The Syntax of Japanese Honorifics [Reprint 2017 ed.] 9027907412, 9789027907417, 9783110812800

Table of contents :
PREFACE
TABLE OF CONTENTS
2. THE BASE RULES
3. THE LEXICON
4. THE POLITE AND FORMAL TRANSFORMATIONS
5. SOME ADDITIONAL PROBLEMS
APPENDIX A. CONVENTIONS
APPENDIX Β. JAPANESE GRAMMAR
BIBLIOGRAPHY
INDEX

Citation preview

THE SYNTAX OF JAPANESE H O N O R I F I C S

JANUA LINGUARUM STUDIA MEMORIAE NICOLAI VAN WIJK DEDICATA edenda curat

C. H. VAN SCHOONEVELD INDIANA UNIVERSITY

SERIES PRACTICA 102

1970

MOUTON T H E H A G U E · PARIS

THE SYNTAX OF JAPANESE HONORIFICS by

GARY DEAN PRIDEAUX THE U N I V E R S I T Y

OF

ALBERTA

G8 1970

MOUTON THE H A G U E · PARIS

© Copyright 1970 in The Netherlands. Mouton & Co. Ν.V., Publishers, The Hague. No part of this book may be translated or reproduced in any form, by print, photoprint, microfilm, or any other means, without written permission from the publishers.

LIBRARY OF CONGRESS CATALOG CARD NUMBER: 72-95009

Printed in The Netherlands by Mouton & Co., Printers, The Hague.

PREFACE

Advances in generative grammar have been rapid and far-reaching. As new data are uncovered, grammars of particular languages are being constantly revised. One of the most important discoveries resulting from such improvements is that the deep structures of sentences must often be far more abstract than had been suspected previously. Consequently, particular analyses quickly become obsolete. This tendency has been especially evident in English studies, but it is also true of Japanese grammars. Recent investigations indicate that several formulations presented in the present work are faulty. In particular, the rather complicated passive, causative, and benefactive rules seem to be inadequate. The benefactive construction seems to be readily derivable from existing, independently motivated rules without the need of a special benefactive transformation. The passive and causative morphemes appear to be better treated as independent verbs which require sentential complements. In this case, passive forms of both transitive and intransitive verbs could be accounted for, while in the present work only transitive passives are allowed. In spite of such deficiencies, it is hoped that the treatment of the various topics presented here, especially the so-called honorifics of Japanese, will provide a firm foundation for further analyses. It is now clear that a proper formulation of the honorifics of Japanese is far more complex than simply the addition of a few optional rules to an existing grammar. An adequate grammar of Japanese must account for the various restrictions and quite complicated levels of politeness available to a native speaker of the language. This work is a slightly revised version of a doctoral dissertation presented to The Univeisity of Texas in 1966. I am especially grateful for the constant guidance and help of Emmon Bach, under whose direction the original work was done. I am also endebted to Robert T. Harms for his tireless assistance and suggestions. To Yasuko and Karou Takata, who acted as my principal informants, I owe special thanks for their patience and friendship. Finally, I should like to thank my wife, Ann Prideaux, for her continued encouragement and editorial assistance. The original work was made possible at The University of Texas through NDEA Fellowships, while revisions were supported by a Research Grant from the University of Alberta. This book has been published with the help of a grant from the Humanities Research Council of Canada using funds provided by the Canada Council. Tottori-shi, Japan May 1968

G.D.P,

TABLE OF CONTENTS

Preface

5

1. The Problem 1.1 Polite and Formal Language 1.2 Previous Studies of the Honorifics 1.3 Transformational Treatments of Japanese 1.4 Revisions in the Transformational Model

9 9 11 15 19

2. The Base Rules 2.1 Definitions 2.2 The Branching Rules 2.3 The Feature Rules

23 23 24 28

3. The Lexicon 3.1 The Nature of the Lexicon 3.2 Subcategorizational Features 3.3 Selectional Features 3.4 Additional Features

35 35 37 40 42

4. The 4.1 4.2 4.3 4.4 4.5

45 45 47 54 59 60

Polite and Formal Transformations The Nature of the Transformations Copula and Formality Transformations Politeness Transformations Titles Imperatives

5. Some Additional Problems 5.1 Introduction 5.2 Adverbs 5.3 Pronouns 5.4 The Phonological Component 5.5 A Second Alternative Grammar

63 63 63 68 71 75

8

TABLE OF CONTENTS

Appendix A. Conventions Appendix 1. 2. 3. 4.

B. Japanese Grammar Base Component Sample Lexicon Transformational Component Phonological Component

77 79 79 81 85 101

Bibliography

104

Index

106

1. THE PROBLEM

1.1 POLITE AND FORMAL LANGUAGE

A distinction is made in modern Japanese between the colloquial and the learned language. This distinction is based primarily "...on the inflection; all levels of the learned language use the classical verb system."1 In this study I shall consider only the colloquial language. The only inflected forms in modern colloquial Japanese are the verbs, although other classes such as the nouns may take prefixes marking them as polite. Verbs are not marked for person, number, or gender, but rather they are inflected obligatorily for tense (past or non-past) and optionally for aspect (durative, completive, preparatory, or transitive stative). In addition the verb may enter into a number of modal constructions and further may take one of a number of tenseless connectors which serve to join two sentences. If such a connector is used, the tense of the verb is deleted, and the tense of the conjoined string of sentences is provided by the tense of the verb of the final sentence. Forms usually considered as adjectives are better classed as verbs, since they are obligatorily inflected for tense (though not for aspect or mode). The verb characteristically appears in sentence final position, except for an optional final particle or connector, and the adjectives also follow this pattern (with the minor exception that the copula is added in formal constructions). Attributive constructions using adjectives and those using verbs are exactly alike. In both cases the adjective, or the verb, immediately precedes the noun being modified. For example: akai hon kinoo katta hon akakatta hon

'(a) red book' '(the) book (I) bought yesterday' '(the) book which was red'

In all such constructions, the verb (or adjective) which is inflected for tense immediately precedes the noun. 1

W. P. Lehmann and Lloyd Faust, A Grammar of Formal Written Japanese (Cambridge, Harvard University Press, 1951), p. 1.

10

THE PROBLEM

The strongest reason for considering adjectives to be verbs is that such a choice simplifies the grammar in significant ways. For example, the various rules in the base which assign features to the verbs would have to be stated separately for adjectives if the latter were not considered as verbs. Also, the various transformations which adjust embedded sentences used as modifiers would be more complex if the adjectives were considered separately from the verbs. Further, the total number of lexical categories is reduced, and all the rules operating on them consequently shortened if this choice is made. The savings obtained by considering adjectives as a subclass of verbs in Japanese raises the question of the independence of 'adjective' as a lexical category in other languages. (Lexical and grammatical categories make up the set of terminal categories of the grammar. The term TERMINAL CATEGORY is taken here in the technical sense defined in Chapter II. A TERMINAL CATEGORY refers to an element in a branching rule of the base component of the grammar which is rewritten as a matrix of features.) Γη several Indo-European languages, the traditional adjective is inflected to agree with the noun it modifies. In Spanish, for example, the adjective agrees with the modified noun in gender and number, while in Sanskrit, the agreement is in gender, number, and case. However, these agreements can be accounted for by late transformations in the grammar, and there are reasons for formulating even these IndoEuropean adjectives as a subclass of verbs in the base component of the grammar. The agreement rules would then be a late set of transformations. Absence of the lexical category of adjective, if established on independent grounds (those of internal simplification of the grammar) within several languages, would suggest the possibility of eliminating the category from a universal inventory of lexical categories from which individual transformational grammars draw. The absence of 'adjective' and of as many other lexical catagories as possible could effect a considerable savings in the grammars of individual languages. Such a saving could be accomplished much in the same way as it is in the present grammar of Japanese. That is, if adjectives were not considered as a subclass of verbs, then those rules which apply to both adjectives and verbs would have to be stated separately, but if the adjective is considered a subclass of verbs, then the same transformations can be stated in terms of the verb and will automatically apply to the adjectives as well. Of course, the absence of the lexical category of 'adjective' does not mean that the classes traditionally called adjectives do not exist in such languages as Japanese or English or Sanskrit, but rather that if the 'adjectives' are formulated as a part of another lexical category, then the grammar can conceivably be simplified. The claim that the adjective is universally a subclass of the lexical category of verb is an empirical hypothesis and must be tested. (Empirical testing of the claim can either support or disprove it, and the testing will consist of providing alternative analyses and choosing the simpler.) For simplicity of reference, I shall continue to use the term 'adjective' to refer to the subclass of verbs containing the feature [-Vb]. In addition to the constructions mentioned above, the Japanese verb also enters

THE PROBLEM

11

into formations which indicate various levels of politeness of speech. These several constructions function in some cases to indicate deference to the person or thing spoken to or about, and in other cases to show humility on the part of the speaker. The verbal formations in the polite language are quite complex and may involve periphrastic constructions, or suffixes identical in form to the passive and causative morphemes, or both. In addition, several suppletive forms are used in the polite language to replace expected forms. Some nouns may also function as polite forms by the addition of prefixes such as go or o, while other nouns may belong to a class whose members can be used only politely. As a result of these complexities, a great many levels of politeness are available to the speaker of colloquial Japanese, and the differences between certain of the levels is often very delicate and difficult to define. A concord of politeness levels exists between the subject noun of a sentence and its verb. However, this concord is often obscured by the fact that one noun may at different times be used at several different levels. For example, the noun sensee 'teacher' may be used as a sort of pronoun when one is addressing one's teacher. In some cases the verb forms referring to sensee may be very elevated and will show a great deal of respect for the person. Or, perhaps, less elevated forms may be used, with a corresponding lessening of the deference. When referring to sensee as a 'third person' noun or pronoun, ordinary polite or plain, formal or informal, verbal constructions may be used. With other nouns, polite levels would never be used. If, for example, the subject of a sentence is omae 'you', a very informal, intimate form, a polite verbal construction would be quite out of place. The range of levels of politeness and the relationship between verbal and nominal forms in a given sentence are quite complex. Yet such relationships are integral, productive parts of the language which often seem quite elusive to foreigners learning Japanese. My aim in this study is two-fold. I will (1) provide a formulation of Japanese syntax in terms of recent developments in transformational grammar, in the context of which I will (2) attempt to provide a rather complete analysis of the levels of politeness, the so-called 'honorifics' of Japanese. 1.2 PREVIOUS STUDIES OF THE HONORIFICS

Relatively few treatments of the politeness levels are available, but it is worthwhile to review some of the more important briefly. I will try to make clear the areas in which these analyses agree in order to establish a foundation for a further analysis. Traditional Japanese grammarians are basically taxonomic in method and are quite concerned with giving the proper names to various constructions existing in their language. Okamoto Uichi, in his Nihongo hyoogen bunten2 discusses the polite language in three separate chapters. He cites various constructions which are polite 2

Uichi Okamoto, Nihongo hyoogen bunten (Tokyo, Kokusai Bunka Shinkookai, 1944).

12

THE PROBLEM

in their use, and gives examples of situations in which they would be used. He defines keego as forms which show respect and adoration and which are not used with reference to oneself. Kengo are defined as the suppletive forms used humbly, and teeneego are forms which are used to show both humility and elegance of speech. Hashimoto Shinkichi in his Shin bunten bekki3 follows traditional grammar much the same as Okamoto. Early studies of Japanese written in English were highly influenced by traditional Japanese grammars. For example, Chamberlain's A Simplified Grammar of the Japanese Language4 follows the Japanese grammatical tradition, but is limited to a treatment of the modern written style. The treatment of the honorifics is meager and limited to a few short passages. In Elisseeif and Reischauer's Elementary Japanese for University Students5 the polite language is mentioned only in passing and is not developed at all. Sansom's An Historical Grammar of Japanese6 again follows closely the traditional grammars, but there is some discussion of the passive and causative formations used as honorifics. Sansom attempts to date the beginning of certain polite formations in the language but provides no description of the full range of forms or their usage. Henderson's Handbook of Japanese Grammar1 is basically a restatement of the classical grammar. Yamagiwa in his Modern Conversational Japanese8 breaks with the traditional grammars in his attempt to discuss the colloquial forms only. He provides a chapter on the use of the polite language and cites many illustrations of the forms. His analysis is brief, and incorporates no description of the politeness concord operating between subject and verb. An early study of Japanese done by a modern structural linguist is that of Bernard Bloch. In his "Studies in Colloquial Japanese II : Syntax",9 Bloch goes to considerable length to define the various levels of speech and their use. Using the term PREDICATE to mean a verb, adjective or copula he states, "Stylistically, a predicate is either in the PLAIN or in the POLITE STATE." And, "... the use of the PLAIN and POLITE predicates... characterizes different styles or levels of discourse."10 He distinguishes three such levels, PLAIN, NORMAL POLITE OF CONVERSATION, and HONORIFIC. The PLAIN level contains the INFORMAL and the EXPOSITORY, the former being used among friends or by one addressing a socially inferior person. The EXPOSITORY style is used by lecturers, * Shinkichi Hashimoto, Shin bunten bekki (Tokyo, Huzanbo, 1948). 4 Basil Hall Chamberlain, A Simplified Grammar of the Japanese Language {Modern Written Style) (Chicago, University of Chicago Press, 1924). 6 Serge Elisseeff and Edwin O. Reischauer, Elementary Japanese for University Students (2d ed.; Harvard-Yenching Institute; Cambridge, Harvard University Press, 1942). * George Bailey Sansom, An Historical Grammar of Japanese (Oxford, Clarendon Press, 1928). 7 Harold G. Henderson, Handbook of Japanese Grammar (London, George Allen & Unwin, Ltd., 1945). * Joseph K. Yamagiwa, Modern Conversational Japanese (New York and London, McGraw-Hill, Inc., 1942). " Bernard Bloch, "Studies in Colloquial Japanese II: Syntax", Language 22 (1948), 200-248. Reprinted in Readings in Linguistics (hereafter RiL), ed. Martin Joos (New York, American Council of Learned Societies, 1957), pp. 154-185. 10 Bloch, p. 163 (RiL).

