow, mapping of new words to new meanings.
teacup, a glass, and a demitasse. She already knows the words
correctly infer that
refers to the object for which she does not have
Instead of thinking in terms of mutual exclusivity, the child appears to be
language learning. The problem is that, without
ventional meanings of words, both children and Humpty-Dumpty could
themselves using words in ways that no one else would understand.
Children often have a rather
xed agenda of items to be expressed and
nd simple ways of expressing each of those items. Forexample,
many children want to learn words for
nger, hand, ball, dog, bottle, Mommy,
Daddy, and food. Most languages will oblige the child by providing words
for these very basic concepts. However, once we leave the level of the
to learn verbs instead of nouns. Moreover, the verbs they learn focus more
in Navajo refers to
carrying around in a circle any
As learning progresses, the child
becomes less important than the shape of the resources provided by the lan-
guage. This is not to say that languages end up shaping core features of chil-
s cognitions. However, the presence of obligatory grammatical markings
in languages for concepts such as tense, aspect, number, gender, and de
end up shaping the structure of thought. Such effects are directly opposed
to the Humpty-Dumpty agenda-based approach to language. Probably the
smoothly in production. On the other hand, the child also has to
gure out
which words can meaningfully be combined with which others.
As was the case in the learning of single words, this learning is guided by
earlier developments in comprehension. As in the case of studies of early word
comprehension, we have to assess children
s early syntactic comprehension by
controlled experiments in the laboratory. Here, again, researchers have used
the preferential looking paradigm. To the right of the child, there is a TV
monitor with a movie of Big Bird tickling Cookie Monster. To the child
there is a TV monitor with a movie of Cookie Monster tickling Big Bird. The
experimenter produces the sentence
Big Bird is tickling Cookie Monster.
the child looks at the matching TV monitor, she is reinforced and a correct look
is scored. Using this technique, researchers have found that 17-month-olds
already have a good idea about the correct word order for English sentences.
ve or six months before they begin to use word order systemat-
ically in production.
The level of successive single word utterances is one that chimpanzees
also reach when they learn signed language. Domesticated chimps like Sarah,
Washoe, or Kanzi have succeeded in learning over a hundred conventional
signs or tokens. They can then combine these words to produce meaningful
communication. However, the combinations that chimpanzees produce never
8Missing Glue
(nominative, masculine, singular) for a toy. The
Children as young as three-year-olds understand that they are supposed to
into the accusative case in their answer and they cor-
rectly produce the form
Three-year-olds also demonstrate some limited productive use of syntactic
patterns for new verbs. However, children tend to be conservative and unsure
about how to use verbs productively until about age
ve. After all, from the
The fact that children tend to ignore formal correction has important con-
sequences for language acquisition theory. In the 1970s, work in formalanalysis
was impossible, unless negative feedback was provided. Since negative feed-
back appeared to be unavailable or unused, this meant that language could
not be learned without some additional innate constraints. This argument has
led to many hundreds of research articles exploring the ways in which chil-
s learning places constraints on the form of grammar. Referring back to
and the Allegory of the Cave, Chomsky, Gold, Baker, Pinker,
and others have characterized the task of language learning as a logical prob-
lem. At its core, most of the search for innate constraints on language learning
is grounded on the supposed impossibility of recovery from overgeneralization.
To illustrate the ongoing importance of these issues for linguistic theory and
language acquisition, consider this passage from Chomsky (1965):
It is for the present, impossible to formulate an assumption about initial, innate
structure rich enough to account for the fact that grammatical knowledge is
attained on the basis of the evidence available to the learner. Consequently, the
empiricist effort to show how the assumptions about a language acquisition de-
vice can be reduced to a conceptual minimum is quite misplaced. The real prob-
lem is that of developing a hypothesis about initial structure that is suf
errors of this type may not arise until about age six or later, the formation of
Consider another example of how lexical classes help the child recover
from overgeneralization. For example, a child might notice that both
an extension past the realm of colors and patterns would violate the basic
principles of conservative learning. As a result, this type of category-leaping
overgeneralization is extremely infrequent.
12Errors That Never Occur
We have seen how children can recover from overgeneralization without rely-
ing on innate constraints. However, there is another approach to language
development that provides more convincing evidence for innate constraints.
This approach focusses on errors that
occur. Consider this example:
(1)a.The boy who is
guage learners. In his treatise on the
Aweful German Language,
Mark Twain
expected by chance. Thus, the system
Brian MacWhinney
human mind and body. On the one hand, the universals of human language
match up with our neurological, cognitive, and physical abilities. At the same
time, parents provide rich contextual and emotional support to guide children
through the process of language discovery. By studying language learning, we
learn more about universals of human language, the shape of social inter-
action, and the structure of the human mind.
Vivian Cook
20Linguistics and Second
One Person with Two
Most linguistics concerns people who know, use, or learn a single language.
1Early Days: Links and Questions
Vivian Cook
nitions for bilingualism itself. At one extreme are
native-like control of two languages
eld 1933), renamed
more transparently as
Vivian Cook
organise their utterances and texts accord-
Perdue 1997: 343).
The ESF project is thus a practical demonstration of the interlanguage
or L2. The project
Very few L2 learners appear to be fully successful in the way that
native speakers are
(Towell and Hawkins 1994: 14);
Unfortunately, language
(Larsen-Freeman and Long 1991:
Vivian Cook
a very strong foreign accent.
There are, however, problems with this
was his third language and French, his second which he learnt after the age of
Some research has challenged the superiority of children. If all differences
The controversy over age still continues. Johnson and Newport (1989)
Vivian Cook
Again the main interest lies, not so much in the data, as in the explanations.
s environment in some
way; the question is which of these changes affects L2 learning. Diverse explana-
tions are offered ranging from changes in brain chemistry (Pulverm
Schumann 1994) to a shift in speech processing towards categorization at about
the age of 7 (Flege 1992) to a lack of availability of Universal Grammar, to be
discussed below. Age does seem to have effects on L2 learning but their exact
nature is unclear and their causes are mostly speculative. If you care about
learn a basic ability quickly, start old.
5Do L2 Learners Attain the Same Level of
The question of the end-point of L2 acquisition was already implicit in the
question about age but has been raised more explicitly in recent years: what
nal state that L2 users can reach in the knowledge of a second lan-
guage? Despite the interlanguage assumption that L2 learners haveindependent
nal state of the L2 learner has frequently been seen in terms of
The balance of the research to date suggests that a small proportion of L2
learners can acquire the same knowledge of a language as native speakers, just
as a small group seem able to acquire a native-like accent. But the question
Vivian Cook
Japanese syllabic writing system (kana) rely more on visual strategies, English
culty processing non-words in English, showing their phonological process-
ing is under-developed (Holm and Dodd 1996). Speakers with meaning-based
weighted differently across languages. Thus German speakers should rely on
Vivian Cook
relationship is not SLA research.
7Do L2 Learners Have Access to Universal
L1 grammar (principles,
Direct access
Indirect access
The argument for direct access often recapitulates one used in L1 acquisi-
Vivian Cook
are in
uenced by the word order preferences of their
rst language in inter-
of cognitive functioning introduced via the L2, such as Working Memory (Brown
may not be part of UG itself but re
Vivian Cook
the information they receive being more low-level, such as
the form of explanation can play an important role in L2 acquisition. Indeed it
Smith 1993), as is indeed claimed for phonological clues in speech addressed
to L1 children (Morgan 1986).
So, in general, language input seems to play a similar role in L2 learning,
apart perhaps from the need for some negative evidence. This may be useful
uence on students is in a sense control-
9What Strategies and Processes Do
has been applied in L2 research to the mental processes,
often relying on theories from psychology such as the ACT model from
strategies from observation rather than examining data from recordings or
from experiments.
Early research into Good Language Learner strategies tried to isolate the
processes used by successful L2 learners. Extensive research in Canada found
Vivian Cook
The area of communication strategies had an easier task since the success of
a communication strategy can be more readily gauged. In the L2 literature a
communication strategy is needed only when things go wrong
a spare tire
for when your car has a puncture rather than the steering wheel you use all
the time. Lists of communication strategies were devised using categories such
(Tarone 1980) or
language; so it is possible to have the English/French switch
Vivian Cook
11Do L2 Learners Have One Language or Two?
Vivian Cook
earlier drafts.
Suzanne Romaine
enon many English speakers suppose it to be. It is, on the contrary, a normal
and unremarkable necessity for the majority of the worldÕs population. Al-
though there are no precise statistics on the number or distribution of speakers
of two or more languages, linguists estimate that there are roughly 5,000 lan-
guages in the world but only about 200 nation-states. This means that there are
approximately 25 times as many languages as there are countries. Grosjean
(1982: vii) estimates that probably about half the worldÕs population isbilingual
and bilingualism is present in practically every country in the world.
It is thus monolingualism which represents a special case, despite the fact
that most linguists have paid more attention to it and have taken it to be the
the scope of reference for the study of language as follows: ÒLinguistic theory
either economically or socially through exchange of goods, knowledge, mar-
had no say in creating and are controlled by groups who do not represent their
interests and in some cases, actively seek to exterminate them, as is the case
with the Kurds in Iraq. The marginalization of the languages and cultures of
minority peoples in the European states can be seen as a form of
guage was seen as the key to the egalitarian aims of the French Revolution.
Speaking French meant being able to participate on equal terms in the newly
established French nation-state. The idea of national unity was that France was
More than 80 percent of the con
acts of identity,
choosing the groups with whom they wish to iden-
Canada where Francophones are in a minority. The administrative policies of
some countries may require civil servants to have knowledge of a second
language. For example, in Ireland, knowledge of Irish is required. In some
language. This is probably true for most of the European countries, and was
even more dramatically so earlier in countries like Russia, where French was
the language of polite, cultured individuals. Languages like Greek and Latin
have also had great prestige as second languages of the educated. As is the
case with accent, the prestige of one language over another is a function of
the perceived power of those who speak it. A bilingual may also learn one of
the languages for religious reasons. Many minority Muslim children in Britain
receive religious training in Arabic.
Suzanne Romaine
Factors affecting language choice for the Buang
: TP = Tok Pisin.
at home as a mother tongue and continues to be used throughout life. Its main
uses are in familial and familiar interactions. H, on the other hand, is learned
later through schooling and never at home. H is related to and supported
are acquired immediately provide them with separate institutional support
Suzanne Romaine
Although the existence of bilingualism, diglossia, and codeswitching are all
and diglossia are positive forces in maintaining bilingualism. Swiss German
and Faroese may never emerge from diglossia, but are probably in no danger
to be regarded as the
:And what else?
