The non-autonomy of syntax John M. Anderson In: Folia Linguistica 39 (2005), 223-250. 223 The Non-autonomy of Syntax John M. Anderson Abstract Structuralism sought to introduce various kinds of autonomy into the study of language, in- cluding the autonomy of that study itself.* The basis for this was the insistence on categorial autonomy, whereby categories are identifi ed language-internally (whether in a particular lan- guage or in language). In relation to phonology, categorial autonomy is tempered by grounding: the categories correlate (at least prototypically) with substance, phonetic properties. This is manifested in the idea of ‘natural classes’ in generative phonology. Usually, however, in more modern grammars, despite some dissent, no such grounding (in meaning) has been attributed to syntax. This attitude culminates in the thesis of the ‘autonomy of syntax’ which was put forward in transformational-generative grammar. In what follows here it is argued that the consequences of this are very unfortunate. Distribution alone is insuffi cient to determine the identity of cat- egories; what is relevant is the distribution of the prototypical members of the category, where prototypicality is notionally defi ned. Prototypical nouns, for instance, denote concrete, discrete, stable entities. Syntax, as well as phonology, is grounded. Groundedness ensures that only the prototypical behaviour of semantically prototypical members of a category determines its basic syntax; and this syntax refl ects the semantic properties. Groundedness fi lters out potential syntac- tic analyses that are incompatible with this. For instance, given the diverse semantic characters of prototypical nouns and verbs, groundedness predicts that the X-bar theory of syntactic structure, which attributes parallel projections to lexical categories, is false. Consideration of the syntax of nouns and verbs confi rms that this is indeed the case. The attribution to syntax of categorial autonomy without grounding should be abandoned. Introduction 0XFKUHFHQWZRUNLQV\QWD[DVVXPHVWKH‘DXWRQRP\RIV\QWD[’V\QWDFWLFJHQ HUDOLVDWLRQVDUHEHVWUHJDUGHGDVLQGHSHQGHQWRIZKDWDUHUHJDUGHGDVH[WUDV\Q