THE PROBLEM

13

teachers, radio commentators and the like. Both of these subgroups of the PLAIN style have predicates in the plain state. For Bloch, the NORMAL POLITE STYLE OF CONVERSATION is used for addressing a stranger, a casual acquaintance, or an older member of one's family. This level is characterized by the use of masu with final predicates. Bloch's highest level is the HONORIFIC. Here, too, masu is used, but in addition the usual verb forms are replaced either by suppletive forms which are used exclusively as honorifics, or else the verbs undergo morphological changes of various types. This HONORIFIC level is used by: ... persons of low social rank in addressing a superior, by women also addressing an equal, and by anyone in speaking deferentially to a person of high rank or to an equal in certain social situations — thus, when acting as host or guest. The honorific style uses a great variety of ceremonious circumlocutions and many special terms with connotations of humility and esteem; it resembles the most courteous variety of the normal polite style in having nearly all inflected expression in the polite style.11 Bloch's analysis of the various levels of speech may be represented by the following diagram. Level I I ' ! Normal Polite T l 1 Plain . _ Honorific I of Conversation I I Informal Expository I I (taberu) (de arti) tabemasu mesiagarimasu Under the heading of'honorific' come all the various types of polite language including both elevated speech and humble speech, and Bloch's classification does not distinguish between these types as specific sublevels of the honorific level. He does not discuss the cooccurrence restrictions of politeness that exist between the subject noun and the verb in a given sentence, quite possibly because such a concord is often obscured in the surface structure. The classification that Bloch suggests is in no way incorrect, although it is incomplete in that it does not subdivide the honorific level and it does not provide for the politeness concord. Eleanor Harz Jorden, in "The Syntax of Modern Colloquial Japanese",12 differs somewhat with Bloch in the analysis of polite speech, but she agrees that there are three major politeness levels which she designates as HONORIFIC, MEDIUM POLITE, and PLAIN. However, she distinguishes between FORMAL and FAMILIAR constructions. FORMAL constructions use verbs " ...compounded with the verb -masu (which has no lexical meaning but makes a preceding verb more polite).. .".13 The masu form is used with a verb only if it is terminal in a sentence (excepting sentence final particles). 11

Bloch, p. 164 (RiL). Eleanor Harz Jorden, "The Syntax of Modern Colloquial Japanese", Language 31, No. 1 (Part 3) (1955). " Jorden, Syntax, pp. 72-73. 12

14

THE PROBLEM

The HONORIFIC speech, for Jorden, may then be FORMAL or FAMILIAR, depending on the choice of masu. Adjectives used honorifically occur in a special form followed by a form of the honorific verb gozaru. The FORMAL HONORIFIC STYLE is the most polite variety of speech, and corresponds to Bloch's HONORIFIC LEVEL. The FAMILIAR HONORIFIC STYLE (without masu), Jorden states, "...is used most commonly among women who are friends.... The medium polite style is characterized by the use of non-honorific verbs compounded with masu, and of polite forms of the copula." This style is used in "...everyday conversation between men and/or women," and it corresponds to Bloch's NORMAL POLITE STYLE OF CONVERSATION. Jorden continues, "The plain style of speech is characterized by the use of non-honorific verbs without masu in sentence final position. In its formal variety, the gerund of the copula followed by a form of the verb aru... replaces the copula alone."14 Here Jorden differs from Bloch in one significant way — she distinguishes between FORMAL and FAMILIAR and suggests an analysis which provides symmetrically for the occurrence of masu in the plain and polite levels of speech. Later, in her Beginning Japanese,15 Jorden re-evaluates her analysis of the politeness levels, and suggests that there are only two: the POLITE and the PLAIN. Within each of these levels both the formal and the familiar occur. She then divides the polite level into three sublevels which she calls the HONORIFIC, the HUMBLE, and the NEUTRAL. It is within the polite level that the suppletive verbs and the various honorific and humble constructions occur. The HUMBLE level is used in showing deference to the person spoken to or about. The HONORIFIC level is used in reference to the one being addressed, again showing deference. The NEUTRAL level is introduced for constructions using the verb gozaru, which is a polite equivalent of aru 'be' and may be used with reference to either the speaker or the person addressed, where both instances are felt to be polite. Jorden points out that it is considered more polite to elevate another than to lower oneself, and as a consequence there are many more occurrences of the honorific forms than the humble ones. A speaker may well use the plain formal style in reference to himself and the honorific forms in reference to the one he is addressing. Jorden's classification of the various levels of speech may be seen in the following diagram (with examples of each level) : Level Plain Inf.

yomu 14

Polite For.

Honorific

Neutral

Inf. For. Inf. For. I I I I yomimasu irassyaru irassyaimasu gozaru gozaimasu

Humble Inf. ! mairu

For. I mairimasu

Jorden, Syntax, p. 73. " Eleanor Harz Jorden, Beginning Japanese, 2 vols. ( = Yale University Series, 5) (New Haven and London, Yale University Press, 1962).

THE PROBLEM

15

The neutral classification has only one member gozaru 'be'. The honorific verbs include the periphrastic constructions of various types and certain of the suppletive verbs. The humble class contains only suppletive verbs such as itadaku 'take' and itasu 'do' as well as mairu (above) 'come'. The formal forms in both the plain and polite language are marked by masu. Jorden goes further in her classification than Bloch in that she subdivides the polite level. However, Jorden does not provide in her classification or analysis for the cooccurrences of politeness within a sentence. She indicates that polite forms are to be derived from plain forms, and she assumes that the level of politeness is found primarily in the verbs. I have drawn heavily from Jorden's classification, especially for terminology, but I have provided a formal device to account for the politeness concord. In his "Speech Levels in Japan and Korea" 16 Samuel Martin discusses 'axes of reference and address' to account for the various levels of politeness. He is concerned with the factors (such as sex, age, degree of intimacy and social position) which enter into the choice of a level in a given conversation. His sketch of the various levels most closely resembles that of Bloch, and he makes no special mention of the masu forms as unique constructions. Martin feels that in the utterance of a Japanese sentence,the speaker must obligatorily choose from both the 'axis of reference' and the 'axis of address'. This notion is in contrast to the descriptions mentioned earlier, which provide no concord of any kind operating within a sentence and which tend to derive the polite forms from plain ones.

1.3 TRANSFORMATIONAL TREATMENTS OF JAPANESE

Turning to more recent and formal descriptions of Japanese, one finds several transformational grammars available. One of the earliest, Richard Smith's "A Transformational Sketch of Japanese",17 does not include the polite language at all. John J. Chew, Jr.'s "A Transformational Analysis of Modern Colloquial Japanese"18 assumes, rather than states, the phrase structure rules, and indeed his grammar is little more than a restatement of Jorden's doctoral dissertation. Chew states that "It is the thesis of transformational theory that sentences...are most simply and effectively described as transformations of sentences... which can be easily described in terms of IC." 19 The 'transformations' that Chew describes are no more than IC 16 Samuel E. Martin, "Speech Levels in Japan and Korea", Language in Culture and Society, ed. Dell Hymes (New York, Evanston, and London, Harper and Row, 1964), pp. 407-415. 17 Richard E. Smith, "A Transformational Sketch of Japanese" (unpublished M.A. thesis, The University of Texas, 1962). 18 John J. Chew, Jr., "A Transformational Analysis of Modern Colloquial Japanese" (unpublished Ph.D. dissertation, Yale University, 1961). " Chew, pp. 1-2.

16

THE PROBLEM

restatement formulas, and they resemble the transformations of Harris20 far more than those of Chomsky. Chew derives the various polite constructions from IC strings, and he does not differentiate between optional and obligatory transformations. In his "A Transformational Analysis of Japanese Verbs and Verb Phrases",21 Charles T. C. Tang provides phrase structure rules which generate the plain informal style (to use Jorden's nomenclature), and his later optional transformations account for the formal and various polite constructions. In "The Adnominal Modification in Japanese",22 Akiko Ueda provides a very thorough transformational grammar of the language, but she makes no attempt to include the polite or formal constructions of Japanese. Her analysis is limited to the plain forms, and she states, "... by extension of the rules... the polite forms should also be attained." 23 After the same fashion the transformational grammars of Isami24 and Hasegawa25 both contain only the plain forms of the language. The types and results of the many analyses of Japanese politeness levels are varied. Before proceeding to a further analysis, it will be beneficial to illustrate the various formations a verb may undergo in different levels of politeness. I have followed Jorden's distinction between the FORMAL and the NON-FORMAL.26 All the forms cited below are in the non-past tense, and all have passed through all the transformations and morphophonemic rules (and are hence surface forms). If we consider the nonsuppletive verb yom 'read' in its many levels of politeness, we obtain the following (all the forms have their morphemic constituents indicated below them in parentheses) :

20

Zellig S. Harris, Methods in Structural Linguistics (Chicago, The University of Chicago Press, 1951), pp. 262-298. 81 Charles T. C. Tang, A Transformational Analysis of Japanese Verbs and Verb Phrases, The Lin guistic Approach to English Teaching Series (Taipei, Taiwan, China, The University of Texas English Teachers Retraining Project, 1965). 22 Akiko Ueda, "The Adnominal Modification in Japanese" (unpublished Ph.D. dissertation, The University of Texas, 1965). 2a Ueda, p. 3. 24 Yasuo Isami, "A Generative Grammar of Japanese", The English Teacher's Magazine 13 : No. 8, 24-26, No. 9, 23-25, No. 10,22-24, No. 11,14-16, No. 12, 8-10; 14: No. 1, 13-15, No. 2,19-21, No. 3, 21-24, No. 4, 60-62, No. 5, 78-81, No. 6, 53-55, No. 7, 58-60, No. 9, 58-63, No. 10, 28-30, No. 11, 30-34, No. 12, 26-29 (1966). 25 Kinsuke Hasegawa, "Nihon bunpo siron", Gengo bunka, No. 1 (1964), 3-46. 2 · I have followed Jorden's distinctions here, but for independently motivated reasons — namely that the levels of politeness and formality are introduced in the noun and later a selectional rule gives features representing these levels to the verb. A later rule transfers formality to the tense matrix, permitting the copula to be predicted in all its occurrences. See base rules 21 and 32 and Τ rules 34 and 35.

17

THE PROBLEM

Formal

Non-Formal Plain

yomimasu (yom mas ru)

yomu (yom ru)

Honor.

Humb.