Suzanne Romaine
was once monolingual becomes bilingual as a result of contact with another
(usually socially more powerful) group and becomes transitionally bilingual in
up not speaking their parents
important religious functions, as German does among the Pennsylvania Dutch,
cult. In a study done of 46 linguistic minorities in 14 Euro-
In many parts of the world today children are not taught enough of their
own language and culture to appreciate it. They become caught in a vicious
circle. Because the school fails to support the home language, skills in it are
Provision of schooling in a minority language will not automatically safeguard
its future. While it may seem a great opportunity for children to be schooled
from tax funding of the majority
economic hardship. This is what we are seeing now in Hawaii, where immer-
tions in the language more easily than insiders and as a consequence Sami
people are afraid of using their own language because only a few are deemed
In so far as a minority language represents an alternative point of view,
ict with that of the dominant culture, bilingual
education may represent a threat to the powers that be. It is no accident that
we calculate the long-range social and economic cost of continuing the present
pattern of undereducating these minority children in Europe and the US, the
results are enormous. It is these children who will become the majority and
upon whom the economic burden will fall of caring for the next generation of
22Natural Sign Languages
guages began to show that these languages are bona Þde linguistic systems,with
structures and rules and the full range of expressive power that characterize
spoken languages. Researchers have spent most of that time demonstrating,with
Wendy Sandler and Diane Lillo-Martin
bring to the fore. For example, it appears that, while the individual structural
properties of sign languages are attested in spoken languages, no spoken lan-
of properties that characterizes sign languages.
Furthermore, despite the fact that vocabularies differ from sign language to
seem to be remarkably similar to
each other. Recent neurological studies of the language-brain map indicate
some differences in brain mediation of spoken and signed languages, posing
another challenge. Developing an explanation for these observations willrequire
The sign languages under discussion are the languages used by commun-
ities of deaf people all over the world. They are natural languages, in the sense
that they are not consciously invented by anyone, but, rather, develop spontane-
ously wherever deaf people have an opportunity to congregate and commun-
icate regularly with each other. Sign languages are not derived from spoken
matical structures. Although there do exist contrived sign systems that arebased
the syntactic level, this property follows directly from a mathematical property
of language called recursiveness. We
re all familiar with recursiveness (even if
not with the term). It is found in language, and computer programs, and even
in children
(1)This is the farmer sowing the corn,
That kept the cock that crowed in the morn,
That married the man all tattered and torn,
That milked the cow with the crumpled horn,
In (1), the process or rule that creates a relative clause (here, the clauses
) has applied repeatedly to the noun phrases inside other
relative clauses. This repeated application of the same rule to create more and
more complex sentences is an example of recursiveness. The children
Wendy Sandler and Diane Lillo-Martin
the rat ate the malt
ed phrase structure diagrams of subordination and coordination
produces a structure in which one sentence is inside another sentence. This
is the key to recursion: by putting one phrase inside another of the same type,
there is in principle no limit to the length of a sentence.
another (like that in (3)); it has both coordination and subordination. If some-
one found a human language that allowed only coordination, notsubordination,
ASL in the early days of its study. Thompson (1977) attempted to discover the
mechanisms for subordination in ASL, and, not
nding what he considered to
be evidence for it, decided that it was systematically missing. If this is correct,
then either the character and structure of human language is not as has been
commonly assumed, or signed languages are signi
cantly different fromspoken
languages, missing recursivity, which is often taken to be a de
ning property
indicates the scope of the relative clause
non-manual marker. The lower case subscripts are indices for DOG and CAT.
index on DOG and COME is expressed formationally in the language,
Clearly, the reason why Thompson thought ASL has no relative clauses was
that he expected them to look more like English. However, once the charac-
teristics of relative clauses in languages other than English are considered, it
becomes clear that ASL does have relative clauses, formed by a rule of sub-
ordination that allows recursion.
Wendy Sandler and Diane Lillo-Martin
s counterarguments to these and other claims of Thompson
appeared, other researchers have provided additional evidence for subordina-
tion in ASL (see especially chapter 3 in Padden 1988, which provides syntactic
tests that differentiate embedded from main clauses), and all current work
A controversy over word order properties in ASL was similarly resolved by
more careful analysis, and by looking beyond English. Since basic word order
exible in ASL, some early researchers argued that only pragmatic con-
structure, dictate word order in ASL sentences
that there are no syntactic
rules for ordering words. However, since then, many researchers have col-
lected evidence to support the point of view that ASL
and other spoken languages which allow for relative
word order
has an underlying structure and word order (in the case of ASL,
Subject-Verb-Object), which can be modi
ed by rules of the grammar. Here
too, most researchers now assume the basic order argued for in these works,
and current work concentrates on the rules and principles which generate this
order and its many variants.
observation that ASL has recursion and subordination and a basic word order.
In several domains of syntax, the constraints proposed to be universal (includ-
ing the Coordinate Structure Constraint) can be demonstrated to apply to ASL
will also show adherence to these constraints.
1.2The structure of sounds and their sign language
In order to have sentences, one must have words, and words
are pronounced as a series of sounds. What about the sign
of sign language? Does it have a level of substructure like the spoken word?
Since spoken and signed languages are produced and perceived by different
oral/aural, and manual/visual
nd the least amount of similarity across the two modalities at this level of
Wendy Sandler and Diane Lillo-Martin
: Reprinted with permission from
A Basic Course in American Sign Language, Second Edition
1994, T. J. Publishers, Inc., Silver Spring, MD 20910, USA
guration is different. Similar pairs exist that are distinguished only by
gure 22.2 is analogous to the English pair,
rst sound of each word
is different. The sounds are
themselves meaningless, but they are linguistically signi
make a difference in meaning when put in a word. In the sign language pair,
ASL signs THINK and MARRY, and the compound BELIEVE with
: Reprinted with permission from
A Basic Course in American Sign Language, Second Edition
1994, T. J. Publishers, Inc., Silver Spring, MD 20910, USA
beginning of a syllable or word (although other languages do permit such
elements at this same level of structure. For example, only one group of
nger group
ngers) or the group V (index plus middle
sequence of the two shapes, *5-V is prohibited in the native signs of ASL and
Similarly, all languages have assimilation processes, in which soundsborrow
pound words,
the sound [n] often borrows (assimilates)
from the [b] that follows it:
gree[m]back, bea[m]bag
In many common ASL compounds, part of the hand con
ilarly assimilate from one part of the compound to the other. The example here
gure 22.3) is from the compound which means BELIEVE, made from the two
words THINK and MARRY. Just as the [n] borrowed one of the features of [b]
feature) in the English example above, in the ASL compound, the
guration of THINK borrows a feature from the following sign in the
compound, MARRY. It borrows the orientation feature. That is, rather than
being oriented toward the head as in the citation form of THINK, thedominant,
signing hand in the compound BELIEVE is oriented toward the palm of the
other hand, as in the sign, MARRY.
spoken languages at even more surprising levels of analysis. For example, it
has been demonstrated that the phonological elements of ASL words are not
all simultaneously organized as Stokoe had claimed, but rather have signi
ant sequential structure, just as spoken languages have one sound afteranother.
A sign language equivalent of the syllable has even been argued for.
An aspect of language structure that involves both phonology and syntax
is prosody. Prosody involves rhythm, to separate the parts of a sentence;
Wendy Sandler and Diane Lillo-Martin
Yes/no question
Shared information
ISL yes/no question and
shared information
facial expressions
prominence, to emphasize selected elements; and intonation, to communicate
of its complex words, as well as the ability to create and understand new
complex words that exploit those same kinds of internal structures. The study
of the internal structure of words is called morphology.
we can also create or analyze the internal structure of
the word
Wendy Sandler and Diane Lillo-Martin
You look at me.
ISL verb agreement
or other nouns directly related to them in the sentence. Example (10a) above
shows the only agreement marker that English has on main verbs, the
indicates third person and singular in the present tense. Other languages have
far richer agreement systems. For example, Swahili has both subject and object
agreement markers that indicate person (
he (subj) future you (obj) like
you (subj) future him (obj) like
All sign languages investigated so far show a comparable kind of verb agree-
Consider for example the Israeli Sign Language verb LOOK-AT, shown
gure 22.5. To say
the motion of the sign is from a point
near the signer toward the addressee. To say
and endpoints of the sign are just the opposite, beginning at a point near the
addressee, and ending near the signer. The beginning and endpoints of the
sign are markers for the subject and object of the verb it represents. To say,
the hand moves in a horizontal arc in front of the
rst position of the hand corres-
ponds to the pre
in the Swahili example in (11) above: it marks agreement
third person (
hand corresponds to the morpheme
in the same Swahili example, agreeing
gure 22.5 similarly mark agreement with subject and object
To agree with the second person plural
the shape of the movement is altered.
This kind of phenomenon can be described as subject-object agreement; in
particular, sign language verbs agree for person and number of their subject
and object. In this way, the verb agreement found in sign languages is similar
A characteristic of verb agreement systems in sign languages is that differ-
ent categories of verbs participate in this system in different ways. Forexample,
in addition to the subject-object agreement described earlier, some verbs, com-
monly called backwards verbs, have the opposite agreement pattern of the one
shown above. In these verbs, the movement of the hand is from the object
to the subject, instead of the usual direction from subject to object. This class
includes verbs such as INVITE, TAKE, COPY, ADOPT, essentially the same
list in ASL and ISL, and possibly in all sign languages. Other verbs agree with
and object. Still others do not agree at all. We will have more to say about the
peculiarities of sign language agreement and possible implications forlanguage
A more complex type of morphology in sign languages is found in verbs
rst described by T. Supalla (e.g. 1986).
structions, handshapes that stand for classes of nouns combine with types of
movements and with locations in space. As such, these complex forms differ
from the morphologically simple signs of the language exempli
Wendy Sandler and Diane Lillo-Martin
In these constructions,
the pre
is a perfective marker,
ASL (and other sign languages) has a comparable
if potentially more
system of verbs of motion and location. As in Navaho, each of the
meaningful ASL morphemes is taken from a
A coin is lying there.
