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Tài liệu Gisa rauh syntactic categories_ their identification and description in linguistic theories (oxford surveys in syntax and morphology) oxford university press, usa (2010)

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Oxford Surveys in Syntax and Morphology provides overviews of the major approaches to subjects and questions at the centre of linguistic research in morphology and syntax. The volumes are accessible, critical, and up to date. Individually and collectively they aim to reveal the field’s intellectual history and theoretical diversity. Each book published in the series will characteristically contain: (1) a brief historical overview of relevant research in the subject; (2) a critical presentation of approaches from relevant (but usually seen as competing) theoretical perspectives to the phenomena and issues at hand, including an objective evaluation of the strengths and weaknesses of each approach to the central problems and issues; (3) a balanced account of the current issues, problems, and opportunities relating to the topic, showing the degree of consensus or otherwise in each case. The volumes will thus provide researchers and graduate students concerned with syntax, morphology, and related aspects of semantics with a vital source of information and reference.
Syntactic Categories OX F O R D S U RV EYS I N S Y N TA X A N D M O R PH O LO G Y general editor: Robert D. Van Valin, Jr, Heinrich-Heine University and the University at Buffalo, State University of New York advisory editors: Guglielmo Cinque, University of Venice; Daniel Everett, Illinois State University; Adele Goldberg, Princeton University; Kees Hengeveld, University of Amsterdam; Caroline Heycock, University of Edinburgh; David Pesetsky, MIT; Ian Roberts, University of Cambridge; Masayoshi Shibatani, Rice University; Andrew Spencer, University of Essex; Tom Wasow, Stanford University published 1. Grammatical Relations Patrick Farrell 2. Morphosyntactic Change Olga Fischer 3. Information Structure: The Syntax-Discourse Interface Nomi Erteschik-Shir 4. Computational Approaches to Syntax and Morphology Brian Roark and Richard Sproat 5. Constituent Structure (Second edition) Andrew Carnie 6. Processing Syntax and Morphology: A Neurocognitive Perspective Ina Bornkessel-Schlesewsky and Matthias Schlesewsky 7. Syntactic Categories Gisa Rauh in preparation The Acquisition of Syntax and Morphology Shanley Allen and Heike Behrens The Phonology–Morphology Interface Sharon Inkelas Complex Sentences Toshio Ohori Argument Structure: The Syntax–Lexicon Interface Stephen Wechsler Syntactic Categories Their Identification and Description in Linguistic Theories GISA RAUH 1 3 Great Clarendon Street, Oxford ox2 6dp Oxford University Press is a department of the University of Oxford. It furthers the University’s objective of excellence in research, scholarship, and education by publishing worldwide in Oxford New York Auckland Cape Town Dar es Salaam Hong Kong Karachi Kuala Lumpur Madrid Melbourne Mexico City Nairobi New Delhi Shanghai Taipei Toronto With oYces in Argentina Austria Brazil Chile Czech Republic France Greece Guatemala Hungary Italy Japan Poland Portugal Singapore South Korea Switzerland Thailand Turkey Ukraine Vietnam Oxford is a registered trade mark of Oxford University Press in the UK and in certain other countries Published in the United States by Oxford University Press Inc., New York # Gisa Rauh 2010 The moral rights of the author have been asserted Database right Oxford University Press (maker) All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, without the prior permission in writing of Oxford University Press, or as expressly permitted by law, or under terms agreed with the appropriate reprographics rights organization. Enquiries concerning reproduction outside the scope of the above should be sent to the Rights Department, Oxford University Press, at the address above You must not circulate this book in any other binding or cover and you must impose the same condition on any acquirer British Library Cataloguing in Publication Data Data available Library of Congress Cataloging in Publication Data Library of Congress Control Number: 2010922496 Typeset by SPI Publisher Services, Pondicherry, India Printed in Great Britain on acid-free paper by CPI Antony Rowe, Chippenham, Wiltshire ISBN 978–0–19–928142–8 (Hbk.) 978–0–19–928143–5 (Pbk.) 1 3 5 7 9 10 8 6 4 2 Contents General Preface Acknowledgements List of Abbreviations 1 Introduction 1.1 Categories and categorization in linguistics 1.2 Subject matter, aims, and outline 2 The traditional parts of speech Introduction The grammar of Dionysius Thrax The parts of speech in the Tékhnē grammatikē The traditional parts of speech in selected grammars of the nineteenth century 2.5 Parts of speech as semantic categories 2.6 Problems with the traditional parts of speech 2.1 2.2 2.3 2.4 3 The American Structuralists’ approach: Syntactic categories as distributional classes 3.1 3.2 3.3 3.4 3.5 Introduction Language as an object of scientific study Towards a description of the structures of languages Identifying syntactic categories Inconsistencies and problems concerning the