Polite 1. oyomi ni naru (o yom ni nar ru) 2. oyomi asobasu (o yom asobas ru) 3. yomareru (yom rare ru) 4. oyomi ni narareru (o yom ni nar rare ru) 5. oyomi asobasareru (o yom asobas rare ru) 6. oyomi da (o yom da ru) 7. y órnasete itadaku (yom sase te itadak ru) 8. oyomi suru (o yom si ru) 9. oyomi itasu (o yom itas ru)

oyomi ni narimasu (o yom ni nar mas ru) oyomi asobasimasu (o yom asobas mas ru) yomaremasu (yom rare mas ru) oyomi ni nararemasu (o yom ni nar rare mas ru) oyomi asobasaremasu (o yom asobas rare mas ru) oyomi desu (o yom da mas ru) yomasete itadakimasu (yom sase te itadak mas ru) oyomi simasu (o yom si mas ru) oyomi itasimasu (o yom itas mas ru)

The first six polite forms are used honorifically. The third is a passive form, and the passive morpheme rare may be used alone (as in (3)) to make a verb polite or it may be added to already honorific forms to make them even more polite (as in (4) and (5)). The last three forms are humble constructions. Form (7) uses a causative morpheme sase plus a humble verb itadaku. Forms (8) and (9) are similar to each other, but (9) is more polite than (8). Form (6) is an honorific construction using the copula da, and is slightly less polite than (1). The adjective subclass of verbs may also undergo polite formations, but this is limited to only one polite construction, and there is no distinction between honorific and humble polite adjectives. If we consider the adjective samu '(is) cold' we get in the non-past the following forms: Plain: Polite:

Non-Formal samui (samu ru) osamuu gozaru (o sam u gozar ru)

Formal samui desu (samu ru da mas ru) osamuu gozaimasu (o samu u gozar mas ru)

The various levels of politeness and formality which are contained in the verbs of

18

THE PROBLEM

the above examples are provided for in the present grammar by features introduced in the subject noun of the sentence. The hierarchy of features may be diagrammed as follows (the numbers refer to examples cited above in the list of polite forms) : Noun +Polite—

+Formal—

+ Ex— 1 +Defr-

+Elv— r~ +HonI— +Pas— I I 5 2

—I Pas1 +Pas— I I 4 1

(with masu) (without masu)

I +Hmb-

6 9

8 7

In this diagram the feature [±Pas] may occur with either plus or minus Hon, and with the feature [—Elv] (minus elevated). Defr represents deferential. The feature of minus polite represents the plain forms of Jorden. The feature of formality is also chosen in the noun, and [ + F o r ] refers to verbs with the masu suffix while [—For] refers to those without the suffix. The hierarchy above may be compared to the diagrams given for Bloch and Jorden. While it differs substantially from that of Bloch (chiefly by being more detailed), it is quite similar to that of Jorden, the only difference being that the above diagram produces a more complete subclassification of the polite forms than does Jorden's. The features are formulated as binary due to the way the transformations must operate to yield a possible feature of [+Pas] with [ + H o n ] but not with [—Defr], All the features are binary, but binary features are not crucial in the SD of the polite transformations. In Chapter II, where the features are discussed in detail, examples of each of the features in the diagram are provided. The chief advantage of introducing the features of politeness and formality in the noun rather than in the verb is that such a procedure provides a way for accounting for the politeness concord between subject and verb. A full explanation of this procedure is provided in Chapter II. A thorough analysis of Japanese must account for all the above constructions (which represent the various levels of politeness), and must also make clear the relationships that exist between the verbal politeness levels and the nouns which may be used as subjects of the sentences. The available transformational treatments of Japanese either ignore these problems completely or treat them superficially by optional transformations. For example, if an optional transformation is employed to derive a polite construction from a plain one, the rule might be Τ honorific (optional) SD: X, Verb, Τ, X, 2 SC: 2 -» o~Tnrnar.

THE PROBLEM

19

However, such a rule does not represent the underlying politeness concord between the subject noun and the verb. This could have been done in earlier grammars by having an element of politeness chosen along with the subject noun, and later this element could be transferred to the verb. But in fact earlier grammars did not follow this plan, and the levels of politeness and formality were considered unimportant or were handled by optional transformations as above. Such a treatment does not account for what Martin considers the obligatory nature of choosing one of the "axes of reference and address" in the formulation of the sentence. In transformational terms, the deep structure generated by the base must account for the concord and contain the features of politeness and formality. The grammar I have proposed provides a simple way of handling the situation by the use of features, rather than by the use of an additional segment of politeness.

1.4 REVISIONS I N THE TRANSFORMATIONAL MODEL

In An Integrated Theory of Linguistic Descriptions27 Katz and Postal have suggested a reformulation of the transformational subcomponent of a transformational grammar. Their proposal is motivated by the desire to incorporate into the framework of transformational grammar a 'semantic component' which will provide a set of 'readings' for the sentences generated by the syntactic component. They propose that the transformational subcomponent be written so that no 'changes of meanings' are introduced in it. Consequently, the deep structure of the language and all the meaning content would come from the phrase structure rules, and the transformations would serve to convert the deep structure into the surface structure. The semantic component suggested by Katz and Postal is an extension of that proposed by Katz and Fodor in "The Structure of a Semantic Theory".28 In order that the transformational subcomponent of the grammar not change meaning, two basic changes are necessary. First, optional transformations, if they ever occur, must not alter meaning of the deep structure, and second,29 generalized transformations must be eliminated completely. Since such formations as questions, imperatives, and passives were earlier obtained by the use of optional transformations, and were meaning changing, these formulations must be revised. The phrase structure rules must now contain such optional elements as Q, I, and Pas at appropriate points to account for questions, imperatives, and passives in the deep structure. If one of 27 Jerrold J. Katz and Paul M. Postal, An Integrated Theory of Linguistic Descriptions (Cambridge, The M.I.T. Press, 1964). 28 Jerrold J. Katz and Jerry A. Fodor, "The Structure of a Semantic Theory", Language 29 (1963), 170-210. Reprinted in The Structure of Language, eds. Jerry A. Fodor and Jerrold J. Katz (Englewood Cliffs, New Jersey, Prentice-Hall, Inc., 1965), pp. 479-518. 29 The difficulties caused by generalized transformations were pointed out by Katz and Postal, and these difficulties were examined by Chomsky. He suggested that generalized transformations be done away with in his Aspects of the Theory of Syntax (hereafter: Aspects) (Cambridge, The M.I.T. Press, 1965).

20

THE PROBLEM

these elements is chosen, an obligatory transformation with that element, say Q, as part of its structural description will effect the changes desired. If the second proposal, the elimination of generalized transformations, is to be accomplished, another change must be effected in the phrase structure rules. Since one reason for having generalized transformations was to provide for embeddings which led to relative clauses, modificational structures and the like, some provision must now be made in the phrase structure to generate such structures. Chomsky's suggestion is that a recursive element, namely S, be permitted, where none was permitted before. Thus, obligatory transformation rules can use the S (along with its flanking boundaries) to provide the necessary changes to account for the embeddings. The resulting obligatory transformations are in fact not too different in form (e.g., the structural descriptions are quite similar, but with only one string rather than two), from the earlier generalized transformations. With these changes, the semantic component would take as its input the output of the phrase structure rules, and there would be no need for the semantic component to be concerned with the transformations at all. Chomsky, in his Aspects of the Theory of Syntax, has adopted and expanded the ideas proposed by Katz, Fodor and Postal. He has further suggested the introduction of 'syntactic distinctive features' much like those features used in the phonological component of a grammar. Chomsky has proposed that the phrase structure component be replaced by a BASE component which contains two distinct types of rules, the BRANCHING and the SUBCATEGORIZATION rules. The branching rules are essentially like the earlier PS rules, but the subcategorization rules serve to rewrite a lexical or grammatical category as a set of features by means of the notion of the C(OMPLEX) S(YMBOL).30 When an element is rewritten as a CS, it is assigned the set of contextual features which cooccur with that element under the dominance of the immediately preceding node. For example, if there are rules: i. X (Α) Υ (Β) ii. Y -» CS the convention adopted is that Y becomes a set of features, one of which is [ + Y ] and another of which is [+A_B] if both A and Β were chosen in (i). If only A was chosen, the contextual feature assigned to [ + Y ] by (ii) would be [ + A ]. If neither A nor Β were chosen, the contextual feature would be [ + ]. Further subcategorization rules might assign other features to the matrix containing [+Y]. A further convention that I have adopted is that to the matrix formed by the above rules is added the feature of the next higher node (in this case, the feature [+X]). Such an additional convention is quite helpful as I shall show later. A further type of subcategorization rule is a SELECTIONAL rule which may be of the form iii. [+Y]-»CS/a... b 80

Chomsky, Aspects, esp. p p . 111-127.

THE PROBLEM

21

This type of rule assigns to the set of features containing [ + Y ] the feature [+a... ...b] with the specification of a, b, and the intervening places (signified by the dots) determined by given environment for which the rule operates. 31 A convincing argument in favor of Chomsky's formulation in Aspects is that the unnaturally complicated problems of cross-classification are now rendered much simpler and significant linguistic generalizations which were previously unexpressible are now expressible. Separate noun classes need not be set up for human versus nonhuman nouns, for example. Rather, various nouns will have assigned to them features designating such categories as human, concrete, and the like. This formulation provides a much shorter set of base rules than the earlier PS rules, since within the new system the lexicon is a separate part of the base, rather than a set of low-level phrase structure rules. The lexicon is now considered to be an unordered set of entries, each of which has (ideally) three sets of features : the phonological, the syntactic and the semantic. A line dividing the last two sets is quite vague at the present, and it is possible that such a distinction will prove unnecessary. Due to the recency of the analysis proposed by Chomsky and sketched above, none of the available transformational grammars of Japanese employ it. I have provided a grammatical sketch of Japanese which handles the basic syntax of the language, and in addition includes the necessary mechanism for the description of the various levels of speech. This grammar, and the conventions which apply to it, can be found in the appendix. The grammar, and in particular those sections of it which are concerned with the politeness levels, comprise the core of the present study. Since in various situations the choice of specific levels of politeness is obligatory, and since relationships of cooccurrence exist between the various verbal formations and nominal forms in a given sentence, I consider that there is a 'meaning difference' between the various levels of the language. According to the recent model of transformational grammar described above, the semantic input must be accounted for in the base component of the grammar since it is a part of the deep structure of the language. I have provided for all the levels of formality and politeness in the base rules. In the following chapter, I will discuss those rules of the base which are relevant to the problems of levels of politeness. In Chapter III, I will turn to a discussion of the lexicon, and propose a formulation of the several types of features found in lexical entries. In Chapter IV, I will discuss the transformational rules bearing on the problems of formality and politeness levels. Since my grammar provides for a great deal more than those rules concerning politeness and formality, I will use the final chapter to discuss other rules, features and problems which are of interest not only for Japanese but also for transformational theory in general. While I have not considered a semantic component as such, but rather have assumed that within a complete grammar one would have to exist, I shall speak from time to time of semantic considerations. The various conventions which are found in the II

Chomsky, Aspects, pp. 95-97.

22

THE PROBLEM

appendix immediately before the grammar will also be discussed as the need for them arises. I have abbreviated the phonological matrices in the grammar by means of a set of systematic phonemic elements. I shall turn in the last chapter to the question of the phonological notation, and illustrate why a distinctive feature notation is superior to an abbreviation such as I have used. There are, of course, areas of Japanese which my grammar does not handle, or which it handles inadequately. I am especially indebted to the grammars of Tang and Ueda, for while my analysis differs in a marked way from both of theirs, it owes a great deal to their formulations for a considerable part of the basic syntax of Japanese.