The properties we have described at each level of grammatical structure
syntax, phonology, and morphology
provide strong evidence that certain
basic characteristics of language are indeed universal, belonging to language
It is very important to note that these forms are linguistic entities, i.e.,
morphologically complex words. They are neither pantomime nor otherwise
strictly analogic to real world things and activities. Furthermore, this type
of morphology, which incorporates nouns, verbs, and other lexical categories
into single words, is not uncommon in the world
s spoken languages. As we
have seen, there are even spoken languages such as Navaho that incorpor-
Constructions of this sort in ASL can become far more complex than the
gure 22.6. For example, the two hands may each represent an
er to create such forms as SMALL-ROUND-OBJECT-
A coin is lying on the table
ment morphemes can add still more complexity, forming, for example,
expressions meaning roughly, SMALL-ROUND-OBJECT-TRAVERSES-ARC-TO-
A coin
ew in an arc shaped path, landing on the table.
Such structures have the form of single words, though extremely complexones.
All the ordinary words that make up the vocabulary of sign languages,
words such as DECIDE and PERSON in
gure 22.2 in the previous subsection,
are thus different from the verbs of motion and location described here. To
understand this, compare DECIDE, repeated in
gure 22.7a. with
A coin is
lying there,
repeated in 22.7b. These two words are formationally very sim-
: Reprinted with permission from
A Basic Course in American Sign Language, Second Edition
1994, T. J. Publishers, Inc., Silver Spring, MD 20910, USA
Wendy Sandler and Diane Lillo-Martin
2Language as an Art Form: Sign
Wendy Sandler and Diane Lillo-Martin
to the acquisition of spoken languages: they pass through the same milestones
two-word(/sign) combinations, seems to be attained at around 18 months for
both signing and speaking children. Other later grammatical developments,
such as the acquisition of verb agreement, also follow parallel time courses
across the modalities.
Wendy Sandler and Diane Lillo-Martin
reference points in the discourse. As in the acquisition of spoken language, the
enter school, or perhaps even later.
ment in these children tell us about the critical period hypothesis? Here we
may consider the gesture systems usually developed by young deaf children
sequences of the late acquisition of conventional sign languages, where a model
is only presented for the child in later childhood; and the birth of a new sign
language in a new deaf community.
have found that children systematically develop names for things,
labels for actions, and ways to combine elements which are strikingly like
those of real languages. The home sign systems are far from a fully developed
language, but they share characteristics with language which tell us about its
s terms). As far as we know, there is no
the circumstances for its development do not exist. Only the study of
sign systems allows us to observe the in-born drive for language which creates
Wendy Sandler and Diane Lillo-Martin
as children as young as four years old began to come to the school and take
the pidgin system of the older children as a model, a more systematic and
conventionalized language began to emerge in these younger signers. This
will create a communication system as soon as people congregate and have a
need to communicate. Like creole studies in spoken language, it also shows
that children have the capacity to further expand and regularize even relat-
4Neural Control of Sign Languages
Neurolinguists attempt to gain insight into the nature of language by
Wendy Sandler and Diane Lillo-Martin
nothing even remotely like this sort of word structure. As for the second, the
(12) above, but in which all the different meaning elements were pronounced
words contain many meaningful components within a single syllable
The sign language system is rule governed, grammatical, and violates no
principles of universal grammar that we are aware of. It is also acquired
by children at an age appropriate for a complex morphological system.
Wendy Sandler and Diane Lillo-Martin
ferent from the types posited for spoken languages is that the modality alone
Wendy Sandler and Diane Lillo-Martin
er in complex signs can become much more sophisticated andsystematic
in the space of one generation of signers. This rapid creolization of a home
lished sign languages reinforces our interest in accounting for the ubiquitous
qualities of sign languages in an explanatory way.
A different line of inquiry that ought to be further pursued is the one begun
by S. Supalla (e.g. 1990). He has observed deaf school children who have been
exposed only to a contrived signing system in which signs are used to trans-
late the words and morphemes of spoken English, and which involves none
of the grammatical properties of sign language. In communication among
themselves, these children add sign-language-like elements, such as moving
verbs in space to refer to subject or object referents, although they have not
SandlerÕs research was supported in
and Communication Disorders, National
Research Foundation. We would like to
Wendy Sandler and Diane Lillo-Martin
English, or in others, American Sign
Although there are many interesting
properties of language acquisition in
Sociolinguistics is the empirical study of how language is used in society.
nd ways of subjecting itssocial
c inquiry. The concept of language upon which sociolinguistics
is predicated differs in characteristic ways from that of formal linguistics. Rather
xed structure, sociolinguistics
of language held on to this approach which testi
world where beneath history natural processes are assumed. Only those phe-
nomena which could be reduced to natural processes were considered worthy
of investigation. It was, accordingly, thought possible and desirable to study
However, as the body of historical linguistic knowledge grew, it became in-
creasingly obvious that the twin questions of why and how languages change
nd satisfactory answers in terms of linguistic structure alone. In many
depth, these two disciplines were quite naturally regarded as offering suitable
guage diversity.
Traditional dialectology recognizes variability as an essential attribute of
language, focussing on the regional distribution of variant speech forms. Iden-
tifying regional dialects and distinguishing neighboring dialects from one
another are dif
cult tasks which require a large corpus of utterances by many
guistic features. While questionnaires have often been used, the preferred
research paradigms. A dialect atlas is an absolute map in the sense that it
consists of categorical dialect areas which are considered as having a center
that is relatively stable. As an object of investigation a dialect thus appears
axis, language is seen as evolving in one direction, one categorical language
state following upon another. Any given utterance or piece of text is taken as
ed, conceptions of language diversity, sociolinguistics recog-
uidity of speech, refusing to accept the doctrine that linguistic data
must be abstracted from the constraints and distortions of real life commun-
ication. It has, accordingly, replaced categoricity with frequency, that is, the
frequency of occurrence of variant features of language use in a given speech
community. Instead of categorizing a certain pronunciation or a certain con-
struction as either belonging or not belonging to a language L, sociolinguistics
would measure the frequencies with which such features and constructions
Tied to such a notion of language, the proposition that language is a social
fact is now much more speci
c endowment and needs acommunity
c investigation. Sociolinguistics is a data-driven empir-
ical science. The researcher
s intuition has a role to play for heuristic purposes,
but not as the object of analysis. Data must come from speakers in theirvarious
social environments.
3The MicroÐMacro Distinction
Stated in very general terms, micro-sociolinguistics investigates how social
structure in
used. They are more easily subjected to quantitative measurement than other
indicators which, however, may be equally relevant, such as the availability of
information. Whatever indicators are used, their relative weight is not neces-
systematically, though not necessarily consciously, used as a means of social
being caused by and re
variation in social class membership and social mobility, has been by far the
sociolinguistics has been acknowledged more than a decade ago by scholars
working within the social class model (Rickford 1986). This would augur well
Communities that differ suf
ciently in terms of social structure, but are compar-
able in terms of language behavior are hard to
Florian Coulmas
what does and what does not belong to their language, how language should
pidginization and creolization (M
some other matters such as diglossia and bilingualism are discussed at length
in chapter 21 and, therefore, need not be dealt with here. It is worth noting,
however, that it is quite impossible to say, without making arbitrary decisions,
ation as an imperfection rather than recognizing it as an inherent feature of
structed language as a highly abstract object about which statements can be
made in the framework of a coherent theory. But what does this theory have to
say about the nature of language? Linguistic theory hence is a theory about
language without human beings. It is a formal model of structural relation-
ships of which it is basically unknown how they relate to actual speech. What-
ever the merits of this model, it is hardly the theory that will help unravel
theory that does take issue with power differentials and means of socialcontrol
stem from the fact that sociologists take language for granted rather than as an
elds differ considerably with respect
to the importance that is accorded to theory formation. Sociology emphasizes
abstract theories more than other social sciences, and sociologists have little
patience with purely descriptive research. The same can be said of formal
guistics is to test theories. By contrast, sociolinguistics is preoccupied with de-
scriptive research. Due to the complexity of the phenomena it has to deal with,
Florian Coulmas
Social hierarchy
Regional and social variation
Velocity of change
Velocity of linguistic change in urban and rural areas
language is? What are the relevant social attributes that have a bearing on
language variation? How do temporal, regional, and social variation interact,
by information about the socioeconomic conditions, social relations, ideology,
and values of the community under investigation (Wolfram and Schilling-
Since empirical data on the diffusion of linguistic innovation are availablefor
few languages and with a relatively shallow real-time depth only, the investiga-
tion of change in progress makes use of the concept of
apparent time
1994: 43ff), that is, the distribution of linguistic variables across age cohorts.
The nexus of politeness and gender differentiation in speech plays a signi
ant role in discourse analysis (Schiffrin 1994, Tannen 1993), which has evolved
To what extent the structure of one
David Caplan
The Þeld of neurolinguistics has come to consist of two related areas of study:
1.1A very brief history of aphasiology
brain affected language, the scienti
c investigation of the relationship of the
turning to these modern studies, however, we should brie
y review the
ned aphasic syndromes, since they still are commonly referred to
by clinicians who diagnose and treat language disorders.
aphasic syndromes
are shown in table 24.1.
severe expressive language disturbance reducing the
out an equally severe disturbance of auditory comprehension.
uent speech with erroneous choices
of the sounds of words (phonemic paraphasias) and an auditory compre-
Pure word deafness
is the relatively pure case of an
auditory receptive disorder in which the patient does not recognize spoken
Table 24.1
The classic aphasic syndromes
third frontal
precentral gyrus
gyrus and
Table 24.1
single word
with relatively
). Sentences convey information about who did what to whom(thematic
roles), which adjectives go with which nouns (attribution or modi
writing. I shall instead sample from two areas of language
disorders affect-
abilities to understand the meanings of words and disorders
affecting their abilities to understand sentences.
1.3Disturbances of word meanings
Most recent research on disturbances of word meanings in brain damaged
patients has focussed on words that refer to objects. The meanings of these
words are thought to be stored in a specialized memory store, called
(Tulving 1972, 1983). Though semantic memory also is thought to
house representations of entities other than objects (such as events, forinstance),
the concepts that correspond to objects have been the subject of the most
extensive thought and investigation in philosophy and psychology. The repres-
It has been argued that brain damage may affect either the storage or the
it has been preceded by a semantically related word in a task that does not
require the subject to process the word
girls are capable of chasing one another. Caramazza and Zurif concluded that
their patients could not assign or use syntactic structure for this purpose.