identification of syntactic categories 4 Syntactic categories in early Generative Grammar 4.1 4.2 4.3 4.4 4.5 4.6 Introduction Aspects of the Chomskyan theory of language On the organization of a Generative Grammar: two examples Syntactic categories and universal grammar Reducing the set of categories Universal vs. language-specific syntactic categories 5 Categories, features, and projections x xi xiii 1 1 8 13 13 14 17 20 24 28 31 31 34 36 41 48 54 54 57 60 68 73 76 82 5.1 Introduction 82 5.2 A modular theory of grammar: the Theory of Principles and Parameters 84 vi contents 5.2.1 5.2.2 5.2.3 5.2.4 General theoretical considerations On determining the D-structure of sentences On deriving S-structure, LF, and PF Some important questions 5.3 X-bar theory: on X 5.3.1 The origin of X-bar theory and the identification of major (lexical) categories 5.3.2 Towards a motivation of the categorial features 5.3.3 Including minor categories 5.3.4 Identifying functional categories 5.4 Lexical and functional categories and the licensing of constituents 5.4.1 Licensing complements and specifiers of lexical heads 5.4.2 Licensing specifiers of functional heads 5.4.3 Licensing complements of functional heads vs. licensing functional heads in extended projections of lexical heads 5.4.4 A modified u-theory and the licensing of functional heads and adjuncts in projections of lexical heads 5.5 Morphosyntax and syntactic categories 5.5.1 Morphosyntax, word order, and the splitting of IP 5.5.2 Splitting CP and yet more functional categories 5.5.3 Consequences for the identification and description of syntactic categories 5.6 Features, checking, and syntactic categories 5.6.1 Introductory remarks 5.6.2 An outline of the MP 5.6.3 Syntactic categories in the MP 5.7 Feature-based representations of syntactic categories in the PPT and the MP 6 Syntactic categories, functional features, and feature structures 84 87 89 92 93 93 96 98 102 107 108 110 113 115 120 120 124 127 129 129 131 136 141 150 6.1 Introduction 150 6.2 A lexical-functional approach to language 153 6.2.1 Considering language universal and language particular needs 6.2.2 On generating annotated c-structures 153 155 contents 6.3 Syntactic categories in LFG 6.3.1 Functional features and the description of lexical and functional categories 6.3.2 Conditions on c-structures and their impact on the description of syntactic categories 6.4 HPSG as a system of signs 6.4.1 6.4.2 6.4.3 6.4.4 Feature structures On deriving feature structures of type word in the lexicon Syntactic principles and rules Instead of transformations 6.5 Syntactic categories in HPSG 6.5.1 Feature structures and the description of syntactic categories 6.5.2 Some examples as illustration 6.6 Feature structures and syntactic categories in LFG and HPSG 7 Notional approaches to syntactic categories and Cognitive Grammar vii 161 162 165 169 171 175 178 183 186 186 190 196 206 7.1 Introduction 206 7.2 Parts of speech, syntactic categories, and notionally-based categorization 209 7.3 Cognitive Grammar as a usage- and meaning-based alternative to formal grammars 214 7.3.1 General assumptions 7.3.2 Grammatical constructions: symbolization, categorization, and integration 7.3.3 Prototypical and non-prototypical component and clause structures 7.4 Towards an identification of syntactic categories in Cognitive Grammar 7.4.1 Basic and non-basic grammatical categories 7.4.2 Grammatical constructions and distribution 7.5 Some problems in the identification of syntactic categories 8 A notional-feature basis for syntactic categories in a Localist Case Grammar 8.1 Introduction 215 220 229 237 237 250 257 264 264 viii contents 8.2 Notional features and the description of word classes 268 8.2.1 Basic word classes or ‘primary categories’ 8.2.2 Intermediate primary categories 8.2.3 Secondary categories 269 271 274 8.3 Subcategorizations and redundancies in the lexicon 279 8.3.1 Categorial selection of complements and by retro-complements 8.3.2 Functor features specifying valencies 8.4 Building syntactic structures 8.4.1 Syntactic projection 8.4.2 Building surface structures 8.5 Syntactic categories in a Localist Case Grammar 280 282 288 289 290 298 8.5.1 General assumptions, inconsistencies, and problems 8.5.2 Extensions and revisions 299 305 8.6 Notional approaches to syntactic categories and the question of category structure 313 9 Syntactic categories and language typology 322 9.1 Introduction 322 9.2 Investigating linguistic categories in language typology 325 9.2.1 Parts of speech or ‘word classes’ 9.2.2 Syntactic categories or parts of speech? 