2. THE BASE RULES

2.1 DEFINITIONS

The base component of a transformational grammar consists of a set of base rules and the lexicon. I shall be concerned only with the base rules in this chapter. The first twelve rules of the grammar include all the branching rules plus those which convert all the lexical and grammatical categories into matrices of features. The remainder of the rules I have called 'feature rules'. These deal with the addition, development, and transfer of features within already established matrices. For example, within the feature rules the noun matrix is fully developed and the verb is both divided into its two subclasses (of true verbs [+Vb], and adjectives [—Vb]) and subclassified by a selectional rule in terms of the nouns in the sentence. Definitions of the notions of TERMINAL, MAJOR, and LEAST MAJOR CATEGORY and the convention of the 'next higher node' are important to the operation of the base rules. Therefore I will state these definitions and develop the conventions before turning to a discussion of the rules. X is a TERMINAL CATEGORY 1 if there is a base rule of the form X -» CS, and if there are lexical entries containing the feature [+X]. Since the base contains a rule of the form V CS and there are lexical entries in the lexicon which contain the feature [ + V ] (among others), then Fis a terminal category. Other terminal categories of the grammar are N, Det (determiner), Ρ (particle), Adv, Advs (sentence adverb), Τ (tense), and Ind (adverbial indicator of location, time, etc.), some of which are lexical categories and others of which are grammatical categories. 2 A MAJOR CATEGORY is any category that dominates a string containing a terminal category. Some major categories of the grammar are S, NP, Time, and VP. 1

The set of TERMINAL CATEGORIES includes both the LEXICAL CATEGORIES (such as Ν, V, etc.) and GRAMMATICAL CATEGORIES (such as Tense, etc.). The notions of LEXICAL CATEGORY and GRAMMATICAL FORMATIVE are discussed by Chomsky, Aspects, especially pp. 64-65 and pp. 73-74. 2

For a definition of DOMINATES, see Emmon Bach, An Introduction to Transformational Grammars (New York, Chicago, and San Francisco, Holt, Rinehart, and Winston, Inc., 1964), p. 72. For a more formal definition, see Noam Chomsky and George Miller, "Introduction to the Formal

24

THE BASE RULES

A LEAST MAJOR CATEGORY is a category that immediately dominates a string containing a terminal category. Some least major categories in the grammar are Asp, M, VP and NP. All least major categories are also major categories, but not vice versa. If the notion of dominance includes self-dominance (which it may, without causing any harm), then all terminal categories are also least major categories. But this causes no complication. The definition of a least major category is directly relevant to the notion of the 'next higher node' convention. This convention may be stated as follows: If X is a terminal category and Y is the least major category of X with respect to a given derivation, then [+X] -> [+Y]. If a verb V is developed from a VP, when the V becomes a matrix of features, the feature [+VP] is added to the matrix by this convention. Likewise, when Time -* Adv, and Adv-»[+Adv], then [+Time] is added to the Adv matrix. The usefulness of the 'next higher node' convention will become apparent when adverbs are discussed briefly in Chapter V. However, this convention obtains throughout the base rules, so that wherever a terminal category becomes a complex symbol or a feature matrix, the feature representing the next higher category is also a feature of the matrix. Instead of citing a single rule at a time and discussing it, I shall list several rules together and then discuss various interesting problems reflected by that group. I shall omit mention of many of the rules, both base and transformational, in the following chapters in order to limit discussion to points relevant to the present study. The complete grammar, along with the lexicon and the list of conventions, can be found in the appendix. 2.2 THE BRANCHING RULES

The first topic of discussion will be the treatment of the category V, the verb, as reflected in the following rules: 3 3. Pred -» (Time) (Loc) (Dir) (Man) VP^Aux (SF) ÍNP 4. VP - ( ( # s # }) (V) 6. Aux 7. M

(Asp) Τ (M)

•{ν 8. Asp -> V 9. V ->· CS

Τ

{vi

( U T )

Analysis of Natural Languages", Handbook of Mathematical Psychology, II, eds. R. Duncan Luce, Robert R. Bush, and Eugene Galanter (New York and London, John Wiley and Sons, Inc., 1963), pp. 269-321. 3 The numbering of rules here is the same as in the grammar contained in the appendix.

THE BASE RULES

25

The first four optional items on the righthand side of (3) are adverbial elements of time, location, direction and manner. Rule (5), not cited here, provides a treatment of the adverbs by using the 'next higher node' convention. This topic will be discussed in Chapter V. In (3), both VP, the verb phrase, and Aux, the auxiliary, are obligatory, while in (4) nothing is. The VP may therefore be expanded with or without a V, although at least one of the items in parentheses must be chosen. At this point in the grammar no subclassification of V has been made, and consequently it contains both the verb and the adjective subclasses. If V is not chosen in (4), either a noun phrase Ν Ρ or an embedded sentence # S # must be chosen. Such strings might be: ano kata wa sensee Τ 'That person (is) a teacher' ano hana wa kiree Τ 'That flower (is) pretty' *ano hana wa # Taroo ga ik T# Τ '*That flower (is) Taroo goes' Transformations provide that in the absence of V, only the choice of Ν Ρ can lead to a permitted sentence. If # S # is chosen, no transformation erases the boundary symbol # , and by a general convention any string that has passed through the grammar and still contains a non-terminal element, such as # , is blocked. In the absence of V in (4), a transformation will later supply the copula after the Ν Ρ if certain conditions (namely, the SD of T34) are met. The copula is not included in the base of the grammar since it is completely predictable. Separating the copula from the verb class is not a novel idea. Jorden 4 treats the copula separately from the verb, but she considers it to be a predicate form. The copula cannot enter into aspectual constructions, and its shape is quite different from a verb in embedded sentences. All occurrences of the copula can be accounted for by obligatory transformations. A stronger argument for such a treatment, however, is one of simplicity. If the copula were treated as a subclass of the verb, several additional transformations would be needed to account for its various shapes and deletions. Further, the copula would have to be mentioned in the structural description of various transformations where it is otherwise irrelevant. The formal forms of the copula and its polite equivalents are all predictable, but if the copula were a verb, the transformations which assign polite suffixes to verbs would have to be complicated so that they would not operate on the copula. Since the copula does not undergo most of the transformations which apply to verbs, a treatment which adds the copula by a single transformation is much simpler than one which includes several additional transformations and imposes stricter conditions on other transformations. A further, semantic, argument can be brought to bear on the issue. If the copula were a verb, it should have some semantic content not predictable from the other elements in the sentence. However, this is not the case. While yom, a verb, means * Jorden, Beginning Japanese, I, 31.

26

THE BASE RULES

'read' regardless of the other elements in the sentence, the meaning of the copula 'is' is always predictable in the contexts in which it is found. The omission of the copula in certain cases tends to substantiate this claim. Rule (6) develops the Aux into three elements, Asp, the aspect, T, the tense marker, and M, the mode marker. Only Τ is obligatory in this rule. Feature rules will later assign to the tense matrix the features of tense, negativity and formality. Rule (7) indicates that the modal constructions may consist of nouns or verbs, plus T. However, only certain nouns and verbs are permitted in modal constructions. By the 'next higher node' convention these nouns and verbs will be assigned the feature of M, and the lexical entries will indicate whether or not a given form may be used in such constructions. Certain combinations derived from the M will not lead to a final string in the language since no lexical items will fit the environmental features provided. For example, if M were developed into N^T^N^T the second Ν would have the feature [ + N ~ T T]. But no lexical item marked [ + M ] has such a feature, so the string would be blocked due to the presence of non-terminal items. Among the few verbs that can function as modal auxiliaries are ta, the desiderative, and yasu, the facilitative. These forms occur in strings like : watakusi wa sinbun ga yomitai desu Ί want to read the paper' boku ni wa kono sinbun ga yomiyasui 'The paper is easy (for me) to read' Rule (8) indicates that the Asp is developed into a verb V, and when the verb becomes a complex symbol by rule (9), the aspectual verb will be assigned to feature [+Asp]. The later feature rule (24) classes the modal verbs as belonging to the adjective ([—'Vb]) subclass of verbs, while the aspectual verbs belong to the [ + V b ] class of true verbs by rule (23). If rules (7) and (8) were not included in the grammar, but rather the aspect and modal elements went directly to complex symbols, certain linguistically significant generalizations would be missed — namely that some of the aspectual and modal items are formally verbs and others are formally nouns. Further, if these rules were omitted, the transformations which supply suffixes to verbs and which provide the copula in the proper places with nouns would have to be repeated for the modal and aspectual items. This would be a considerable complication in the grammar. Rule (9) provides that the V becomes a complex symbol. By the conventions discussed in Chapter I, the lexical category of the verb now becomes a matrix of features which includes a contextual feature, the feature [ + V ] , and a feature of the next higher node. In order to illustrate these operations, consider the following partial derivation:5

5 In citing matrices of features I shall adopt the notational convention that the bottom, italicized item of the matrix is the phonological spelling of the item. In this example, the phonological shape of the verb is yom.

THE BASE RULES

1 Pred -i 1 VP Aux

NC

NP

27

Time r——I NP r + V +Vb +VP +NP_

ga

yom

In this example, the verb V is derived from the node VP, and the verb has an Ν Ρ object, also from the VP. Therefore, when the verb becomes a complex symbol by rule (9), it acquires the feature [+V], and since it derived from a VP as the next higher node, it acquires the feature [+VP], Since it has an Ν Ρ object also derived from the VP, the verb gets the contextual feature [+NP—]. Later rules assign further features (including selectional features) to the verb matrix. In the following example, consider the derivation of the verb in the Aux. S Γ —I NC Pred 1 r VP Aux I NP Asp ga I

+v

+Asp

In this example, the Asp node is developed into V by rule (8). When the V becomes a complex symbol in rule (9), it acquires the features of [+V] and [+Asp] since Asp is the next higher node for the V. The verb also acquires the feature [ + ], since no other elements except V are derived from Asp. Let us now turn to the development of the noun. Consider the following rules of the base: 2. NC

ΝΡ^α (Det) ( # S # )

10.

NP

12. Χ

)

Ν

CS where X = {Ν, PP, Ind, Adv, Advs, P, Det, T}

28

THE BASE RULES

Rule (2) indicates the nominal complex which functions as the subject of the sentence is developed into an Ν Ρ plus the subject particle ga. Rule (10) develops the Ν Ρ into its various possible types. Det refers to determiners such as kono 'this', and ano 'that'. The # 5" # is an embedded sentence which modifies the following N. Certain Japanese nouns, the 'nominalizers' such as mono 'thing, object', and koto 'fact', must always be preceded by an embedded sentence, and therefore they are entered in the lexicon with the environmental feature [+(Det) # S# ]. The particles ka and mo are qualifiers which may optionally accompany the nouns used as question words. A transformation shifts these particles so that they immediately follow the noun. They are placed before the Ν in (10) to simplify the rule and also to simplify the SD of several transformations involving the question words. Ka means something like 'some' in 'something'. Thus, dare 'who' and nani 'what', but dare ka 'someone' and nani ka 'something'. Mo is a universalizer, which, when occurring with a positive verb, means 'all .' and when occurring with a negative verb means 'no '. Thus, dare mo kimasita 'everyone came', and dare mo kimasen desita 'no one came'. Rule (12) states that Ν (as well as other elements) becomes a complex symbol. In the matrix of features developed from the noun, other features are introduced and developed. This development is carried out by the feature rules.

2.3 THE FEATURE RULES

is interpreted as meaning to a matrix of features containing aX is added the feature βΥ. Further, aX must be present in the matrix before the rule operates (i.e., the identity criterion obtains). This convention is different from that used with the branching rules, where the arrow is read as 'rewrite as'. Let us consider the following feature rules: 13. [ + N ]

->

14. [+Con] 15. [+An] 18. [ + H u m ] αΙΡ Π

-> -> -» ->

±Con ±Pol ±For [±An] [±Hum] [±1P ] [—aEx ]

21. [ + V ] CS/a'ga..(ß) where α, β are N's, and α, β, V are dominated by the same S with no intervening S's.

THE BASE RULES

29

The first of these rules indicates that to the matrix containing [ + N ] are added three features: plus or minus concrete, plus or minus polite, and plus or minus formal. Immediately the question arises as to why these features are introduced in the noun rather than in some other matrix, such as that of the verb. Concreteness is a property of nouns, but the suffixes indicating politeness and formality are added to verbs (though some polite prefixes are added to nouns). Rules (14) through (18) indicate that the feature of concreteness is further developed in the noun matrix by the addition of features of animateness, humanness, and first person. The lexical categories of verb and noun are the two for which the features mentioned above are relevant. Consequently, two choices are available for treating the features. The first is to introduce and develop the features in the noun matrix, then provide a selectional rule, such as (21), to subcategorize the verb in terms of the nouns and other items which cooccur with it in a sentence. The second alternative is to introduce the features in the verb, develop them there, and then have a selectional rule subclassify the nouns in terms of the verbs. (A third alternative might be to introduce features in both the noun and verb matrices independently and then provide some sort of device for matching features and zeroing out those that do not match. This choice is immediately rejected because of its unnatural and unnecessay complexity — namely the problem of providing the formal apparatus for matching and zeroing out the features.) Chomsky has provided convincing arguments for the first alternative. He demonstrates that if the verb were given the features of animateness, concreteness, and the like, and if nouns were subclassified in terms of the verbs, then the nouns would have to be provided with features to indicate that they were the subject of an 'abstract' verb and the object of an 'animate' verb. This might be done with features like [+pre— [+Abstract], —Subject, pre— [+An], —Object], and other such complicated features. He concludes by stating In short, the decision to choose the complex symbol analysis of Verbs independently and to select Nouns by a selectional rule in terms of Verbs leads to a considerable complication in the grammar.® Chomsky's English arguments are applicable to Japanese for such features as concreteness and animateness, but justification must still be provided for introducing politeness and formality in the noun instead of in the verb, where most of the affixes are added. But again, the justification for introducing these features in the noun matrix is that such a procedure will simplify the grammar considerably. As pointed out earlier, a concord of politeness and formality exists between the subject and the verb in a Japanese sentence, although this concord is often obscured by the fact that a given noun may sometimes be used with several levels of politeness (or formality). If rules (13) through (19) are adopted as above, a form like sensee 'teacher' may be unmarked for politeness in the lexicon, and the politeness level will be provided by * Chomsky, Aspects, p. 115.