Disorders of syntactic comprehension have since been examined in con-
neighborÕs dog was big, noisy, and aggressive
. However, many case studies show
tactic processing abilities (Caplan and Waters 1990, McCarthy and Warrington
revised as we discover that our models of language and language processing
need changing, but others are quite solid. We now turn to this second aspect of
the relationship of language to the brain.
2Language and the Brain
2.1The overall organization of the brain for
The brain is perhaps the most highly differentiated organ in the body. It con-
sists of a large number of regions, each of which contributes to sensation,
relatively small part of the brain is devoted to language (
gure 24.1). This part
Primary auditory area
Angular gyrus
association cortex related to language
: Adapted from Carpenter 1983
lies in the cerebral cortex
in the region of the sylvian
ssure (Luria 1970, Russell and Esper 1961, Basso
David Caplan
this population (Subirana 1964). The data on differential lateralization as a
function of sex are controversial (McGlone 1980).
A potentially important point is that many aphasic syndromes that follow
either left or right hemisphere lesions in subjects who are not right-handed are
often mild. Their occurrence suggests that many individual language process-
the gross functional neuroanatomical facts are emerging. In comparison, the
internal organization of the perisylvian cortex for language remains shrouded
in mystery and steeped in controversy. To this, we now turn.
2.2The organization of the perisylvian association
Two general classes of theories of the relationship of portions of the perisylvian
association cortex to components of the language processing system have been
developed, one that maintains a distributed view of neural function (Jackson
perisylvian association cortex interrupting the same language processing com-
c localization of language processing components results from a com-
putational advantage inherent in juxtaposing particular language processing
components to each other or to cortex supporting arousal, sensory, and motor
processes (Luria 1970, Geschwind 1965, Luria 1973).
Because of the large number of speci
general camps, it is impossible to critically review the empirical basis of all
theories that have present-day adherents (for a partial review, see Caplan 1987).
to what is known about the localization of the two functions considered above
semantic memory and syntactic comprehension.
2.3Distributed theories
Several lines of inquiry provide evidence for distributed theories, and all dis-
tributed theories suffer from similar inadequacies in accounting for certain
analyze the performances of groups of patients both on general aphasia tests
resulted in
rst factors (usually accounting for more than half of the variance
in performance) that are roughly equally weighted for most of the subtests
represented and processed in a distributed fashion (McClelland and Rumelhart
1986, Seidenberg and McClelland 1989).
A third source of empirical support for distributed theories comes from
nding of an effect of lesion size on the overall severity of functional im-
: A represents the auditory center for word processing. M represents the motor center for
speech planning. B represents the concept center. Information flow is indicated by arrows.
Numbers indicate the location of lesions said to produce the classical clinical aphasic syndrome.
: From Moutier 1908, Lichtheim 1885
Figure 24.2 represents the basic
guage processing and its relation to areas within the dominant perisylvian
cortex. This model postulates three basic
for language processing,
all in cerebral cortex. The
rst (A), located in Wernicke
s area, stores the per-
manent representations for the sounds of words (what psycholinguists would
). The second (M), located in Broca
s area,
houses the mechanisms responsible for planning and programming speech.The
language stimuli. These auditory representations of the sounds of words in
turn evoke the concepts associated with words in the
concept center.
ing the phonological representation of words and the subsequent concepts
associated with these representations constitutes the function of comprehen-
sion of auditory language. In spoken language production, concepts access the
phonological representations of words in Wernicke
s area, which are then trans-
mitted to the motor programming areas for speech in Broca
s area. In most
versions of this model, the proper execution of the speech act also depends
upon Broca
so that the meaning of the word (or concept)
stored motor representations to a greater degree if the word (or concept) is
being activated in connection with the actual act of cutting than if the word
processing from these studies.
Degenerative disease often presents a less clear picture than stroke because
it is often diffuse. But this is not always the case. Diseases such as Parkinson
s disease, which affect speci
glia, have been very informative about the neural basis for motor control and,
from the generate task. This result is very robust and has been replicated many
lesions in this region have trouble producing lists of animals, which they
consider a semantic task. These authors also point to the Milberg and Blumstein
studies that document abnormal semantic priming in some Broca
evidence for a role of left frontal cortex in semantic processing. But neither of
these arguments is convincing. De
ow was measured while the subjects waited to begin the task. This was
the frontal activity disappeared and rCBF increased from the baseline to the
exactly where the
In summary, what evidence there is suggests that there are regions of the
brain that increase their blood
ow as a function of semantic processing and in
which lesions disturb such processing. These regions do not seem to includethe
and other researchers described disorders of syntactic comprehension in sev-
eral groups of aphasic patients, including Broca
ect syntactic processing. The two leading candidates are the P600 or
with making judgments about the same propositions phrased in syntactically
more complex subject
The actress that the award thrilled praised
the producer
). The subtraction showed an increase in rCBF in the pars opercularis
of Broca
This work was supported by a grant from the National Institute for Neurological Dis-
ease and Stroke (DC00942).
Sproat, Samuelsson, Chu-Carroll, and Carpenter
ing a thorough overview of the entire Þeld in the short space available for this
chapter is essentially impossible. We have therefore chosen to focus on four
relatively popular areas of inquiry:
¥syntactic parsing;
¥discourse analysis;
¥computational morphology and phonology;
Parsing typically involves tagging the words with an appropriate syntactic
Sproat, Samuelsson, Chu-Carroll, and Carpenter
1.2.1Bottom up: shift-reduce parsing
One standard approach to bottom-up parsing is the shift-reduce framework,
which allows two operations: shifting lexical material (i.e., replacing words
with their grammatical categories) and reducing sequences of categories based
on rule applications. Parsing begins from the input sequence and the state of
the parse during parsing is represented by two sequences: the sequence of
words remaining to parse and the sequence of categories already found. For
instance, the prepositional phrase

, , . . . , , . . . ,
, . . . , , . . . , ,
D  w in lexicon]In general, our rules operate on sequences of words to parse and categories

, . . . , , . . . , , , . . . ,
, . . . , , . . . , ,
C0  C1,...,
In this rule, the sequence of words
is unchanged. A
of categories from the input sequence of previously derived
, is rewritten according to a grammar rule.
is a rule in the grammar, if we have found the
in the input, we can replace them with their mother
from the rule. Note that we can restrict our application of gram-
mar rules to
In cases of ambiguity, there will be more than one alternative expansion at
some point in the parsing process. For instance, consider the expression
ambiguity. Here are the two derivations.
The critical decision here is made after the lexical categories for

, , . . . , , , . . . ,
, . . . , , . . . ,

in lexicon]
Sproat, Samuelsson, Chu-Carroll, and Carpenter
rst word we have on our list of words to be processed is
the current category we are seeking is
, then if there is a lexical entry of
, we can remove the word from the input sequence and the
category from the sequence of categories being sought.
The second scheme allows a category being sought to be expanded accord-
ing to a grammar rule.
, . . . , , , . . . ,
, . . . , , . . . , , , . . . ,
C0  C1,...,
This simply says that if there is a grammar rule
category we are seeking is
, then we can remove the
from the list of
categories being sought and replace it with the sequence of categories
. As with bottom-up parsing, we can restrict the position of the rule applica-
tion without loss of generality. This time, we require the top-down rewriting to
Consider the resolution of attachment ambiguity by means of the top-down
The criticial decision here is made before the verb phrase is expanded; we


which give the number
Sproat, Samuelsson, Chu-Carroll, and Carpenter
well-formed substrings. Current
such as HPSG and LFG run to hundreds of pages of coding for the lexicon,
lexical rules, and grammar.
art machine translation systems employ parsing to derive representations of
the input that are suf
Sproat, Samuelsson, Chu-Carroll, and Carpenter
(1)C:I want to transfer some money from my checking
account to my credit card account.
(4)T:How much would you like to transfer?
d like to pay off the balance on my credit card.
(6)T:Your credit card balance is $1,036.23, but you only have
(9)T:Okay, I have transferred $792.02 from your checking
account to your credit account.
Sample dialogue and its discourse segments
Sproat, Samuelsson, Chu-Carroll, and Carpenter
(1): Specify transfer-money action
Dialogue structure for utterances (1)
gure 25.2 that includes these
utterances, i.e., the bulk of the left and center branches of the tree. Given utter-
Header:Transfer-Money (?teller,?customer,?from-acct-type,?to-acct-
Gloss: ?teller transfers ?amount from ?customer
s ?from-acct-type to ?to-acct-type */
The recipe library contains a collection of generic recipes such as the above,
and during discourse understanding, the plan inference module attempts to
infer utterance intentions and relationships using information provided bythis
library. The plan inference process begins with the recognized semantic inter-
Sproat, Samuelsson, Chu-Carroll, and Carpenter
about the domain allows us to recognize that a list of accounts for a user
can be easily obtained by a teller, and therefore satisfying one of the
preconditions in
gure 25.3 (obtaining either
es the other. Furthermore, common sense knowledgeallows
predicate means in the last precondi-
Given this brief overview of the discourse understanding process, we now
(9) can be recognized to form part of
the discourse structure in
gure 25.2. We show how utterances (2) and (3) are
* Gloss: ?speaker obtains from ?hearer the referent of ?var *
Additional recipes for recognizing utterances in
gure 25.1
in order to perform a
action. Furthermore, since
gure 25.5), forward chaining
again leads the recognition system to infer
as the parent action
Obtain-Info-Ref (?teller,?customer,?num,account-
ber, which matches the second precondition for the
action is inferred to have been performed in order toenable the
action in the existing discourse structure. Figure 25.6 shows the
existing discourse structure after utterance (2).
Utterance (3), on the other hand, is recognized as a
action. The recognition com-
. As a
result, utterance (3) is recognized as providing a response to the question in
utterance (2). This analysis leads to the root node and the left branch of the
dialogue structure shown in
gure 25.2.