9.2.3 Lexical and syntactic categories 9.3 A grammatical model for language typology: Dik’s Functional Grammar 9.3.1 General assumptions, aims, and architecture of the grammar 9.3.2 Deriving underlying clause structures 9.3.3 Expression rules 9.3.4 Syntactic categories in FG 9.4 An alternative approach: Role and Reference Grammar 9.4.1 9.4.2 9.4.3 9.4.4 Syntactic structures Logical structures and semantic representations The linking system Syntactic vs. lexical categories in RRG 325 332 339 345 346 348 351 355 359 359 369 374 378 contents 9.5 The special situation of language typology 10 Syntactic categories and parts of speech: Two types of linguistic categorization 10.1 Syntactic categories in linguistic theories: results and conclusions 10.2 Parts of speech as cognitive lexical categories References Author Index Subject Index ix 383 389 389 396 401 425 428 General Preface Oxford Surveys in Syntax and Morphology provides overviews of the major approaches to subjects and questions at the centre of linguistic research in morphology and syntax. The volumes are accessible, critical, and up to date. Individually and collectively they aim to reveal the field’s intellectual history and theoretical diversity. Each book published in the series will characteristically contain: (1) a brief historical overview of relevant research in the subject; (2) a critical presentation of approaches from relevant (but usually seen as competing) theoretical perspectives to the phenomena and issues at hand, including an objective evaluation of the strengths and weaknesses of each approach to the central problems and issues; (3) a balanced account of the current issues, problems, and opportunities relating to the topic, showing the degree of consensus or otherwise in each case. The volumes will thus provide researchers and graduate students concerned with syntax, morphology, and related aspects of semantics with a vital source of information and reference. In Syntactic Categories: Their Identification and Description in Linguistic Theories, Professor Gisa Rauh surveys a wide range of linguistic theories, investigating and discussing their identification and description of syntactic categories – the building blocks of sentences and the units of grammatical analysis. Her critical examination offers a systematic account of syntactic categories, provides insights into the functioning of various grammatical models, and deals with formal as well as functional theories of language and with language typology. Robert D. Van Valin, Jr General Editor University at Buffalo, The State University of New York Heinrich Heine University, Düsseldorf Acknowledgements This book owes its existence to a number of people who have directly or indirectly contributed to the making of it. The first person to be mentioned is Robert D. Van Valin, Jr, the general editor of the series, who decided on its topic and its author. I am grateful to him for giving me the opportunity to write this book. It was quite a challenge but a rewarding one. Next I would like to thank Hans Thilo Tappe, whose wide-ranging and at the same time detailed knowledge of linguistic theories made him the best discussion partner I could have had concerning all linguistic matters. He has accompanied every section of this book with valuable comments and suggestions which without doubt have contributed to its quality. My thanks also go to Leah Bauke, Stephanie Goethe, and the members of various advanced linguistics classes in the English department at the University of Wuppertal who studied selected chapters of this book and in particular ensured that my discussions were clear and convincing. The comments they made were very valuable. The book has also profited from the expertise of Helga Helmich and above all Colin Foskett. Thank you for your support. For the preparation of the final version of the manuscript, my thanks go to Matthias Naumann and in particular to Boris Kühne. It was a relief to know these matters were in good hands. I would also like to thank John Davey, the consultant editor for linguistics at Oxford University Press, for his friendliness, empathy, patience, support, and helpful advice while I was preparing and writing this book. I am extremely grateful to the rheumatologist Helmut E. Stierle, who immediately realized what the problem was when my right hand painfully and mysteriously refused its services. Without his successful therapy I would not have been able to physically finish this book. Last but not least, there are two men to whom I am indebted and who deserve my warmest thanks. The first is my husband, Klaus Peters. He never complained that I had to spend what must have seemed an interminable length of time at my desk. In fact, he encouraged and supported me whenever necessary and wherever possible. His interest in my work has been a constant source of the energy needed to complete a book like this in addition to my duties as a professor. xii acknowledgements The second man I must thank is my former academic teacher, the late Thomas Jefferson Gardner of the University of Göttingen. He was much more to his students than just a professor of linguistics, and it is unfortunate that he did not live to see this book published. I dedicate it to the honour of his memory. Gisa Rauh University of Wuppertal List of Abbreviations A abl abs Acc, ACC, acc Act Adj, adj Adv, adv AdvP a-fns Ag Agr AgrO AgrOP AgrS AgrSP agt anim AP A-P Arg, ARG argmkp ARG-ST ARP ASP ATN Aux BV C CH Adjective Ablative Absolutive Accusative Active Adjective Adverb Adverb Phrase Argument Functions Agent Agreement Object Agreement Object-Agreement Phrase Subject Agreement Subject-Agreement Phrase Agent Animate Adjective Phrase Articulatory-Perceptual System Argument Argument-Marking Preposition Argument Structure Argument Realization Principle Aspect Augmented Transition Network Auxiliary Bound Variable