30

THE BASE RULES

the base rules. However, a form like boku Τ would be marked as [—For] in the lexicon, and it could not be inserted in a matrix containing the feature [+For], Suppose, however, that the features of concreteness, animateness, and the like were introduced in the noun but the features of politeness and formality were introduced in the verb. A verb would still need selectional rule (21) in order to subclassify it properly in terms of the features of the noun which acts as subject (and object nouns too, since some verbs must have inanimate objects, etc.). But a further selectional rule would be necessary to subclassify nouns in terms of features in the verb matrix. Such a rule would be of the form : *· [ + N ] - CS/

... β, where β is a V.

The complications that this rule adds to the grammar are considerable. First, an extra rule, the one cited above, would be added to the grammar. Second, rule (21), which would still be in the grammar, would provide the verb with features like [+[+N,+Con,+An,..-Yga... ]. Then, rule (*) would operate to put back into the noun matrix a feature of even more complexity, perhaps like +[+V,+

^ f l . . . [ + [ + N , +Con, + A n , . . . r * e . . .

],...].

Such a rule adds redundant information to the noun matrix. However, if politeness and formality were introduced in the noun matrix, as proposed in (13), then only one selectional rule, (21), is needed to account for all the concord and subclassification complexities of the verb. Yet a further complexity is introduced if politeness and formality are introduced in the verb. The level of politeness is subdivided as to whether the noun is positively or negatively specified for first person. The term 'first person' really has nothing to do with pronouns in the usual Indo-European sense. It instead refers to an 'in-group/ out-group' distinction. Forms glossed as Ί , we, us' and those glossed as 'my father, our younger brother, my older sister' are all marked as [-f- IP]. Further, a sharp distinction exists between polite forms marked [+1P] and those marked [—IP]. In the rules, the feature of exaltedness, indicated by Ex, accounts for this distinction, so a noun like anata 'you' (when used politely) is marked as [+Ex], while watakusi Τ is marked as [—Ex], Rules (19) and (21) account for these facts. Rule (21) is a simple 'alpha switching rule'. If politeness and formality were introduced in the verb and later rule (*) operated to subcategorize the noun, an additional rule of considerable complexity would have to replace (22). Such a rule would be of the form : **· [alP, + [—aEx].

~ga.. , [ + V , + [ + N , + C o n , + A n , . . .Tga...

,+Pol]]-

This rule is far more complicated than (22). The strongest argument against the introduction of the features of politeness and formality in the verb is that such a treatment would require the three rules (21), (*), and (**). The implication contained in these rules is that when a verb is subclassified in terms of the nouns, and next the nouns are subclassified in terms of the verb, then

THE BASE RULES

31

the noun is in fact subclassified in terms of itself. The resulting redundancy is unnatural and unnecessary. A far simpler choice is to introduce the features of politeness and formality in the noun matrix, as indicated by (13) through (19). Only a single selectional rule, (21), is needed, and the rules, and also lexical entries for nouns and verbs, are quite simple in form. A final argument, that of 'descriptive adequacy', 7 can be made for introducing politeness and formality in the noun matrix. A native speaker of Japanese, when asked about his use of the polite language, generally says that his choice has to do with the person he is talking to or about. That is, politeness and formality are properties of the nouns which reflect the social situation, and are not chosen on the basis of which verbs are to be used. The following feature rules account for the subclassification of verbs and aspectual verbs: (22)[+V]-[±Vb] ÍNP

l#s# (23)[+V]-[+Vb]/·

ÍAsp — [(Asp) T~M |~+Aspj "+M~

(24)[+V]-[-Vb ]/

+X

where X = {Time, Loc, Dir, Man}

Rule (22) indicates that to a verb matrix is added either the feature [+Vb] for the true verbs or [—Vb] for the adjectival verbs. This rule applies to all verb matrices, regardless of the environment. Rules (23) and (24) next change the specification given in (22) if particular environments are met. If [+Vb] is selected in (22) and if the environment of (23) is met, there is no change in the verb matrix, but if [—'Vb] were chosen in (22) and any of the environments in (23) is met, the specification [—'Vb] is replaced by [ + V b ] in the matrix. Such a change of specification is in accord with that used by convention in distinctive feature phonological rules. If neither rules (23) or (24) applies, either [ + V b ] or [—'Vb] (whichever was selected in (22)) remains. Rule (23) indicates that verbs derived from VP having an embedded sentence or an ΝP, followed by Asp and (or) M all must be specified as [+Vb]. That is, the verbs must belong to the true verb rather than the adjective subclass. Rule (25) on the other hand indicates that any modal verb or verbal adverbs of time, location, direction or manner must belong to the adjective subclass. Rules (23) and (24) are essentially transformational 8 in nature, since the contexts ' Chomsky discusses the notions of empirical, descriptive and explanatory adequacy in Aspects, pp. 30-37. 9 The transformational aspect of these rules is discussed by Chomsky, Aspects, pp. 98-100.

32

THE BASE RULES

that provide for the operation of the rules may be present higher in the derivation, but not at the stage at which the rules operate. NP, for example, has at this point been developed into its constituents, as have Asp and other elements in the contextual statements. Rule (31) provides for four aspectual constructions in Japanese. These may be illustrated as follows (with the citation forms having non-past, non-formal suffixes) : [lAs] iru 'durative' Taroo ga hon o yonde iru 'Taroo is reading a book' [2As] simau 'completive' Taroo ga hon o yonde simatta 'Taroo has finished reading a book' [3As] oku 'preparatory' Taroo ga kutu o hatte oita 'Taroo bought some shoes (for future use) [4As] aru 'transitive stative' Mado ga akete atta 'The window had been opened (by someone) Polite equivalents to these aspect forms exist and are found in the lexicon. The aspect verbs may be used as ordinary verbs and they are inflected just as the other verbs are. This fact is accounted for by rule (8) discussed above. Other aspectual constructions may well exist (e.g. yonde miru 'try to read', etc.) but I have omitted these as being peripheral to the main issues here. The assignment of the various types of politeness levels to the verbs is accomplished by the following rules. "+Vb + [ + E x ] *ga...([+N])_ 26. +Elv] -> [ ± H o n ] 25.

+Vb +[-Ex]^a...([+N])_ 29. + D e f r ] -> [ ± H m b ] 28.

[±Elv]

[±Defr]

Rule (25) provides that an exalted verb is elevated or not (where [+Elv] leads to the periphrastic honorific formations). Rule (26) develops the elevated verbs into the two honorific constructions. Rule (27) provides that the feature of Pas may be added to both honorific verbs and minus elevated verbs. If both [—Elv] and [—Pas] are developed in the same verb, a transformation will add the polite copula affixes. By rule (27) the Pas may be developed alone as [ + P a s ] from [—Elv]. In this case the passive morpheme rare is the only suffix added to the verb. However, this is still a polite suffix. Examples of the possible choices of features for exalted verbs, ranked according to the degree of politeness (with the most exalted first) are the following: [ + H o n , + P a s ] oyomi asobasaremasu '(you) read' [ + H o n , —Pas] oyomi asobasimasu '(you) read'

THE BASE RULES

[—Hon, +Pas] oyomi ni nararemasu [—Hon, —Pas] oyomi ni narimasu [—Elv, — Pas] oyomi desu [+Pas] yomaremasu

33

'(you) read' '(you) read' '(you) read' '(you) read'

Polite verbs with the feature [+[—Ex]~ga.. ] are used by the speaker when referring to himself or his 'in-group' and while showing deference to another. The features available by rule (29) are plus or minus humble (Hmb), by (28) the features of [±Defr]. Consequently, there are two types of humble constructions plus the third formation which uses a morpheme identical to the causative morpheme (sase) plus a suppletive verb itadaku. The feature representing this last formation, [—Defr], implies a further meaning in addition to that of humility. This extra semantic interpretation is that the action is done by the speaker for someone else in a humble way. However, this construction is quite different in form from the benefactive constructions as reflected by T2. Examples of the humble constructions are [+Hmb] [—Hmb] [—Defr]

oyomi itasimasu oyomi simasu yomasete itadakimasu

'(I) read' '(I) read' '(I) read (for you)'

The final feature rule of interest is:

This rule transfers the feature of formality from the subject noun to the matrices of the matrices of the tense and the postposition. The term 'transfer' is actually inaccurate, since the feature is never removed from the subject noun, but simply added to the other matrices. The presence of formality in the tense matrix is quite important, since it is this feature in the tense which allows for the prediction of the copula. Formality is indicated in sentence final verbs by the presence of the morpheme mas. Transformation 36 introduces this form if the SD is met and if the feature [ + F o r ] is contained in the appropriate tense matrix. The matrix marked by [ + P P ] refers to the large group of postpositions which include true postpositional particles as well as connectors and the question and imperative markers which are indicated by the features [ + Q ] and [+Imp]. Since some of the sentence particles are marked for formality, the transfer of the feature of formality from the subject noun to this matrix is necessary. The connectors are of two sorts, particles or suffixes, and they serve to link two sentences together. The problem of conjunction is as complicated in Japanese as it is in most other languages, and it has been dealt with here in only a sketchy manner. The present grammar provides that the second of two conjoined sentences is derived from the first by the recursiveness of 5 in the base component. Such a treatment implies that the second sentence is not really conjoined but rather subjoined to the first. This solution is

34

ΤΙ-IE BASE RULES

probably incorrect, but I shall not attempt a more adequate solution here, since this problem is far beyond the range of my study. In summary, the base rules contain branching and feature rules. The base component provides the 'deep structure' upon which the transformations operate to yield the 'surface structure'. Before discussing these transformations, it will be necessary to discuss the other subcomponent of the base, the lexicon. This is done in the following chapter.

3. THE LEXICON

3.1 THE NATURE OF THE LEXICON

The lexicon of a transformational grammar is defined as an unordered set of lexical entries, each of which is a pair (D,C). D, the spelling of the item, is a phonological distinctive feature matrix. C is a complex symbol matrix including syntactic and semantic features. Within the present grammar I have abbreviated the phonological matrices D of the lexical entries by a systematic phonemic notation, and as a result the phonological component of the grammar consists of rules formulated in terms of such elements. Such an abbreviation is justified by the fact my chief area of concern is syntax rather than phonology. I shall return to a discussion of the notation 1 have used for the phonology in Chapter V. In this chapter, I shall deal with C, the complex symbol matrix of the lexical entry. I shall first discuss the insertion of lexical items into preterminal strings generated by the base rules. Then I shall deal with the formulation of the subcategorizational and selectional features. Various conventions are adopted for these features, and they shall be discussed as they arise. Finally, I shall discuss the rule features and inherent features, along with their formulation and justification. At the end of the base rules a derivation consists of a preterminal string into which lexical items are inserted according to the LEXICAL RULE, which states If Q is a complex symbol of a preterminal string and (D,C) is a lexical entry where C is not distinct from Q, then Q can be replaced by D. 1 The notion of distinctiveness is crucial in the operation of the lexical rule. In order to explicate this notion, I have adopted a DISTINCTIVENESS CRITERION which is stated as Convention 2 of the appendix. This convention states A lexical entry containing the feature [aF] may be inserted into a preterminal string CS if that CS does not contain the feature [—aF], This statement of the distinctiveness criterion is slightly different from that notion of DISTINCT as formulated by Chomsky. He states that "... two segments are DISTINCT 1

Chomsky, Aspects, p. 84.