A closer analysis of the actions in the discourse model in
gure 25.6 shows
that our current representation of the discourse model con
ates three differ-
ent types of actions. First, there are
. Second, there are
and Allen 1987) that specify the domain-speci
Finally, there are
problem-solving actions
(Allen 1991, Lambert and Carberry1991,
Existing discourse model after utterance (2)
Sproat, Samuelsson, Chu-Carroll, and Carpenter
For a decade, researchers have developed models for discourse analysis that
, which treats the analysis of word structure per se;
rst approximation at least), dealswith
Sproat, Samuelsson, Chu-Carroll, and Carpenter
x is therefore
, a form that surfaces only when preceded by
/ in the appropriate environment; this is of course stated
from the point of view of generating a surface form from an underlying
sequence of morphemes. An equally legitimate (and actually much more
An FST implementation of the rule in (2)
represents any consonant. The labels on the arcs
represent the symbol-to-symbol transductions, with the input on the left and the output on the
rules, given certain restrictions, constitute regular relations: that is, the rela-
Sproat, Samuelsson, Chu-Carroll, and Carpenter
approaches such as (Bird
many cases, the computational devices used are formally rather similar to the
transducers discussed here; in Bird and Ellison
acceptors are used. This is an interesting point to take note of, since while
much has recently been made of the advantages of declarative, constraint-
based approaches over traditional rule-based approaches, at the computational
ind pres 1sg
ind pres 2sg
ind pres 3sg
ind pres 1pl
ind pres 2pl
ind pres 3pl
Table 25.2
An arclist model of Spanish verbal morphology
three verbs come from two conjugations, namely the
). Also note the
A simple
nite-state model that allows one to recognize these verb forms is
1990), represented in table 25.2. Verb stems are represented as beginning in the
initial state, and going to a state which records their paradigm af
Sproat, Samuelsson, Chu-Carroll, and Carpenter


A transducer for a small fragment of Spanish verbal morphology
have lexical features
changes. This arclist can easily be represented as a
gure 25.8.
The spelling changes necessary for this fragment involve rules to diphthong-
, that maps from
Armed with this, we can produce a transducer that maps directly from lexical
to surface forms, by simply composing the transducer representing the lexicon
gure 25.8) with the transducer representing the rules in (3). As we also noted
nite state transducers are invertible; hence one can simply
invert this transducer to obtain one that maps from surface to lexical forms.
This transducer is represented in
gure 25.9.
nite-state models of morphology are in general only minor variants
of the model just presented. For example, the original system of Koskenniemi
Sproat, Samuelsson, Chu-Carroll, and Carpenter
Sproat, Samuelsson, Chu-Carroll, and Carpenter
some numbering of the words and instead write down the binary representa-
tion of the word number, most likely saving a lot of storage space. We could
save even more space by having different lengths of the binary representations
of the words, and encode more frequent words using shorter digit sequences.
Crochemore and Rytter 1994).
In speech recognition, we wish to try to predict the next word of an utter-
ance, given the previous sequence of words in it, to constrain the search space
of the speech recognizer. Also to this end, a language model can be very
useful, and indeed, speech recognition has been a driving force in language
modeling research. In particular, the word bigram model, to be discussed shortly,
has proved crucial for much of the progress in the
eld of speech recognition.
saw no instance of the word
following the word
probability the value zero. However, a little afterthought yields us the insight
that these zero probability bigrams might not be all that desirable; just because
t see the word
following the word
t mean that itcannot
do so in new, hitherto unseen texts, which the zero probability would imply.
To remedy this, we resort to the black art of
the probability estim-
ates. This typically takes the form of a Robin Hood strategy, stealing prob-
ability mass from those who have, and giving it to those who have not. As a
Indeed, much research in language
modeling for speech recognition has been on the theme of improving the
Sproat, Samuelsson, Chu-Carroll, and Carpenter
with a telescope
a man
with a telescope
a man
Two analyses of
Here is the derivation corresponding to the man having the telescope:
Pron VP
I saw a man Prep
sentence can be derived from the top symbol
parse tree
is a hierarchical representation
of a derivation. You may have
was always rewritten. This is called a
Sproat, Samuelsson, Chu-Carroll, and Carpenter
from the relative frequencies of the rules in a tree bank, adding a measure of
smoothing techniques for increased robustness.
We conclude by noting that the independence assumptions underlying the
statistical model, namely that the only conditioning of the probabilities is on
the LHS symbol of the grammar rule, exactly mirror the context-free assump-
tion of the underlying context-free grammar. This means, amongst other things,
that for any algorithm for parsing with a context-free grammar, there exists an
nding the most probable parse tree of any
given sentence, and for calculating the sentence probability, which is formally
ned as the sum of all possible derivation probabilities, under a stochastic
context-free grammar.
its previous value 0.0042 to

1In hypothesizing parent actions, in
further constraints are placed by exam-
ining the preconditions in the recipes
for the hypothesized parent actions.
26Applied Linguistics
mark infringement suit involving a similar sounding product name or slogan?
What treatment is most appropriate for a child with a speech impairment?
How should reading be taught to children, and what is the place of literature
linguistics with the teaching and learning of second and foreign languages.
The 1950s saw the establishment of the University of Edinburgh
Applied Linguistics, which trained language teachers in applying theprinciples
of linguistics to the practice of pedagogy. On the other side of the Atlantic, the
Center for Applied Linguistics was founded in Washington, DC, with the goals
of improving English language teaching, promoting the teaching of uncom-
monly taught languages, and conducting research into educational processes
related to language use. In the next two decades, professional organizations
devoted to applied linguistics were formed, such as the International Associ-
ation of Applied Linguists (AILA) in 1973, and the American Association for
eld on a research footing, and articles
moved into areas of inquiry beyond language teaching.
2What Is Applied Linguistics?
As of 1980, broad agreement was achieved among the major practitioners in
eld that applied linguistics: (1) was interdisciplinary, drawing on a multi-
tude of disciplines including psychology, sociology, and pedagogy as well as
world in which language is used, the beliefs, social institutions, and culture of
Ideally, the job of an applied linguist is to diagnose a problem in real-world
language use, bring the insights of linguistics to bear on the problem, and
suggest solutions. An applied linguist, for example, might be called upon to
recommend clinical treatment of a language impairment, design an educa-
tional program for immigrant children, or advise a school district on language
policy. Because the questions addressed by applied linguistics deal with lan-
professionals in other disciplines such as psychology, sociology, anthropology,
and education. An applied linguist who is a teacher trainer, for example, must
psychology. An applied linguist working on language problems associated
with immigrant and refugee concerns must perforce be familiar with social
uence language use. Similarly, appliedlinguists
relationship in which both theory and practice interact? S. Pit Corder (1973: 10)
writing will be introduced from day one. In the most extreme applications of a
production-based theory of second language acquisition, the teacher isvirtually
silent so that students become responsible for production of language. Even in
less extreme examples, trainee teachers are advised to maximize student talk-
easy to learn, with concomitant consequences for syllabus content and order.
The problem was that the predictions made by the theory were not borne out
in practice (see chapter 20, Linguistics and Second Language Acquisition).
When the application of theory does not actually work in practice, the credib-
contextualized language use; (2) application of theory to practice and viceversa;
(3) practical problem-based approach; (4) multidisciplinary perspective. Some
of the areas to which applied linguists have turned their attention in recent
years include second language teaching and cross-cultural linguistics, language
c contexts, and the maintenance of endangered languages and
4.1Second language teaching and cross-cultural
c speech acts such as making requests and apologies in different lan-
Donnell 1990). The church, also, has received
attention from applied linguists looking at how ministers use language to
establish solidarity with their congregations even when they make requests,
disagree, or admonish (Pearson 1988, Dzameshie 1995).
4.3Language maintenance and endangered
The work of applied linguists on endangered or minority languages anddialects
s chapter on clinical linguistics (29) describes thecontributions
a linguist can make in accurately identifying symptoms of speech pathology.
Crystal highlights the process by which the applied linguist clari
diagnoses, and assesses the problem. By conducting a systematic survey, the
thus able to suggest effective means of intervention.
s chapter on forensic linguistics (30) considers ways in which
applied linguistics can assist law and the legal profession. He describes some
infringement, product liability, speaker identi
documents, and criminal cases. Future work for forensic linguists includes
27Educational Linguistics
educational issues to which linguistics is relevant or the many areas of educa-
tion to which linguists are contributing. At the same time, linguistics has had
and linguistics, than the current state of our knowledge about language in
education, or the current dilemmas of our schools, would seem to merit. Thus,
I concentrate on the importance of an overt focus on the structure of language,
language and linguistics suggests are necessary for successful and socially just
classroom teaching and learning.
2Theories of Language
Different theories of language offer different perspectives on educationalissues.
I will discuss here one area where differing theories of language, based on
different approaches to linguistic theory, are currently playing a crucial role in
a major educational debate. The two differing linguistic theories I will discuss
progressive pedagogies
ities, but downplay the role of overt instruction and any overt focus on lan-
guage structure. Two differences among functional and generativist linguistic
theories play a role in my discussion:
practice in meaningful environments where oral and written lan-
guage are fully functional for the learners. Such pedagogies (which include
process writing
) downplay the role
of overt instruction and rely more on learners inferring
(generalizations) from the (often collaborative) practices in which they are
Progressivists tend to make the following sort of analogical argument:
Children acquire their native languages not by direct instruction (indeed, overt
correction seems to have little impact on them), but by being immersed in rich,
However, some people have taken the generativist argument further and
) homes, children spend an enormous amount of time in lan-
guage and literacy practices which lead to phonological awareness before they
92). Such activities are supported by the
guidance of adults and older peers, or they are supported by the structures
built into materials (e.g., books) or media representations (e.g.,
James Paul Gee
demands an awareness of language as a semiotic object in its own right andnot
just as a device to refer to the world. And, of course, at school, speci
below, both written by the same biologist on the same topic (example from
eggs have already been laid on them. (Popular science)
2Experiments show that
ies are less likely to oviposit on
host plants that possess eggs or egg-like structures. These egg-mimics are
an unambiguous example of a plant trait evolved in response to a host-
restricted group of insect herbivores. (Professional journal)
The second extract, from a professional journal, names plants and animals in
terms of the role they play in (and how they relate to each other within) a
of predator and
prey. Thus, consider
a host-restricted group of insect herbivores
Note, too, how the language of the professional passage generalizes over the
we otherwise hold (Gee 1996b). Thus, it is important, too, that students come
to a conscious and critical understanding of how specialist languages work,
focus on grammar, in the midst of immersion of communicative practices, that
leads to re
ective awareness and conscious control over different genres of
spoken and written language within different social languages.