Complementizer Chain xiv list of abbreviations CHL C-I cn cntn Comp, comp COMPS conj const CP CS c-selection CSR c-structure D, Det Decl DEF, def Deg deic d-fns dim dir DP D-structure dtv E ECP EPP erg EVID F F0 F1 F2 Computational System of the Human Language Conceptual-Intentional System Common Noun Count Noun Complementizer Complements Conjunction Constant Complementizer Phrase Complex Symbol Categorial Selection Canonical Structural Realization Constituent Structure Determiner Declarative Definite Degree Deictic Discourse Functions Dimension Directive Determiner Phrase Deep Structure Ditransitive Verb Event(uality) Empty Category Principle Extended Projection Principle Ergative Evidential Functor Functional Head First Functional Projection Second Functional Projection list of abbreviations f-description FG FI Fin Foc f-selection f-structure G Go GP GPSG HPSG I IF I-language Imp infl INT, Int IP LDD LDP LF LFG loc LP LS LSC lxm M masc massn max MLC Functional Description Functional Grammar Full Interpretation Finite Focus Functional Selection Functional Structure Grade Goal General Principle Generalized Phrase Structure Grammar Head-Driven Phrase Structure Grammar Inflection Illocutionary Force Internal Language Imperative Inflecting Interrogative Inflection Phrase Long-Distance Dependencies Left-Detached Position Logical Form Lexical-Functional Grammar Locative Linear Precedence Constraint Logical Structure Layered Structure of the Clause Lexeme Modal Auxiliary Masculine Mass Noun Maximal Minimal Link Condition/Constraint xv xvi list of abbreviations Mod MOD MP MP MR N N Neg NOM non-a-fns non-d-fns NP NPIP ntr NUC Num, NUM Obj, OBJ OBLG ocv P P PART pass PER, PERS PF piv Plu pn PoCS PP PPT PrCS Pred, PRED Modality Modifier Minimalist Program Modifier Phrase Macrorole Noun Referentiability Negation Nominal Non-Argument Functions Non-Discourse Functions Noun Phrase NP-Initial Position Neuter Nucleus Number Object Obligation Object-Control Verb Predicability Preposition Participle Passive Person Phonological Form Prepositional Intransitive Verb Plural Proper Noun Postcore Slot Preposition Phrase Principles and Parameters Theory Precore Slot Predicate list of abbreviations PredP predp prep PRES proj Pron, pron prox prp Prt prt PSA psp ptv Q, QNT QUE, ques R RDP Rec REF, ref RESTR R-expression RLN RP RRG S scv SEM Sg, SG, sg siv SoA SOV SP Spec, SPR Predicate Phrase Predicational Preposition Preposition Present Projection Pronoun Proximal Present Participle Particle Partitive Privileged Syntactic Argument Past Participle Prepositional Transitive Verb Quantifier Question Referent Right-Detached Position Recipient Reference Restriction Referential Expression Relation Reference Phrase Role and Reference Grammar Sentence Subject-Control Verb Semantics Singular Strict Intransitive Verb State of Affairs Subject Object Verb Specific Principle Specifier xvii xviii list of abbreviations srv s-selection S-structure stv sub Subj, SUBJ SVO SYN T TOP, Top TP Tr tu tv UG V VAL VP Subject-Raising Verb Semantic Selection Surface Structure Strict-Transitive Verb Below Subject Subject Verb Object Syntax Tense Topic Tense Phrase Transitivity Second Person Transitive Verb Universal Grammar Verb Valence Verb Phrase 1 Introduction 1.1 Categories and categorization in linguistics This book is concerned with syntactic categories and thus with a speciWc type of categorization of linguistic items. It seems therefore appropriate to start the introductory chapter with some remarks on categories and categorization, both in general and speciWcally in linguistics. Categorizing is a fundamental aspect of how humans process reality. The formation of categories gives structure to the enormous amount of sensory input. Items that share properties are combined to form groups, and it is these groups that deWne categories. Because of the shared properties of their members, categories enable us to formulate generalizations. In the human perception of reality, the formation of categories thus serves cognitive economy. Insights and statements no longer refer to individual items, but can be generalized to whole groups which are subsumed under categories. Because of their generalizing nature, categories are indispensable in any area of scientiWc study. Any science will quite naturally systematize its object of study. This means, above all, forming categories and describing the relations between them, thereby providing a structure and thus yielding insights into the object of study. When forming categories, it is necessary to establish the basis for their formation and also what purpose they serve, thus showing what generalizations follow from the formation of categories and how these generalizations yield insights into the object of study. However, when considering what linguists say about categories, no clear picture emerges. What is immediately obvious is a variety of terminology, including the terms ‘parts of speech’, ‘word classes’, ‘form classes’, ‘lexical categories’, ‘grammatical categories’, and ‘syntactic categories’. What often remains unclear is whether these terms refer to diVerent kinds of categories or whether they are more or less synonymous.
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