WDFWLFFRQVLGHUDWLRQV–VHPDQWLFSUDJPDWLFSKRQRORJLFDOVRFLDO…$OOHJHG HQKDQFHPHQWVRI‘DXWRQRP\’DUHYDOXHGVRWKDWWKHDYRLGDQFHRIDSSHDOVWRZKDW PLJKWEHFRQFHLYHGRIDV‘JURXQGHG’HOHPHQWVZKLFKDUH DWOHDVWSDUWLDOO\EXW QHFHVVDULO\ VHPDQWLFDOO\GHWHUPLQHGLVSUHVHQWHGDVDGHVLUDEOHSXUVXLWVHHHJ :LONLQV ZKRYLQGLFDWHVLQWKHVHWHUPVKHUDVVLJQPHQWRIUHflH[LYLVDWLRQ ZLWKLWVDSSDUHQWGHSHQGHQFHRQ‘WKHPDWLFUROHV’DQGFRUHIHUHQFHWRWKHVHPDQ WLFVUDWKHUWKDQWRWKHV\QWD[,VKDOOVXJJHVWKHUHWKDWWKHFXOWRI‘DXWRQRP\’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‘IXQFWLRQDO’ DSSURDFKHVWRJUDPPDU%XWWKHUHDUHDWOHDVWWZRFRQVLGHUDWLRQVWKDWPDNHWKH IROORZLQJZRUWKSXUVXLQJKHUH ,QWKHfiUVWSODFHWKHUHLVWKHJHQHUDOODFNRIDFNQRZOHGJPHQWWKDWWKHDV VXPSWLRQ RI ‘DXWRQRP\’ LV LWVHOI UHFHQW LV D GHSDUWXUH IURP D FHQWXULHVROG JUDPPDWLFDO WUDGLWLRQ SUHVHQWGD\ ‘IXQFWLRQDOLVWV’ DQG ‘QRWLRQDOLVWV’ LQKHULW D ORQJWUDGLWLRQZKRVHGLVWLQFWLYHYLHZVDUHVWLOOUHOHYDQW,KDYHLQPLQGZRUNLQ ‘WUDGLWLRQDO’ SUHVWUXFWXUDOLVW JUDPPDUDQGLQHDUO\(XURSHDQVWUXFWXUDOLVP,W LVWKH‘DXWRQRP\RIV\QWD[’DVVXPSWLRQWKDWLVDKLVWRULFDODEHUUDWLRQQRWMXVWD GHYLDWLRQIURPRWKHUUHFHQWDSSURDFKHV6HFWLRQRIWKLVSDSHUWKXVVSHOOVRXW VRPHRIWKHEDFNJURXQGWRWKHGHYHORSPHQWRIWKHQRWLRQRIWKH‘DXWRQRP\RI V\QWD[’DQGVSHFLfiHVZKDW,WKLQNLVLQYROYHGLQVXFKDQDVVXPSWLRQ WKRXJKVHH $QGHUVRQEIRUPRUHH[WHQVLYHGLVFXVVLRQRIWKLVKLVWRU\ 6HFRQGO\,VXJJHVWKHUHWKDWWKHDGRSWLRQRIDQRWLRQDODQGIXQFWLRQDOED VLVIRUV\QWD[LVQRWWREHRSSRVHGWR‘IRUPDOJUDPPDU’WKHRSWLPDO‘IRUPDO’ GLVWULEXWLRQDOO\VXSSRUWHG JUDPPDUKDVDQRWLRQDOEDVLV6HFWLRQGLVFXVVHV DIHZV\QWDFWLFSKHQRPHQDWRZKRVHH[SUHVVLRQUHIHUHQFHWRVHPDQWLFVVHHPV WREHDSSURSULDWHDQGVXJJHVWVWKHVHDUHQRWXQW\SLFDO–WKRXJKDVSHFWVRIV\Q WD[PD\EHFRPH‘URXWLQLVHG’OHVVVHQVLWLYHWRQRWLRQDOFRQVLGHUDWLRQV7KLVLV DWRSLFZKLFKLVWDNHQXSLQWKHFRQFOXVLRQ6HFWLRQVKRZVIXUWKHUWKDWLWLV PLVOHDGLQJWREDVH‘IRUPDO’DFFRXQWVRIWKHV\QWD[RIFDWHJRULHVRQDQ\WKLQJEXW WKHEHKDYLRXURIQRWLRQDOO\SURWRW\SLFDOPHPEHUVRIWKHFDWHJRU\7KHRSWLPDO IRUPDO DQDO\VLV FDQQRW EH VHOHFWHG RQ SXUHO\ GLVWULEXWLRQDO VHPDQWLFIUHH JURXQGVZKHWKHURUQRWWKHVHDUHSRVLWHGDVSDUWRI‘XQLYHUVDOJUDPPDU’ 1. The autonomy of syntax ,WLVQRWFRQWURYHUVLDOWRVD\WKDWVWUXFWXUDOLVWVVWURYHWRHVWDEOLVKWKH‘DXWRQRP\ RIOLQJXLVWLFV’ IURPRWKHUGLVFLSOLQHV WKRXJKWKLVJRDOLVLQLWVHOIFRQWURYHUVLDO VHHHJ1HZPH\HU %XWWKLV‘JOREDO’DSSOLFDWLRQRIDXWRQRP\LVQRWWKH PDMRUIRFXVKHUH5DWKHUP\FRQFHUQZLOOEHZLWKUHFHQWSURSRVDOVFRQFHUQLQJ WKHDXWRQRP\RIYDULRXVDVSHFWVRIOLQJXLVWLFVWUXFWXUHVSHFLfiFDOO\RIV\QWD[ 7KHDWWLWXGHLQYROYHGLVUHflHFWHGLQIRUPXODWLRQVVXFKDV5DGIRUG’V‘DXWRQRPRXV V\QWD[SULQFLSOH’ $8721202866<17$;35,1&,3/( 1RV\QWDFWLFUXOHFDQPDNHUHIHUHQFHWRSUDJPDWLFSKRQRORJLFDORUVHPDQWLFLQIRU PDWLRQ 7KLVLVGHULYHGPRUHLPPHGLDWHO\IURP&KRPVN\ %XW&KRPVN\ DOUHDG\LQVLVWVRQ‘V\QWDFWLFDXWRQRP\’‘,WKLQNWKDWZHDUHIRUFHGWRFRQ FOXGHWKDWJUDPPDULVDXWRQRPRXVDQGLQGHSHQGHQWRIPHDQLQJ…’ (OVHZKHUH &KRPVN\ DFNQRZOHGJHV WKH ‘VWUXFWXUDOLVW’ EDFNJURXQG WR VXFK LGHDVDVSDUWRIDFRQFOXGLQJDXWRQRPLVW‘FUHGR’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fiFDQWH[WHQWRIFRQGLWLRQV RIPHDQLQJDQGXVH +RZHYHUHOVHZKHUHDJDLQ&KRPVN\LQVLVWVRQWKHOLPLWVRIWKHFRQWULEXWLRQRI ZKDWKHUHIHUVWRDV‘PRGHUQGHVFULSWLYHOLQJXLVWLFV’ 2QWKHRWKHUKDQGLWVHHPVWRPHWKDWWKHVXEVWDQWLYHFRQWULEXWLRQV>RI‘PRGHUQGH VFULSWLYHOLQJXLVWLFV’@WRWKHWKHRU\RIODQJXDJHVWUXFWXUHDUHIHZDQGWKDWWRDODUJH H[WHQWWKHFRQFHSWVRIPRGHUQOLQJXLVWLFVFRQVWLWXWHDUHWURJUHVVLRQDVFRPSDUHGZLWK XQLYHUVDOJUDPPDU %XWLQVRIDUDVWUDQVIRUPDWLRQDOJHQHUDWLYHJUDPPDUPDLQWDLQHGDQGH[WHQGHG WKH DXWRQRPLVW SRVLWLRQ DGRSWHG E\ WKH LPPHGLDWH IROORZHUV RI %ORRPfiHOG UHSUHVHQWHG E\ WKH FRQWULEXWLRQV WR -RRV – WKRXJK WKLV LV DGPLWWHGO\ VFDUFHO\KRPRJHQHRXV ZKRDUHSUHVXPDEO\WREHLQFOXGHGLQWKHUHIHUHQWVRI KLV‘VWUXFWXUDOOLQJXLVWLFV’DQG‘PRGHUQGHVFULSWLYHOLQJXLVWLFV’LWFDQEHVDLGWR UHSUHVHQWDIXUWKHUVWHSEDFNIURPHQJDJLQJZLWKWKH‘SKLORVRSKLFDO’JUDPPDU WUDGLWLRQZKRVHLGHDVRQ‘XQLYHUVDOJUDPPDU’&KRPVN\DSSDUHQWO\KDVLQPLQG 7KHGHEWRIWUDQVIRUPDWLRQDOJUDPPDUWRWKH$PHULFDQVWUXFWXUDOLVWVZKRSUH FHGHGWKHPKDVEHHQXQGHUHVWLPDWHGWKHGHEWWR‘XQLYHUVDO’RU‘SKLORVRSKLFDO’ JUDPPDUKDVEHHQPXFKH[DJJHUDWHG%HIRUH,WDNHXSWKHH[WHQWRIWKHGHEW WRWKH‘%ORRPfiHOGLDQV’OHWXVFRQVLGHUWKHODFNRIWKHFODLPHGGHEWWR‘SKLOR VRSKLFDO’JUDPPDUV &KRPVN\ GHFODUHVWKDW‘,WKLQNWKDWZHKDYHPXFKWROHDUQIURP DFDUHIXOVWXG\RIZKDWZDVDFKLHYHGE\WKHXQLYHUVDOJUDPPDULDQVRIWKHVHY HQWHHQWKDQGHLJKWHHQWKFHQWXULHV’%XWKLVHTXDWLRQ LELG RI‘GHHSVWUXFWXUH’ ZLWKWKH‘XQGHUO\LQJ’FRQVWUXFWVRIWKHVHJUDPPDULDQVFDQQRWEHVDLGWRFRPH