Consider, for example, the following short extract from a science textbook
(taken from Martin 1990: 93):
The destruction of a land surface by the combined effects of abrasion and re-
moval of weathered material by transporting agents is called erosion...The pro-
duction of rock waste by mechanical processes and chemical changes is called
5Language Differences in School
One of the most pressing issues in education today is the fact that many
children from lower socioeconomic homes, many of them minority children,
do poorly in school (Miller 1995). Such children have often had little practice
relevant in the
However, in many cases, this is not true. Many of these children come to
11 an
we hadda make more
she went in the room
we hadda bake a whole bunch more
24 she had all chocolate on her face, cream, strawberries
29she said
nally got tired of makin
37 an
38 but my grandmother is goin t
Leona does this in stanza 10 where she stresses the importance of the fact that
information in a search for some response that would render the initial ques-
1Children do not just pick up school-based social languages and literacy
through the sorts of rich immersion in socialization that is characteristic of
rst language acquisition. Teachers need to supplement such immersion,
cient for learning in school, with more overt
forms of focussing on the structure of language and its complex relation-
ships to communicative functions within different styles of language and
2An overt focus on social languages and speci
c genres of spoken andwritten
Rebecca Treiman
28Linguistics and Reading
Linguists are primarily concerned with the structure and processing of spoken
language. In this chapter, the focus changes to written language. The goal of
the chapter is to review what is known about the processes involved inreading
and in learning to read. Topics to be discussed include the controversies about
the best way to teach children to read and the reasons why some apparently
normal children have great difÞculty mastering this skill. Another question is
Rebecca Treiman
The statement that bottom-up processes play a central role in reading does
when /k/ is alternatively spelled as
Rebecca Treiman
3Learning to Read
Much of the research on learning to read has focussed on the acquisition of
In practice, many programs include a combination of whole language and
Rebecca Treiman
treating printed words as holistic symbols. Children must break away from
the logographic hypothesis in order to learn that the parts of printed words
(the graphemes) represent the parts of spoken words (the phonemes) in a
phonemes. Spelling instruction, like reading instruction, requires a teacherwho
is knowledgeable about children
s errors and the linguistic reasons behind
them. For example, a teacher who is aware that the middle part of
why young children frequently misspell this word as
and Treiman 1993 for a discussion of children
s common spelling errors and
Treiman 1998 for a review of research on early spelling instruction.)
Even with good instruction, some apparently normal children have great dif-
culty learning to read and spell. Such children are known as
Rebecca Treiman
6The Effects of Literacy
Does learning to read change people
29Clinical Linguistics
individual. Because there is no convenient term which subsumes both themed-
already been appropriated for the study of language development in
Similarly, in the
eld of grammar, it is easy to spot such morphological
errors as
there are problems with sentence structure. One six-year-old boy was able
That car is red
s a red car
My red car
Is that a red
uent and produce such strings
A car
a red
, losing control of the clause structure as a whole. The prob-
It is partly because of these problems of missed and mistaken diagnosis that
a language disability. Very few statistics in this domain are reliable, because
of the problem of deciding what counts as a language disability
disabilities have such a wide range of manifestations from
was an increasing awareness of the need to bring language structure into
connection with language use, with fresh perspectives deriving from sociolin-
David Crystal
Clinical linguistics has also been much involved in devising more sophistic-
ated assessments of abnormal linguistic behavior. The notion of
here being contrasted with
. A diagnosis tells us what is
the case of children with language disability, assessment usually takes place
by locating a selection of the various features of the child
one day make a contribution to neuroscience and cognitive science. But that
goes beyond the remit of the present chapter (see further, Crystal, 1981/9: 6).
3Linguistic Insights
We can summarize much of the preceding discussion by saying that the chief
aim of clinical linguistics is to provide the clinician with increasing levels of
dence in arriving at linguistic decisions. Basic insights are of
cult to achieve, as has been repeatedly shown since the 1960s
through the analysis of short audio samples of clinical interactions: an in
a principle which has its roots in
classical linguistic anthropology
but in the context of language disability,
graded in some way, so that the speaker
be assessed: such grading, as we have already seen, typically takes the form of
a chart or scale on which stages of development are recognized
deriving from a synthesis of the
ndings in child language acquisition re-
search. Once the information contained in a sample is transferred onto such a
David Crystal
30Forensic Linguistics
ItÕs hard to imagine any area of life that linguistics does not touch. We usually
have also extended their work to such areas as medical communication,advert-
ising, and, even more recently, to the intersection of law and language. Lawhad
received previous attention from anthropologists, psychologists, sociologists,
and political scientists, but now linguists also have begun examiningsuch
Roger W. Shuy
, the less likely such a name can be pro-
tected against use by other companies. The more unique or fanciful the name,
such as the coined words,
, the more likely such protection
Roger W. Shuy
hundreds of these every year, often calling on the expertise of psychologists to
provide what they call a
psychological pro
message. In fact, the US Federal Bureau of Investigation has a pro
its Quantico, Virginia, academy. It is only recently, however, that this agency
has begun to call on linguists to add the dimension of linguistic pro
their analyses. Such pro
language indicators of such things as regional and social dialect, age, gender,
education, and occupation, linguists analyze documents for broad clues to the
identity of the writer. Linguists also provide stylistic analysis of such writings,
s habitual language features over which the writer has little or no con-
scious awareness, such as patterns of clause embedding, use of parallel struc-
Suspects are either recorded with court authorized wire taps placed in such a
way that none of the speakers is aware of being taped, or by using undercover
agents who wear body microphones and engage suspects in conversation.
Court authorization is not required for surreptitious body mike recording in
the USA. American law regarding surreptitious telephone taping varies be-
tween jurisdictions, some requiring the consent of only one of the parties
(obviously, the one doing the taping). Other jurisdictions prohibit the practice
the defendant. The objectivity of such reviewing is, at best, suspect, since the
Roger W. Shuy
intentions really are, but a careful examination of the topics
they bring up gives a useful snap-shot of what they are thinking about, what
is foremost in their minds and, perhaps even more important, what is not on
their minds. Likewise, a careful analysis of the responses that given persons
make to the topics introduced by others offers a similar clue to their agendas
Roger W. Shuy
6The Future of Forensic Linguistics
There are many other areas of forensic linguistics in addition to the ones cited
above. For example, considerable work has been done on the problems of pro-
Christoph Gutknecht
on general human grounds.Ó Some researchers postulate an autonomousstatus
normally refers to written materials but is also an
umbrella term used for all tasks where elements of a text of one language (the
Christoph Gutknecht
having heard only the
4Translation Principles
turns out to be not so much a question of arguments to be adduced for decid-
5False Friends
You come across false friends more often than you would like to
real life, but also in linguistics, especially when you happen to be doing a
When someone refers to the so-called
, a French expression that has
ssler and Jules Derocquigny pub-
Les Faux Amis ou les trahisons du vocabulaire
False Friends or the treacherous pitfalls of the English vocabulary
sound alike often leads to the incorrect assump-
5.2Diachronic intralingual false friends
We can encounter
diachronic intralingual false friends
elements from one historical period into another period, when the process of
shift in meaning has to be taken into account. A spectacular case in point is the
: In Old French, which gave the word to English in the thirteenth
century, it meant
In the fourteenth century,
in English acquired
occurs, for instance, in line 1285 of Geoffrey Chaucer
friendly, agreeable, pleasing
) would be incorrect.
5.3Diachronic interlingual false friends
Since language changes constantly, the meaning of expressions can broaden
equivalents of the French verb
, stressing that the verb originally meant
to realize (one
As was pointed out in section 3 (
Christoph Gutknecht
Regardless of the degree of usefulness of machine translation, there seems to
be unanimous agreement that translators cannot be replaced, either now or in
the foreseeable future. Only the human translator as an expert will be able to
fully survey all the factors relevant to felicitous translation processes.
1Two useful collections of readings on
Frank Anshen
32Language Planning
Every nation does, in fact, have a language policy regulating which languages
are spoken in which situations. In many countries this policy is explicit, often
a constitutional provision naming a number of languages and their respective
roles. This is the situation in Indonesia, India, Ireland, and Canada among
others. Other nations may specify the domains of languages by speciÞc laws;this
is what France has done. In still other nations such as the United States,language
policy may be largely implicit. There is no law, for instance, stating that acts of
the United States Congress shall be published in English, but this is and has
Language policies can be classiÞed into three major approaches: mono-
lingualism, equal multilingualism, and national/regional language systems.
France has followed the Þrst since the seventeenth century, Belgium had adopted
In 1928, during Dutch colonial rule, a Congress of National Youth inIndonesia
Malay, was renamed Bahasa Indonesia. It was primarily a trade language used
widely in the archipelago but the native language of but a minute fraction of
sciously chose a national language which was not that of the largest or most
has been a central and divisive element of Indian politics since. Violence has
occurred in response to attempts to implement the constitutional provisions
and the political map of India has been changed with the redrawing of state
lines to re
ect linguistic loyalties. The current compromise allows Indian states
language and the language with which Indians are expected to relate to the
nation, and provides for a special position for English, the former colonial
language, in the realm of education and for intergroup communication.
The comparison of Indonesia with India suggests an interesting generaliza-
tion: nations such as the US, Sweden, and Portugal have been reasonably
large majority (call it more than 80 percent) of the population. Nations such as
Indonesia, and many of the nations of subsaharan Africa have been success-
ts are bestowed upon native speakers of the
and civil service tests are given in their language. These bene
into improved educational and career paths. Where the language chosen as the
national language is spoken natively by a large majority of a nation
tion, speakers of other languages may agree that the choice is obvious. Where
esimal proportion of the nation
s population, all linguistic groups are equally
handicapped and no group has reason to think itself the victim of linguistic
An alternative approach to having a single of
cial languages on the basis ofconstitutional
equality. In American discussions of language policy for the United States,
three nations which are of
are often held up as horrible examples of the dangers of a multilingual policy.
All are of
cially bilingual. An examination of these nations
however, reveals that the lesson is the exact opposite of the one drawn by US
English and similar groups advocating a policy of intolerance towards lan-
became an independent nation in 1831, the constitution pro-
vided that French would be the language of legislation, justice, secondary and
higher education, and the armed forces. Notwithstanding this, individuals
were guaranteed the right to use the language of their choice, although clearlya
would have to speak French as well if (s)he wished
an education or to take part in national life. Already by 1840 this enforced
by Flemish speakers to establish the equality of Flemish to French within
Belgium. In response to this assertion of linguistic nationalism by the Flemish,
French speakers became increasingly protective of French in their part of the
The situation was resolved in the 1960s when a linguistic dividing line was
drawn, separating the country into Flemish and French speaking sections.