36

THE LEXICON

just in case one is positively specified with respect to a feature with respect to which the other is negatively specified..." .2 According to my convention, a lexical entry may be inserted if it is not distinct from the CS of the preterminal string. Hence, unmarked features are not considered distinct in my convention, so if the CS contains [aF,] but the lexical entry is not marked for F¡, then the CS of the terminal string and the lexical entry are not distinct with respect to Fi. In Chomsky's formulation, the two would be non-distinct only if both the CS and the lexical item were both marked the same for F, or if neither were marked for F,. To illustrate the convention as I have formulated it, consider a hypothetical lexical entry containing the phonological matrix D and a complex symbol matrix C made up of the features [ + F 1 , — F2, + F3]. Let a preterminal string complex symbol Q contain the features [—F4, + F 5 , —F6]. By Convention 2, the lexical entry (D,C) could be inserted into Q, since no feature in Q is oppositely specified from that feature in C. Notice that no feature of Q necessarily has to be identical with a feature in C in order for the insertion to take place. The only requirement is that no feature be oppositely specified in Q and C. Hence, if C had contained the feature [—F4], the lexical insertion could still have been made, but if C contained the feature [ + F 4 ] the insertion would have been forbidden. C would now be distinct from Q in the technical sense defined above. Actually, the word "replaced" in the lexical insertion rule is slightly incorrect. An addition rather than a replacement takes place. If a lexical item (D,C) is not distinct from the preterminal complex symbol Q and if the insertion of the lexical item is made, the features of Q are still present and to them are added D, the phonological spelling of the item, plus the features of C which are listed in the lexical entry. In the example cited above, the lexical item had the phonological features D and the features of C were [ + F 1 , - F 2 , +F3], while Q contained [ - F 4 , + F 5 , - F 6 ] , After the lexical insertion is made, Q now contains D as well as the feature [ + F 1 , —F2, + F 3 , —F4, + F 5 , —F6].3 The actual formulation of the lexical entries presents several problems. First, a decision must be made as to which features are to be included in the lexical entries and how they are to be specified. Chomsky has discussed this issue at length, and has proposed four possibilities for the lexical entry specifications. They are (i) list in the lexicon only the features corresponding to frames in which the item in question cannot appear... (ii) list only the features corresponding to frames in which the item can appear... (...we add the further convention that an item is specified in the opposite way for every contextual feature not mentioned in its lexical category) (iii) adopt (i) for the strict subcategorizational features and (ii) for the selectional features 8

Chomsky, Aspects, p. 81. Actually the resulting complex symbol matrix is the union of features of the CS of the preterminal string and the complex symbol C of the lexical entry. 3

THE LEXICON

37

(iv) adopt (ii) for the strict subcategorizational features and (i) for the selectional features. In any case the distinctness requirement of the lexical rule will now exclude items from certain contexts, and permit them in others.4 In order to choose from these possibilities, I shall examine the different types of features and provide for an optimal formulation of them in the lexicon. The subcategorizational features are examined before the selectional features are investigated.

3.2 SUBCATEGORIZATIONAL FEATURES

Consider the form sensee 'teacher'. This form must be specified in the lexicon in some way to indicate that it is a noun rather than a verb, adverb, or determiner, and provision must be made that it can be inserted only into the CS of the noun lexical category, and not into the verb, etc. matrix. If sensee is marked as [ + N o u n ] in the lexicon and if the CS of the Verb lexical category is being considered in a preterminal string, there would be no way to exclude sensee from insertion into the verb matrix unless some feature was distinctively marked in the two complex symbols. In order to provide for such a distinctive marking, I adopt the convention that an item which is positively marked for one lexical category is automatically marked as negative for all the other lexical categories. This is done by Convention 6 which states : If X 1( X 2 ,...X„ are the terminal categories of the grammar, and if a lexical entry contains the feature [+XJ, 0—i—n), then [ + X J -> [—Xj] for all i φ j. Therefore, if sensee is marked [ + N ] , the above convention automatically marks it as [—V], [—Adv], and minus all the rest of the terminal categories. Such a convention provides for considerable economy in the lexicon since all the negative lexical category features are automatically supplied. Due to the adoption of the 'next higher node' convention, a further convention is necessary for the negative specification of features. Both Asp and VP can develop into the terminal category V, and when the verb becomes a complex symbol it takes as a feature the next higher node specification, such as [ + V P ] or [+Asp]. Only a few verbs can be used as aspect elements as well as ordinary verbs, while a great many verbs can be used only in derivations from a VP. Thus, a form like yom 'read' must derive from a VP while i 'be' may be from either VP or Asp. These facts must be shown in the lexical entries in order that a form like yom will be forbidden insertion into a CS matrix deriving from Asp. A simple and very general way to accomplish this end is to adopt a convention which states that if a lexical entry is marked positively for a least major category, it will automatically be negatively marked for all other least major categories. This is accomplished by the adoption of Convention 7, which states: 4

Chomsky, Aspects, p. 165.

38

THE LEXICON

If Y l5 Y 2 ,...Y m are the LEAST MAJOR CATEGORIES of the grammar, and if a lexical entry is marked as [+Yi], ( l ^ i ^ m ) then [+Yi] -* [—Yj] for all j φ i. Therefore, yom and most of the verbs of the language will be marked as [+VP] and automatically they will acquire the features of [—Asp] (as well as [—NP], [—M], etc.). An item like i 'be' may simply be marked in the lexicon as [ + V ] without a least major category specification, and it therefore may be either a VP or an Asp. However, other features of a form like i may be dependent on whether the form is inserted into a VP or Asp derivation. If this is the case, a single entry for the item may well contain an abbreviation for the two least major category derivations. However, if the base rule Asp -* V was not included in the grammar (and it is such a rule that makes the least major category convention necessary) a significant generalization would be missed. A further type of subcategorization feature that must be accounted for in the lexical entries is the environmental subcategorizational feature. If a VP becomes NP^V and then the V becomes a CS, one of the features of the matrix of the verb is [ + N P ]. In Japanese, this feature indicates that the verb is transitive, and the Ν Ρ is the direct object (in most cases) of the verb. I follow Chomsky5 in adopting the convention that the positive environmental feature will be cited in the lexical entry, with the additional convention that the other environmental features will be negatively specified. Convention 8 of the appendix states this formally. A transitive verb then will be given the feature [ + N P ], and the convention isthat features such as [ - # S # ] are automatically supplied. If we consider the various conventions cited so far, and examine a form like mi 'see', the lexical entry would be something like: mi (see) [ + V , +Vb, +VP, + N P

,...].

The various negative specification conventions would automatically supply features like [—N, —Adv, —Asp, —NP,... — # S # ,...]. I have included the gloss parenthetically after the spelling abbreviation of the item, although this is not a formal part of the lexical entry. A form like i can be either a VP or an Asp and it could be entered twice in the lexicon as ï [ + V , +Vb, +VP, + i [ + V , +Vb, +Asp, +

,...] ,....]

or the two entries could be collapsed into a single one like i [ + V , +Vb, + ,...]. In the latter case, a negative least major category specification would not obtain since the entry is not positively marked for a least major category. However, certain 4

Chomsky, Aspects, p. 111.

THE LEXICON

39

selectional restrictions will obtain with respect to the VP derivation which do not hold for the Asp function. In order to allow for such distinctions, and yet to show that the two forms are the same item, an abbreviation such as the following might be used. i

[+V, +Vb +

The dots in the entries will represent features pertinent to either the Asp or VP use of the verb. In order to shorten the entries of all items which have several features in common, an abbreviation device of the following sort is used: list all features common to several items, then cite the items along with their specific features. Consider, for example, the following transitive verbs: mi (see) [ + V , +Vb, +VP, + N P ,...] yom (read) [ + V , +Vb, +VP, + N P ,...] tor (take) [ + V , +Vb, +VP, + N P _ ,...].

These features would be abbreviated as follows : [ + V , +Vb, +VP, + N P ]: mi (see) [... (features peculiar to mi)...] yom (read) [... (features peculiar to yom)...] tor (take) [... (features peculiar to tor)...]. By this means considerable economy in the lexical entries can be obtained. However, a further simplification can be effected. Consider again sensee. This noun is human, animate, and concrete. Redundancy exists if all three of these features have to be specified for the item. I therefore adopt the LEXICAL REDUNDANCY RULE 6 to reduce the redundancy in the lexical entries. Convention 3 of the appendix states: If β is a feature in a lexical entry Q and if there is only one rule aG the base, then aG is also in Q.

ßF in

Since there is only one rule [+Con] -+ [+An] and only one rule [ + A n ] -> [ + H u m ] in the base, if only the feature [ + H u m ] is cited for sensee, the lexical redundancy rule will provide the features [+Con] and [ + A n ] (as well as [+N]). In the transitive verb examples cited above, the feature [+Vb] would be sufficient to allow [ + V ] to be inserted by the lexical redundancy rule since there is only one rule [ + V ] -» [+Vb], In a similar fashion, the entry7 sensee (teacher) ( + N , + N P , + H u m , +An, +Con, +(Det) ( # S # ) could be abbreviated as

,...]

• This notion is discussed by Chomsky, Aspects, pp. 165-170. The formulation adopted here was first suggested to me by Emmon Bach. 7 The use of parentheses in the contextual feature specification follows the usual abbreviatory practice. Hence, the feature [+(Det) ( # S # ) ] is an abbreviation for four positive contextual features: [+ ], [ + D e t ], [ + # S # ], and [ + D e t A # S # ].

40

THE LEXICON

sensee (teacher) [ + H u m , + N P , +(Det) ( # S # )

]

with the rest of the positive features filled by the lexical redundancy rule and the negative specifications filled in by the negative specification conventions. As a result of the above considerations, I have adopted alternative (ii) for the strict subcategorizational features in the lexical entries. Thus, the allowable frames, features and categories will be positively specified in the complex symbol of the entry, and the lexical redundancy rule will provide further features. The negative specification conventions will automatically insert all the relevant negative features into the entry. It is now necessary to turn to the selectional features of the lexical entries and to decide on the best choice of specification here.

3.3 SELECTIONAL FEATURES

In his discussion of the structure of the lexicon, Chomsky proposes that the selectional features be negatively specified in the lexical entries. That is, he proposes that those selectional features not applicable to the given lexical item be listed in the entry, with the further convention that any selectional feature not specifically forbidden by a negative specification will be permitted. Thus, he has chosen alternative (iv) of those discussed for the formulation of the lexicon. He bases this choice on the assumption that ".. .a grammar is more highly valued if the lexical entries contain few positively specified strict subcategorization features and many positively specified selectional features." 8 For an item like frighten, Chomsky proposes the selectional specification of [—[+N] [—Animate]]. Any other feature different from this will be available for frighten. Such an available selectional feature is [+[—N] [+Animate]]. Several problems arise in connection with such a formulation as this. First, Chomsky assumes that a selectional feature is a single feature and that the lexical redundancy rule does not apply to it. Therefore, the feature (in the present grammar) of[+[+Hum]~ga... [ + N ] ] would not imply the feature [ + [ + N , +Con, +An, +Hum] A ga... [ + N ] ]. However, the formulation of the selectional rules in the lexicon can be greatly simplified if application of the lexical redundancy rule is permitted for selectional features. If this is done, the selectional feature will be considered a complex symbol in itself.9 George Lakoff 10 has discussed this problem at length and has provided convincing arguments for considering the selectional features to be complex symbols. Following his argument, I adopt Convention 4: If a lexical entry contains a selectional feature of the form [+[ßF]... 8

] and

Chomsky, Aspects, p. 165. Chomsky, Aspects, p. 231. George Lakoff, On the Nature of Syntactic Irregularities (Report No. NSF-16, The Computation Laboratory of Harvard University, 1965). 9

10

THE LEXICON

41

if there is only one base rule aG -> ßF, then the lexical entry contains the selectional feature [+[aG,ßF]... ]. The adoption of such a convention provides a clear set of alternatives for choosing the proper formulation of selectional features in the lexicon. Consider the Japanese verb yom 'read', which must have an inanimate direct object, and an animate, probably human, subject. Therefore, yom must fit into the frame [+N,+An,+Hum]~ga.. [—An] . This frame is simplified to [+Hum]~ga.. [—An] , where the lexical redundancy rule inserts the other features. However, if a negative feature for yom is ]. entered in the lexical entry, it must be something like [—[—Hum]~ga... [—An] As a result of this negative specification, any feature which differs from the above feature in any way will be a permitted frame for yom. One such differing feature would be [ + [ + H u m ] " g a . . [—An] ], which would be a perfectly acceptable feature for the verb. Another such feature would be [ + [ — H u m f ^ f l . . . [+An] ]. However, the latter feature is forbidden to the verb, and therefore must be specified negatively. Therefore, at least two and perhaps more negative specifications would have to be made for the selectional features of the verb, if the choice is made to mark such features negatively rather than positively. Even further complications arise with the decision to indicate selectional features negatively in the lexicon if the suppletive verbs are considered. These verbs are used only politely, with plus or minus exalted subjects. Such a verb is mair 'come' which must be used with a [+1P, +Pol] subject. This condition is easy to impose if the selectional feature is marked as [+[—Ex]~ga... ]. The features of [+1P] and [+Ρο1] are inserted in the subject noun of the selectional feature by the lexical redundancy rule. However, if a negative specification for the selectional features is adopted, several such negative features will have to be included in the entry in order to prevent the insertion of mair into improper frames. Two such features which could never be determined by the negative application of a single negative specification are [ + [ + P o l ] " f a . . . ] and [ + [ + 1 Ρ ] ^ α . . . ]. If the feature [ - [ - P o l ] Λ ga... ] were set up, all polite frames would be permitted, but this is incorrect since only [—Ex]~ga... frames are allowed. If the feature of [—[+Ex]~ga... ] A were set up, this would permit the incorrect [—Pol] ga... frames as well as the correct [—Ex]~ga... frames. Consequently, at least two negative frames would have to be set up for mair if negative specification of selectional features is adopted, while only one is necessary if positive specification is allowed. If those suppletive polite verbs which are also transitive are examined even further complications arise as a result of the compounding of the problems which exist with yom and those which exist with mair. For such verbs at least three negative specifications would have to be included in the lexical entries. For these reasons, I have adopted alternative (ii) for the selectional features, and they are marked positively in the lexicon. The convention is that features not positively specified are automatically negatively specified for the given item.