IURPVXFKD‘FDUHIXOVWXG\’$QGWKLVLPSUHVVLRQLVQRWGLVDEXVHGE\DUHDGLQJ RI&KRPVN\ D ,QGHHGSDVVDJHVOLNHWKHIROORZLQJFRQFHUQLQJWKH3RUW 5R\DO*UDPPDU /DQFHORW $UQDXOG PDNHTXLWHWUDQVSDUHQWWKHLQDS SURSULDWHQHVVRIVXFKDQHTXDWLRQ 7KHLGHQWLW\RIGHHSVWUXFWXUHXQGHUO\LQJDYDULHW\RIVXUIDFHIRUPVLQGLIIHUHQWODQ JXDJHVLVIUHTXHQWO\VWUHVVHGWKURXJKRXWWKLVSHULRGLQFRQQHFWLRQZLWKWKHSUREOHPRI KRZWKHVLJQLfiFDQWVHPDQWLFFRQQHFWLRQVDPRQJWKHHOHPHQWVRIVSHHFKDUHH[SUHVVHG &KDSWHU9, RI WKH 3RUW5R\DO *UDPPDU FRQVLGHUV WKH H[SUHVVLRQ RI WKHVH UHODWLRQV LQFDVHV\VWHPVDVLQWKHFODVVLFDOODQJXDJHVRUE\LQWHUQDOPRGLfiFDWLRQDVLQWKH FRQVWUXFWVWDWHLQ+HEUHZRUE\SDUWLFOHVDVLQWKHYHUQDFXODUODQJXDJHVRUVLPSO\ E\ fi[HG ZRUG RUGHU DV LQ WKH FDVH RI WKH VXEMHFWYHUE DQG YHUEREMHFW UHODWLRQV LQ )UHQFK…1RWLFHWKDWZKDWLVDVVXPHGLVWKHH[LVWHQFHRIDXQLIRUPVHWRIUHODWLRQV LQWRZKLFKZRUGVFDQHQWHULQDQ\ODQJXDJHWKHVHFRUUHVSRQGLQJWRWKHH[LJHQFLHVRI WKRXJKW7KHSKLORVRSKLFDOJUDPPDULDQVGRQRWWU\WRVKRZWKDWDOOODQJXDJHVOLWHUDOO\ KDYHFDVHV\VWHPVWKDWWKH\XVHLQflHFWLRQDOGHYLFHVWRH[SUHVVWKHVHUHODWLRQV2QWKH FRQWUDU\WKH\UHSHDWHGO\VWUHVVWKDWDFDVHV\VWHPLVRQO\RQHGHYLFHIRUH[SUHVVLQJ WKHVHUHODWLRQV D 7KH ‘UHODWLRQV’ H[SUHVVHG LQ WKLV YDULHW\ RI ZD\V DUH FOHDUO\ LQ &KRPVN\’V RZQ ZRUGV LW VHHPV ‘VHPDQWLF FRQQH[LRQV’ QRW HOHPHQWV LQ DQ DXWRQRPRXV ‘GHHS VWUXFWXUH’ WKH V\QWD[ RI VXFK ‘SKLORVRSKLFDO’ JUDPPDUV DUH JURXQGHG LQVHPDQWLFV&K9,RIWKH3RUW5R\DO*UDPPDURIIHUVQRWLRQDOGHfiQLWLRQVRI PRUSKRORJLFDOFDVHVDQGSUHSRVLWLRQVWKDWH[SUHVVWKHVH‘FRQQH[LRQV’MXVWDV WKHLPPHGLDWHO\SUHFHGLQJFKDSWHUVDUHFRQFHUQHGZLWKWKHVHPDQWLFGHfiQLWLRQ RIQRXQVDQGQXPEHUDQGJHQGHU%XW‘GHHSVWUXFWXUH’GRHVQRWfiJXUHDPRQJ WKH‘H[LJHQFLHVRIWKRXJKW’ ,WLVUDWKHUWKHDVVXPSWLRQWKDWJUDPPDULVVHPDQWLFDOO\JURXQGHGWKDWKDV PXFKLQFRPPRQZLWKYLHZVH[SUHVVHGLQWKHWUDGLWLRQRI‘SKLORVRSKLFDO’JUDP PDUVZKLFKflRZHUHGSDUWLFXODUO\LQWKHVHYHQWHHQWKDQGHLJKWHHQWKFHQWXULHV $ODWHUH[DPSOHRIWKHVHWKDWLVW\SLFDOLQWKLVUHVSHFWLV-DPHV+DUULV’+HUPHV ZKHUHKHDWWULEXWHVVHPDQWLFSURSHUWLHVWRWKHZRUGFODVVHV‘VXEVWDQFH’ IRU QRXQV ‘HQHUJ\’ IRU YHUEV FRPELQHG ZLWK ‘DVVHUWLRQ’ LQ WKH FDVH RI fiQLWH YHUEV HWF 6XFK LGHDV FDQ EH WUDFHG EDFN SDUWLFXODUO\ WKURXJK UHQDLVVDQFH ‘SKLORVRSKLFDO’JUDPPDULDQVWRWKHSKLORVRSKHUVRIFODVVLFDO*UHHFH