Along with constitutional reforms giving each section of the country signi
ant areas of self-government, these actions seem to have created a modus
A similar conclusion can be drawn from the history of Sri Lanka since it
defeated by only a few percentage points. Canada would seem to be a clearcase
However, the situation looks somewhat different if we compare the situ-
cally, if we compare the
approach of the Canadian government to the linguistic and cultural minority
which they ruled, the French, with the approach of the British government
to the linguistic and cultural minority which they ruled, the Irish. From the
time of Cromwell, British governments had ruled Ireland in English and were
either indifferent or hostile to Gaelic, the language of the vast majority of the
The importance of the prestige factor is shown when we consider the situ-
ation in Senegal, Burundi, and Paraguay. What they have in common is that
although in each case there is an indigenous language spoken by a largemajor-
ity of the population, Wolof, Kirundi, and Guaran
, the countries are of
monolingual in languages spoken natively by a very small percentage of the
population, French in the
rst two instances and Spanish in the third. None of
the three majority languages, Wolof, Kirundi, or Guaran
tion which predates colonization.
The factor of prestige is further emphasized when we observe that, notwith-
standing the fact there are hundreds of languages spoken in the 53 independ-
ent nations of Africa, one of the four languages with long literary traditions:
Arabic, English, French, or Portuguese, is a national language of every nation
on the continent, despite the fact that the three European languages have
tries they are the sole national language. Clearly, it is not a coincidence that
the three European languages are those of the major colonial powers in Africa;
but more than colonial tradition is involved. The countries of North Africa,
Morocco, Algeria, Tunisia, and Libya have forsaken the colonial languages,
French in the
rst three cases and Italian in the last, for an indigenous lan-
guage, Arabic. Arabic, of course, has tremendous prestige as the holy language
Frank Anshen
language policy will consider both the demographic facts of language dis-
1This is not to deny that a number of
laws have been proposed or passed
judicial opinions and bureaucratic
regulations have been issued, but that,
little language law compared with
were symbolized by linguistic ones,
to a general hardening of the lines.
10Actually a German speaking section
the approximately 3 percent of the
11Unfortunately, this effort has not
been crowned with success as the Irish
learn another. The number of Gaelic
speakers at last count was approxim-
ately the same 5 percent that it was
counted as a partial victory.
12India actually maintains two lan-
cial purposes on a re-
13The four major languages of the south
of India are of the Dravidian lan-
guage family, where the bulk of the
languages of the north of India are
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abductive change118Ð19
Abercrombie, D.151
abjad43Ð4, 47, 54, 62, 68, 69, 72
Abondolo, D.22
Aboriginal languages of Australia527
absolute synonymy243, 249Ð50
absolutive case217, 340, 352Ð3
abugida44, 54, 62, 68, 70, 72, 80n
identifying by495
non-native in SLA495
Aikhenvald, A.39
glottalic egressive162
glottalic ingressive162
initiation and direction of161
pulmonic egressive160, 162
pulmonic ingressive162
velaric ingressive162
Aitchison, J.3, 263
Akan dialect cluster35
Akkadian31, 32, 79, 82
Aksumite kingdom47
Alabama39, 140
Albanian21, 121, 125, 528
Aled, Tudur463
family39, 124
Algonquian languages39, 89, 123, 124
family39, 124
Allen, J.616
and rhyme455
allograph66, 67
allomorphy224, 225
allophones66, 186
7, 211
allophonic patterns143, 151, 152
alpha notation205
Anderson, S.147, 199, 225
animacy220, 499
conceptual space for349
gure 14.1
anomic aphasia585
Anshen, Frank216, 646, 704
and origins of language3
comparative forms252
Apachean languages38, 140
aphasia552, 554, 558, 675, 676, 678
classic syndromes585 table 24.1,
correlations with lesion sites600
in deaf signers555
mixed anterior605
s aphasia, Wernicke
applied linguistics637
apraxia of speech584, 600
Arab grammarians54
Arabic32, 33, 47, 113, 225, 519, 525
aspect of articulation168
gure 7.5a
assertions321, 411
in ASL541
gure 22.3
and co-articulation176
nasal place202, 205, 209
in sound change113, 119
rk, Kemal67
Athabaskan languages38, 123, 219
Atlantic languages34
attested language types343
attitudes to language572
audience, of literary text448
audition, and articulation471
Basque20, 24
Bates, E.333, 336
Baudouin de Courtenay, Jan (Ignacy
Niecislaw)95, 96
Bauman, Richard448
Becanus, Johannes Goropius (Jan van
Gorp van Hilvarenbeek)87
Bedawi (Beja)33
Beeman, M.595
s law361
behavioral potential348
behaviorism101, 469, 489, 490, 640
Behistun inscription of Darius78, 79
Beja (Bedawi)33
Belfast Irish570
Belgium, language policy704, 706, 709
Belorussian (Belarusian)21
Benchmark School671
Bender, M. L.34, 36, 37
Bendor-Samuel, J.33
Benedict, P. K.31
script52 table 3.7
in UK522
Benue-Congo languages35
Berber32, 33
Berlin, Heinrich79
Bernstein, B.580
Bibliander, Theodor84
Bickerton, D.10, 15, 16
Big Nambas352
bigram probabilities632
bigram tagger633
Bursill-Hall, G. L.84
Burt, M. K.490, 497
Burushaski30, 31, 123
Buse, J. E.177
Bybee, J. L.348
California Indian languages140, 145
California Penutian41
Calvin, W. H.13, 14
Cambodian script54
Cambridge Language Surveys20
Cameroon, Pidgin of41
Campbell, Lyle38, 40, 81
Canaanite languages32, 47
French-English bilingualism515, 516,
language policy704, 706, 707
Cann, R. L.7
Cantonese (Yue)27, 710
Caplan, David582
Caramazza, A.590
categorial grammar284, 375
categorial signature
categories300, 586
as bundles of features304
Catford, J. C.151
Choctaw39, 140, 146
Chomsky, Noamxiii, 2, 3
and generative grammar274, 277,
on knowledge of language397, 555
on language learning2, 312, 332, 480,
and linguistic theory100
Minimalist program102, 146, 511
phrase structure269
interactional models of676
language and394
literary and linguistic447
in literary texts457
communication strategy, in SLA506
communicative dynamism (CD)436
selection of linguistic forms429
conduction aphasia584, 585, 600, 605
confessions, and forensic linguistics
ict talk644
gure 24.2, 601
connectivity364, 365
Conrad, Joseph493
syllabary63, 65 table 3.17
creoles15, 41, 513
creolization15, 41, 575
criminal cases, and forensic linguistics
critical discourse analysis655
critical literacy655
in second language acquisition493
in sign language acquisition552, 553
Croft, William284, 299, 337
cross-cultural linguistics, and second
language teaching643
cross-linguistic surveys, sampling
Cruse, D. A.238
Crystal, David642, 646, 673
, E.23
culture, and evolution of language6
Cumming, S.460
cuneiform signs44
gure 3.1, 46
cursive writing46
Cushitic32, 33
Cuzco Quechua40
cynghanedd groes o gysswllt
Cypriote syllabary49, 50 table 3.4
Cyrillic script55, 61, 72
Czech21, 240
Daic languages27, 31
Damasio, A.601
Grand Valley Dani, Western
derivation215, 217
parse trees and635
cation, linguistic530
cultural in classrooms647, 657
linguistic148, 337
Dixon, R. M. W.20, 30, 39, 147, 452, 454
Searching for Aboriginal Languages
documents, philology of76
Dodd, A.498, 510
domain actions621, 622
guration, congruent or
domains of use518
dominance, word order344
Donald, M.10
donkey anaphora392n
donkey pronouns382
donkey sentences, conditional387,
Dorian, N. C.527
dorsolateral frontal cortex, left603
Dowland, John455
Dravidian languages26, 31, 52, 709,
Disjoint Reference Condition
Dryer, M.342, 343
duality of patterning540
Dulay, H. C.490, 492, 497
Dunbar, R.11
duration of sound161, 177
contrastive and contextual control of
mile96, 576
Dutch21, 494, 495
in Australia527
eldwork132, 133, 577
vehicle change426n
Ellis, R.488
elsewhere condition230
embedded clauses287
in sign languages535
embedding problem108, 109
Emmerik, Wim548
emotion, role of language in construction
Empty Category Principle (ECP)502
empty morphemes357
enculturation648, 651
endangered languages104, 137, 141,
English21, 109, 517, 518, 522, 698, 700
changes in105
7, 111, 113
compared with Mohawk285
denominal verbs233
exclusion, opposition and relations of
er381, 383
expertise, role of language in construction
types of334 table 13.1
explicatures411, 412
extended exponence226
extended projection principle271
Extended Standard Theory102
Extra, G.531
extralinguistics151, 165
eye, mammalian17
eye movement studies, in reading665
Fabb, Nigel446
facial expressions, in sign language542
gure 22.4
factor analysis597
in translation698
diachronic interlingual699
diachronic intralingual699
synchronic interlingual698
synchronic intralingual700
family tree model
Fantini, A.508
Fasold, R.576
featural scripts44, 62, 63
early semantics472
early stages469
emergentist accounts483
errors in478
rst word combinations476
rst words469
and language complexity102, 332
parent perspective485
plural formation in203
processes in467, 478
sign languages533, 549
11, 15, 16
rst-order languages375, 390, 391n
Firth, John Rupert243, 432, 692
Fishman, J. A.518, 522, 530, 569
apped stop172
functional categories218, 375
Functional Grammar (FG)329, 330
functional linguistics319
36, 648
cross-linguistic comparison in324
Gilbertese (Kiribati)29
ron, Jules,
Gilyak (Nivkh)25
Giraldus Cambrensis86
n, T.335, 361, 435
Glagolitic script55, 56
global aphasia585
global holonym248
glottal166, 167, 181
glottal stop164
glottalic airstream mechanism162
glottis162, 163
view of languages86
Goldin-Meadow, S.510, 559
Golding, Sir William461
Goldsmith, J.151, 204
Good Language Learner strategies505
Gothic21, 88, 91
script55, 56
government, role of in
ection in220,
Government and Binding Theory102
actual vs. conceivable16
common formal elements238, 300
explicit teaching of643
explicitness of298
psychological relevance of299
as a theory of language100
theory of and universal claims2, 299,
use of the word295
vs. meaning325
grammars131, 148
should be maximally general298
grammatical categories339
grammatical morphemes research in L2
acquisition490, 497, 502
grammatical relations323, 324
map of attested systems of354
gure 14.4
grammatical structure, and iconicity
grammatical traditions81
grammatical words188, 214, 217, 236
grammaticality judgements510
and language disorders591
grammaticalization103, 127n, 218
conceptual space for366
Grand Valley Dani30
s Law91
Greek21, 88, 91, 124, 318n, 519
in Australia527
in the Balkans121
changes in111
12, 113, 116, 118, 119
Classical21, 82, 219
early script49, 52, 69, 79
Medieval125, 127n
guessing, psycholinguistic118
script52 table 3.7
in UK518, 522
Gumperz, J. J.523, 572, 677
Gur (Voltaic) languages34
Gurmukhi script52 table 3.7
Gutenberg, Johannes75
Gutknecht, Christoph646, 692
Gutt, E.-A.697
Hungaricae cum linguis Fennicae...