42

THE LEXICON

Following this convention, several of the examples cited earlier can be further specified as: 1. [+Vb, +VP, + N P ]: yom (read) [ + [ + H u m ] " g a . . . [—An] ] mi (see) [+[+An]~gö... [+Con] ] tor (take) [ + [ + Α η ] ^ α . . . [ + N ] ] 2. mair (come) [+Vb, +VP, + , +[+Ex]"ga... l U M r_i_vh

i

1As

]

As

> + P>

4. sensee (teacher) [ + H u m , + N P , +(Det) ( # S # )

]} ].

Notice that the final entry above has no selectional features, since the grammar does not contain a rule which provides selectional features for nouns. 3.4 ADDITIONAL FEATURES

Lexical entries may be marked for features other than the subcategorization and selectional features discussed above. These additional features are either rule features or inherent features. The rule features refer to particular transformations, and, in a more complete grammar, also to morpheme structure rules as well. I have adopted the convention that all lexical items are positively marked for all transformational rules unless a given entry is specifically marked negatively for a particular transformation. Convention 9 establishes this, and states: A lexical entry is marked with the feature [+Ti] for all ί Cl — i — 60, where 60 is the last Τ rule in the present grammar) unless it is specifically marked [—Ti]. If a string containing the feature [—Tk] fits the SD of Tk, then Tk does not operate on that string. The suppletive verbs which are always used as polite forms never undergo the transformations which add polite suffixes. However, most verbs, such as yom, can undergo these transformations. In order to prevent the suppletive verbs from undergoing the forbidden polite transformations, they are marked [—T46], [—T47], where T46 and T47 are the transformations which add the polite suffixes for the honorific verbs. For example, irassyar 'be' is a polite, honorific suppletive verb and contains the features which allow it to fit the SD of T46 and T47. In order to keep irassyar from undergoing these transformations, it is given the features [—'T46] and [—T47] in the lexical entry. Such a device is used to prevent all the suppletive verbs from undergoing the otherwise obligatory transformations which add various suffixes. The other type of features found in lexical entries is the inherent feature. These features serve two functions : first, they mark peculiarities of the given lexical item, and second, they are used to provide a proper SD so that certain transformations operate. For example, the modal verb ta is marked with the feature [+Desid] which

THE LEXICON

43

is the feature indicating that the verb is used to indicate the desiderative mode. Such a feature is partially semantic, and would have to be included somewhere within the complex symbol in order that the semantic component could operate on it to yield a reading involving this item. Another example of an inherent feature is [+MSpkr] which refers to the fact that a male speaker uses such an item as the interrogative particle kai. This feature is not even a semantic feature since it bears no relevance to a reading that the semantic component would produce. However, distinctions are made in particle usage in Japanese according to the sex of the speaker, although this is done for only a few particles. Account must be made of this fact somewhere in the grammar, and since it is not a productive part of the language, the natural place to account for it is in the lexical entries of those few particles which are marked according to the sex of the speaker. The other type of inherent feature is that which causes the operation of a particular transformation. For example, several nouns when used politely may take an honorific prefix of o while others may take the go prefix. There is no phonological way of predicting which prefix is used, and therefore I have marked those items which take the o prefix with a feature [ + o ] and those which take go with a [+go]. The features of [ + o ] and [+go] are different from the rule features discussed above. If the feature [ + o ] were marked as [+T50] (where T50 is the transformation which supplies the proper o prefix), then Convention 9 would have to be changed entirely or eliminated, since all rules are automatically marked plus in lexical entries unless otherwise stated. In order to preserve this convention, I have used inherent features to provide for the operation of the appropriate transformations. But the question of further syntactic justification arises with the features of [ + o ] and [+go]. Samuel Martin 11 has discussed the changes the honorific prefixes make on the pitch contour of forms, and states that "The honorific prefix go- is usually attached to a word without changing the accent There are several classes of altered accents in the case of words with the prefix o- attached." 12 However, the change in accent could just as well be a property of the lexical items as of the prefixes. In his treatment of Japanese phonology, James D. McCawley13 marks all lexical items as either [+native], [+Sino-Japanese], [+onomatopoeic], or [+foreign]. This is done in order to provide a set of rules which will account for all the phonological facts of the language, including accent. He finds that certain strata of the lexicon have predictable phenomena while others do not. For example, palatalization is distinctive in the foreign forms but not in the native ones. However, McCawley does not establish a hierarchy of these four features, so that one is led to assume that if a given lexical item is marked as [+native] it is minus the other three features. This is a crucial point. McCawley mentions that the forms he marks as [+Sino-Japanese] are in general (though not always) forms 11 Samuel E. Martin, "Morphophonemics of Standard Colloquial Japanese", Language 28, No. 3 (Part 2) (1952). 12 Martin, "Morphophonemics", p. 41. 13 James D. McCawley, "The Accentual System of Standard Japanese" (Ph. D. dissertation, Massachusetts Institute of Technology, 1965).

44

THE LEXICON

which were borrowed from Chinese in the medieval period. McCawley is careful to point out that the classes into which he places lexical items are based on synchronic, not diachronic, considerations.14 Some of the Sino-Japanese forms he mentions are otya 'tea', okaasan '(your) mother', otoosan '(your) father', and daigaku 'university'. The first three of these forms are used politely and honorifically (with the possible exception of 'tea'), and they take the o honorific prefix. One is thus led to seek a connection between McCawley's [+Sino-Japanese] and the feature I have marked as [+o]. However, many native forms such as hana 'flower' also take the o prefix, while many other borrowings from Chinese take the go prefix, such as sinpai 'worry', syuzin 'husband', and hon 'book'. Hence, a cross classification apparently exists between the features [+o], [+go] and the features [+native], [+Sino-Japanese], Perhaps if an item could be specified as both [+native] and [+Sino-Japanese] then a correlation could be made with, say the feature [+go], and a similar correlation between [ + o ] and [+native, -Sino-Japanese]. However, since no hierarchy exists within McCawley's features, such correspondences are forbidden, as the specification of [+native, + Sino-Japanese] cannot occur. Hence, I retain my notations of inherent features and rule features in order to preserve the proper application of the transformations. A completely different sort of marking convention has been proposed by Lakoff 16 but his entails a reformulation of the lexicon and the lexical insertion rule. In summary, the complex symbol matrix of a lexical entry contains subcategorizational, selectional, rule, and inherent features. The subcategorizational and selectional are positively entered in the lexical entry. Conventions provide for redundancy features to be added, and then a negative specification is provided for other features. The rule features are marked negatively in the entries and a general convention provides a positive specification for all rules not negatively marked. Inherent features are positively specified and no negative specification is necessary. Certain abbreviations are used in the lexical entries to simplify the listing of items. The following is the sequence carried out in deriving a terminal string in the base component. (1) (2) (3) (4) (5)

Derivation of a preterminal string (by the base rules) Choice of a lexical item for each lexical category Redundancy rules are applied (Conventions 3 and 4) Application of negative specifications (Conventions 6, 7, and 8) Positive specification of rule features (Convention 9).

Only after these operations have been carried out can a terminal string undergo the transformations which will map the deep structure into the surface structure. The appropriate transformations will be discussed in the following chapter. 14 McCawley points out that the classification of items into the four strata is based on phonological considerations which are synchronic, such as the treatment of ρ and h, or on the palatalization of certain consonants, and not on historical grounds. See p. 77, and Chapter II of his dissertation. 15 Lakoff, Syntactic Irregularity.

4. THE POLITE AND FORMAL TRANSFORMATIONS

4.1 THE NATURE OF THE TRANSFORMATIONS

The transformational component of the grammar serves to map the deep structures generated by the base component into the surface structures. Chomsky1 has shown the general necessity of including a transformational component in a generative grammar, and Postal2 has illustrated this necessity by demonstrating that a subset of a natural language (Mohawk) cannot be accounted for in any economical fashion by a phrase structure grammar without a transformational component. In this chapter, I shall first deal with the various conventions and then turn to a discussion of the transformations relevant to the formal and polite formations in the language. I shall also include a discussion of the transformation which inserts the copula, as well as a few other rules which have an indirect relation to the politeness levels. Several examples illustrate the operations of the transformations. The transformational (T) rules are ordered and according to Convention 10 all Τ rules are obligatory unless specifically labelled as optional. I have chosen to symbolize all the variables in the structural descriptions of the rules by X. This is done for two reasons : first, such a convention makes the rules easier to read, and second, in some of the SD's not enough different variable symbols are otherwise available for an SD. The variables in a given SD are not necessarily equal to each other. Convention 11 makes the notation clear. Several restrictions have been imposed on the transformations in the present grammar. If general linguistic theory is made to include constraints which allow only certain operations in the rules, then the grammar will be more restricted and more explicit, and therefore more revealing about the nature of language in general. One such constraint which is not formally cited as a condition but which applies throughout the grammar is that no syntactic feature is added or changed by the transformations. 3 1

Noam Chomsky, Syntactic Structures (The Hague, Mouton & Co., 1957), especially Chapter Five. Paul M. Postal, "Limitations of Phrase Structure Grammars", The Structure of Language, eds. Jerry A. Fodor and Jerrold J. Katz (Englewood Cliffs, New Jersey, Prentice-Hall, Inc., 1965), pp. 137-151. a This condition does not mean that no features are transferred in the Τ rules. For example, if a 2

46

THE POLITE AND FORMAL TRANSFORMATIONS

Hence, all features are introduced and developed in the base component. Since I have found no violation of this constraint to be necessary in writing the grammar, I can comfortably suggest it as a possible addition to the general theory of transformational grammars. Obviously, further empirical testing of this assumption will be necessary and a crucial counter-case will be an instance in which a transformational rule must add a new feature or change a feature in order to account for the facts of the language under investigation. In addition, such an example must demonstrate that no solution other than one involving such a feature addition or alteration will adequately account for the facts. I have adopted the further convention that the only type of structural change permitted in the transformations is that of substitution. In general, permutations, deletions, and additions can be shown to be special cases of substitutions. Convention 12 states: The arrow in the SC of a Τ rule is read "is replaced by". If Y immediately dominates the string containing X and if the SC of the Τ rule is of the form X -» Z, then Y immediately dominates the string containing Ζ in the derived Ρ marker. The resulting change in the structural analysis is: Y

Y

Χ

ζ.

According to this convention, a Τ rule with the SC of X Ζ means that Ζ replaces X in the derived Ρ marker. An addition transformation simply indicates that a particular element is replaced by itself plus one or more other elements. For example, T40, which inserts the negative morpheme na, is formulated as follows:

Γ+Τ T40

Ί

SD:X,|_+Neg_|,X 2 3 Cond: l ^ X ^ m a s SC: 2-*ncT2

This rule is interpreted as meaning that the second element in the SD is replaced by two elements: na plus the same second element. In order to prevent such affixing language had adjectives which agree in number, case, and gender with the noun being modified, such agreement might well be taken care of in the transformations by a rule like "aCase aCase [ + A d j ] -> ßNumber / ßNumber yGender yGender

Ν

but the case, number, and gender would presumably be present in the noun matrix.

THE POLITE AND FORMAL TRANSFORMATIONS

47

transformations from being recursive, Convention 13 is adopted. This convention forbids reapplication of such addition rules. To illustrate the change in the structural analysis carried out by this rule, the initial (partial) Ρ marker might be Pred 1 Aux I Γ+Τ -Past +Neg

I VP I V

1 SF

and the resulting (partial) derived Ρ marker would then be Pred I Aux

VP

"Ί SF

'+T -Past na

The tense matrix still contains the feature [+Neg] as well as all the other features it originally contained, although the negativity feature no longer serves any function. According to Convention 12, the added element na is immediately dominated by the same node which immediately dominates T, namely the Aux. 4.2 COPULA AND FORMALITY TRANSFORMATIONS

I now turn to a discussion of the various transformations especially relevant to the main topic of this study. Before discussing the formality rules, I shall include a discussion of the rule which inserts the copula. Following the format of Chapter II, I shall cite groups of rules and then discuss them. T34.