Gypsies (Rom)22
Indian Languages145
Haas, W.243, 244, 249
habituation effects468
haiku, Japanese449, 452, 453
Haitian Creole, French-based41, 357
Hmong Njua (Western Hmong)28
Hmong-Mien (Miao-Yao) languages
Hock, H. H.108, 116
and sequence of word order changes
and contextual implications411
conventional implicatures;
conversational implicatures
Inca quipu80n
inclusion, identity and relations of247
incorporating languages94
indexical pronouns424n
language policy704, 705
6, 708
Indic languages22, 52
indigenous languages137, 514
immersion programs529
and immigrants522
prestige of709
and school experience657
individual terms371, 375
Indo-Aryan (Indic)22, 52
Indo-Iranian languages22
c language group31
Indonesia, language policy704, 705
Indonesian364, 463
International Association of Forensic
Kalabari Ijo35
Kamp, H.333, 392n, 405
(syllabaries)49, 498, 666
Kannada26, 517
script52 table 3.7
Kanuri36, 352
Karcevskij, Serge96
Karlsson, F.228
Kartvelian (South Caucasian)24, 124
Kasper, G.498, 499, 506
Kate, Jan Jacob Lodewijk ten87
Kraus, Christian Jakob86, 89
Krio of Sierra Leone41
Kroeber, A. L.98
Kroll, J. F.509
Kru languages34, 35
Kruszewski, Mikolaj96
Kuno, S.325, 329, 330, 332, 335
Kurdish22, 172
Kurds, in Turkey528
Kwa languages34
in child language acquisition475,
labels, in computational phonology624
labial160, 166, 167, 181
labialization170, 171
Labov, William108, 109, 113, 114, 117,
Ladefoged, P.147, 150, 151, 155, 162,
languages of the world19
sound inventories182
script53 table 3.7, 54
LaPolla, R. J.330, 333
Lappin, Shalom369
Lappish (Saamic)22
laryngealization164, 171
larynx159, 160, 162, 163
position in humans4
Lascaux cave paintings6
Lashley, K. S.596
Lasnik, H.272, 274, 276
lateralization, and language558, 594
Latin15, 21, 47, 85, 88, 124, 226, 519,
Lichtheim, L.584, 600, 601
Liddell, S. K.536
Lieber, R.228
Lieberman, P.4, 493
Lieberson, S.527
Lightbown, P.491
Lillo-Martin, Diane533
Linear A49, 76
Linear B49, 50 table 3.4, 79
lingua franca41, 574
airstream mechanism
linguistic areas
linguistic distance359
linguistic parallelism464
Lower Chinook97
australopithecus afarensis
Lugbara (High Lugbara)37
lungs159, 162
Luo (Dholuo)37
Luo (Lwo)37
Lwo (Luo)37
Lyons, J.242, 244
McCarthy, J.194, 206, 225
McCloskey, J.309
McDonough, S.505
Macedonian21, 121
machine translation317, 702
and parsing615
grammar vs.325
and language universals346
properties of650
specialization of259
and use394
cumulation of226
and denotations370
fusion of226, 356, 357
and situations385
medial phase165
Meier, Richard551
Mohawk39, 146
compared with English285
Mojave140, 142
Monboddo, J. B., Lord89
Mongolian23, 70, 711
script61 table 3.14, 62, 70
Mongolic languages23
monolingualism704, 706
de jure or de facto regionally de
imposed707, 709
monolinguality468, 488
monophthong, articulation of172
monosemy358, 359
Montague grammar375
monumental writing style46
one and no meaning227
one and two meanings226
two and one meaning226
morpheme66, 96, 213, 327
morpheme theory, classical233, 236
cation98, 477
morphological level586
morphological representation, and
typological markedness346
morphology82, 213
agglutinating morphology,
computational morphology,
concatenative morphology,
derivational morphology, non-
concatenative morphology,
processual morphology
Moscow Linguistic Circle96
preference in babies for voice of468
biological senses7
motivated sign languages12
motivation334, 341
linguistic forms429
Naoi, K.501
narrative444, 460
boundary-markers in461
episodes in460
in a462
gurational languages146, 286
origins of language1
Christian theories84
Greek theories of82, 85, 86
linguistic evidence for15
script52 table 3.7, 55
Oromo (Galla)33
orthographic rimes667
phonemic in transcription144
Osthoff, Hermann92
Otomanguean languages39
Otsu, Y.501
overgeneralization, in child language
overlapping antonyms252, 253, 254
overlapping phase in articulation165
Oyrot (Altai)23
Ozog, A. C. K.526
P600 (syntactic positive shift (SPS))606
Padden, C. A.538, 539
Pahlavi script59, 60 table 3.13
palatal166, 167, 181
palatalization170, 171, 220
palatoalveolar170, 181
s commentary82
Paul, Hermann92, 94
speech, for computer-assisted
Pawley, A. K.29, 169
process writing
Pedersen, Holgar86
Pedi (Northern Sotho)36
Penn Treebank614
Amish, Old
perception, how knowledge and
experience affect664
perceptual level of description of speech
Percival, W. K.84
Perdue, C.491
performance298, 424
and applied linguistics642
literary text as context of448
Plateau Penutian41
Plato85, 480
pleonastic extensions472
ection, in different languages
gure 14.2
propositional structure396
order of expressions in426
syntax as building413
tree structure416
propositional synonymy249, 250
prosodic declarative analysis623
prosodic word (PWd)187
prosody, in sign language541
1, 114, 123
proto-language122, 124
Proto-Semitic script47
Proyart, Abb
Lievin Bonaventure,
Histoire de Loango
psycholinguistics68, 130, 131, 313,
and language learning467, 483
relevance of grammar to299
Pullum, G.63, 305
pulmonic mechanism162
ller, F.496
pure word deafness
purpose clauses354
er storage389
3, 375, 379
as second-order functions372
referential dependence381
referentiality, and discourse analysis
and language disorders591
Regan, V.495, 510
regional cerebral blood
ow (rCBF)558,
register509, 652
Romanian21, 121
Romanies, in Finland516
root nodes200
Schmidt, Johannes92
Schnitzer, M. L.508
language differences in657
question-answer-evaluation activities
social interaction in660
home language instruction532
native language528
Schuchardt, Hugo92
Schumann, J.496
tz, A.576
Schwartz, B.492
alternative readings389
scribal traditions76
canonical orders of80
gure 3.6
and discourse analysis433
invented by persons who cannot read
Scythian hypothesis87, 89
Searle, J.320, 322, 411, 426n, 433, 616
second language acquisition488
age and484, 493
codeswitching in506
compared with
critical period hypothesis493
fossilization in493
Multidimensional Model491
negative evidence in504
one language or two508
transfer in489, 497
and Universal Grammar500
approximative system
semantic-pragmatic disorder syndrome
semantics236, 396, 424n, 682, 685
and syntax266, 312, 330, 334, 370
semantics, structural semantics
linguistics and writing79
Semitic32, 123, 124, 225
script52, 57, 72
vowel marking58
sense239, 245
and denotation373
sense relations246
sentence comprehension, disorders of
sentence probability636
sentence structure
problems in language disability675
in sign languages534
connection with the world375
propositional content586
stylistic differences461
sentential level586
separatism, political and language515
Sepik-Ramu phylum29
Septuagint72, 74, 80n
sequential organization, and discourse
Sequoyah, syllabary order63, 71
Serbian21, 110, 119, 127n
Serto47, 48
Simmons, D.464
and language shift128n, 528
speech recognition152
submersion programs528
gure 22.1
subordination vs. recursiveness536
subsaharan Africa, monolingualism in
subsegmental structure198
paradigmatic relations
subtractive morphology225
Sumerian31, 79, 81
Summer Institute of Linguistics147
vowel nasalization203
Supalla, E.545, 557
Supalla, S. J.560
Szechuanese, Chengtu173
j, E.235
Tabbert von Strahlenberg, Philip Johan
Tacanan languages40
tag bigram model633
tag questions298
Tagalog28, 225, 331, 336n, 712n
Tai languages27
Taiwan Sign Language557
Tamil26, 516, 517, 522, 707
script53 table 3.7
Tannen, Deborah439, 644
tape recorders
use in criminal cases686
tapped stops171
voiced alveolar171
Toma, C.652
Tongan29, 353
Tungusic languages23
diglossia in522
Tupian languages40
Turkic languages23, 219
Turkish23, 113, 356
Uto-Aztecan language family39, 98, 123
utterance157, 451, 458
recognizing as part of discourse
structure618, 620
sequential context437
uvular166, 167, 184
Uyghur (Southeastern Turkic)23
high, mid or low181
length of177
loss of unaccented119
nuclear in the syllable159
script for47, 52, 55, 57
Vygotsky, Lev653, 655
word order
language universals341
and typological analysis147
word recognition666
word structure
in sign languages542
word-collections, for language comparison
word-pair grammar632
word-picture matching588
boundaries240, 451
Zulu36, 162, 346
Zurif, E.590
1, 604
Zwicky, A.237
ZISA project491
Zoroastrian scripture, Avesta59
Zukovsky, Celia697
Zukovsky, Louis697

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