T35.

Copula Insertion SD: Χ, Ν, Τ, Χ 3 SC: 3 da~3 Optional: Stylistic Uses of aru/gozaru

SD: Χ,

[~pj

, ga, X, da, Τ, X

Γ+Ν ' L+Pol SC: 5

r

K " 1

\_gozarj

5

48 T36.

THE POLITE AND FORMAL TRANSFORMATIONS

Formal Suffix

Γ+τ Ί

SD: X, |_+ForJ, (SF), # , X 2 SC: 2 -» mas^l The first of these rules, T34, provides for the insertion of the copula da in just those places where it must occur. The copula is inserted before a tense marker if the Τ is immediately preceded by a noun, for example, as in the strings: Seki-san ga sensee Τ 'Mr. Seki (is) a teacher', or ano hana ga kiree Τ 'that flower (is) beautiful'. The deep structures generated by the base component contain no copula in equational sentences (or anywhere else for that matter). This fact is utilized by TI 1, which derives certain modifying strings from embedded equational sentences. If the copula had been introduced in the base, TI 1 would have to erase it. The various problems relating to the insertion of the copula were discussed in Chapter II. No conditions are placed on the nouns in the SD of T34. Therefore, the modal declarative noun no may be used if the rest of the SD obtains. If such a derivation using no is followed, the output will be a sentence of the so-called 'extended predicate'4 type. An example of such a string is: watakusi ga ikitai no desu Ί want to go; it's a matter of my wanting to go'. This is quite a simple way to account for all the 'extended predicate' sentences. T35 is an optional transformation. It provides for the style sometimes used in lectures and newspapers, which is characterized by the forms de aru {de arimasu) and de gozaru {de gozaimasu) in the place of the simple copula. The added forms in the SC are placed before the Τ since the tense matrix carries the formality and negative features as well as the true tense features, and all these features are developed after the verbs ar and gozar. T36 provides for the addition of the formal morpheme mas. The rule treats this morpheme as a prefix of the tense marker rather than as a suffix on the verb, as has been traditionally done. The SD of this rule indicates that the mas is inserted only if the Τ matrix contains the feature [ + F o r ] and if the Τ is sentence final or separated by only a sentence particle from the end of the sentence. The tense matrix is very important in the development of the grammar, since it contains not only tense features, but also the negativity feature, the formality features, and may be considered a carrier of the copula as well. Each of these rules operates only once, according to Convention 13. The morpheme mas is not restricted so as to follow only a verb, although it may. If it follows an adjective, a later rule will provide the copula to accompany it. Finally, a morphophonemic rule will change the copula plus mas into the familiar desu (or desita). Rules T34 and T36 provide the addition of da and mas in the proper places, and this information is necessary in order to account for the two distinct types of negative * Jorden, Beginning Japanese II, 53-56.

THE POLITE AND FORMAL TRANSFORMATIONS

49

formal constructions. But before these are examined, let us turn to T42 which accounts for the polite adjectival formations. T42. Polite Adjectival Formation "+V

SD: X, - V b +[+ΡοΓΓ#α... 2 SC: 2 -y 2~iTgozar

X J,

This rule attaches to the adjective subclass of verbs the suffix u plus the polite existential verb gozar, when the adjective is used politely. As pointed out in the first chapter, the polite formation for the adjective is not dependent on the feature of exaltedness, and therefore the SD demands only that the adjective contain the feature + [ + P o l ] "ga.. . No specification is included for the feature Ex. Therefore, a sentence like otenki ga osamuu gozimasu 'the weather is cold' is provided for. Otenki 'weather' is a noun used politely, and the o prefix of tenki as well as that of samu 'cold' is inserted by the later T50. The suffix u added to the adjective provides some problems in terms of vowel harmony. I shall treat this in Chapter V. The morpheme mas enters by T36, and the final u comes from the present tense morpheme ru. The phonological shapes of the tense matrices are lexically provided, just as for the other lexical categories. Turning to the problems of the formal constructions (those entailing mas) in Japanese, and omitting considerations of the polite forms (since the same argument applies to the polite as well as non-polite verbs), we find that several formal constructions are possible. For verbs with the feature [+Vb] (true verbs), the following six constructions are possible: (1) (2) (3) (4) (5) (6)

yomimasu yomimasita yomimasen yomimasen desita yomanai desu yomanakatta desu

'reads (non-past)' 'read (past)' 'does not read (non-past)' 'did not read (past)' 'does not read (non-past)' 'did not read (past)'

For the negative forms of the verb, two present and two past formal constructions are available. For the formal adjectives we have: (7) (8) (9) (10) (H) (12)

akai desu 'is red (non-past)' akakatta desu 'was red (past)' akaku nai desu 'is not red (non-past)' akaku arimasen 'is not red (non-past)' akaku arimasen desita 'was not red (past)' akaku nakatta desu 'was not red (past)'

Again we have two possible constructions for the negative in the present and two in

50

THE POLITE AND FORMAL TRANSFORMATIONS

the past tense. In order to account for the two types of constructions of the formal negative, an optional transformation, T38, is introduced. If this rule is chosen, one of the formal negative constructions (examples 5, 6, 9, and 12 above) will result, and if it is not chosen, the other construction will result.5 Before illustrating the two types of formal constructions, it is necessary to cite and discuss the relevant transformations. T37.

Formality Shift SD: Χ, Γ—Vb |_+[-Ρο1] Α *β 3 SC: 3 -» 4, 4

T38.

4

3

Optional: Formality Shift Ί. X SD: X, mas, Γ + Τ Ί, L+NegJ 2 3 SC: 2 -» 3, 3 -»· 2

T37 is obligatory. If shifts the formality morpheme mas to behind the tense matrix only if the following three conditions obtain: (1) the tense matrix is not negative, (2) the verb in the string belongs to the [—'Vb] subclass, and (3) the verb is marked as [—Polite]. Otherwise, T37 does not apply and the tense matrix and formality morpheme are not moved. T38 is an optional rule the selection of which provides for the two negative formal constructions. If T38 is chosen the negative tense matrix and the formality morpheme mas are permuted. The selection of T38 will lead to negative formations which have the copula desu or desita in them. If T38 is not chosen, the other type of negative formations will result, since the SD of T39 and T40 will be met. If T38 is selected, the SD of T39 and T40 will not be met, and a later precyclical rule in the phonological component will change the mas into the formal copula damasru, which will in turn become desu. The transformations which account for the negative constructions resulting when T38 is not selected are the following: T39

Negative Formation

2 SC: 2 -» 2Λ Γ(ννα) ar

* The two formal constructions are semantically equivalent and seem to differ only stylistically. No situational restrictions seem to exist for a choice of one over the other of the constructions.

51

THE POLITE AND FORMAL TRANSFORMATIONS

T40

Negative Formation SD: Χ, Γ + Τ Ί, X L+Neg 2 Cond : 1 φ X"mas SC: 2 -* na~2

The rule T39 adds to the negative tense matrix the formative ar, which is the same as the existential verb aru, but which is always used with the negative of the copula as well as with the negative of the [—Vb] subclass of verbs. T40 inserts the negative morpheme na before the negative tense matrix provided the tense matrix is not preceded by the formality morpheme mas. If the negative tense matrix is preceded by mas, a morpheme structure rule in the phonological component will replace the phonological component of the negative tense matrix with the proper phonological shape. In order to illustrate the use of these two rules and their connections with the earlier T37 and T38, let us consider the verb yom 'read' in a string with a partial Ρ marker Pred r~ VP . I _

Aux

+v

+Vb yom

mas

'+T +Neg ru

If T38 is not selected, the above Ρ marker does not fit the SD of T39 or T40, and passes on the following transformations. A precyclical rule of the phonological component (PC2) changes the ru of the negative tense matrix to en, and a later rule (PC4) changes mas to imas. The final string will then be yomimasen. If the tense matrix had been marked as [+Past] the phonological spelling of the matrix would have been ta. The operation of the phonological rules would have yielded yomimasen & desita 'did not read.' If T38 is selected, the change in the Ρ marker is to Pred VP "+V " +Vb yom

Aux "+T

+Neg ru

mas

52

THE POLITE AND FORMAL TRANSFORMATIONS

The SD of T39 is still not met since yom belongs to the class of [+Vb] verbs. However, T40 does operate on the Ρ marker, yielding Pred I VP I

Aux

•+τ

"+v

+Neg +Vb na ru mas yom The string then passes on to the rest of the transformations. The later phonological rules will convert the string into yomanai & desu 'does not read'. Phonological rule PC2 changes the ru of the tense matrix to i, PC3 adds the a to na, and PC8 changes mas to damasru, which later becomes desu. If the tense matrix had contained the feature [+Past], the rules would lead to the string yomanakatta & desu. Hence the two types of negative formations are accounted for by the selection or omission of T38, and the following rules. If we turn to the [—'Vb] class of verbs we find the same alternatives present as for the [+'Vb] verbs. For example, consider aka '(is) red', with the partial Ρ marker Pred VP I .

Aux

+v

-Vb aka

mas

+T Neg+ ru

If T38 is not selected, T39 will apply to the above Ρ marker, yielding Pred I VP

Aux

π

+v

-Vb aka

ar

mas

'+T +Neg ru

T40 does not apply to the derived Ρ marker, which passes on through the remaining transformations. T45 adds ku to the stem aka. If none of the honorific transformations apply, the Ρ marker passes to the phonological component (having acquired word boundaries by the last three transformations). PCI changes the ru of the negative tense matrix to en, and PC4 inserts i before mas. The final string is then akaku & arimasen 'is not red'. If the tense matrix had contained [+Past], the final string would be akaku & arimasen & desita 'was not red'.

53

THE POLITE AND FORMAL TRANSFORMATIONS

If T38 is selected in the derivation, the mas and tense matrix are permuted, yielding Pred r~ VP I

Aux I

"+v

"+T

+Neg -Vb mas ru aka T39 applied to this Ρ marker as well as to the earlier one. The derived Ρ marker is then Pred Aux

VP "+V ' -Vb aka

I

"+T

+Neg ru

ar

mas

To this Ρ marker T40 applies, since mas is not immediately before the tense matrix. The resulting Ρ marker is Pred Aux

VP I

"+v

-Vb aka

ar

na

'+T +Neg ru

mas

Such a Ρ marker then passes on to the remaining transformations. Again T45 adds ku after the stem aka. When the Ρ marker passes on to the phonological component, PCI erases the ar since na follows it. It is simplier to insert ar by T39 and erase it in that limited environment where it is followed by na than to complicate the SD of T39 greatly for the insertion of ar in all but a very restricted environment. The various other phonological rules apply, yielding a final string akaku & nai & desu 'is not red'. If the tense matrix had contained the feature [+Past], the final string would have been akaku & nakatta & desu 'was not red'. The selection or omission of optional rule T38 therefore determines which of the two formal negative formations will result for both subclasses of the verb. The few transformations cited above account for the various formal negative constructions which seem on the surface to be quite complicated. The positive forms are not illustrated here, although they follow directly from the rules, and no selection of T38 is permitted. A form like *yomimasu & desu is not generated because the under-

54

THE POLITE AND FORMAL TRANSFORMATIONS

lying string for this form would have to be yom mas [+Neg] mas, which is never generated. By the same token, there is no generation of *akai & desti & desti, which would have to result from the impossible string aka mas [—Neg] mas.

4.3 POLITENESS TRANSFORMATIONS

An important aspect of the various formal constructions is that they are all introduced and carried out before the various polite formations are introduced. Thus the forms involving mas in the various shapes it takes are all placed to the right of the verb. Therefore, when the verb undergoes the polite formations, the formal forms will still be outside the inserted elements such as ni nar. No politeness restriction exists in the verbs in the SD of the formal transformations, and therefore, both polite and nonpolite verbs may be formal or non-formal. This is in accord with the facts of the language. The polite forms which must be accounted for are the following (repeated here from the first chapter) :

Plain: (1) (2) (3) (4) (5) (6) (7) (8) (9)

Non-Formal

Formal

yomu

yomimasu

oyomi ni naru oyomi asobasu yomareru oyomi ni narareru oyomi asobasareru oyomi da yórnasete itadaku oyomi sum oyomi itasu

(T47a) (T47b) (T46) (T46, 47a) (T46, 47b) (T47c) (T48) (T49a) (T49b)

oyomi ni narimasu oyomi asobasimasu yomaremasu oyomi ni nararemasu oyomi asobasaremasu oyomi desu yomasete itadakimasu oyomi simasu oyomi itasimasu

Only the non-past forms are cited above, but of course the negative and past forms must also be accounted for. The entire column of formal items is accounted for by the same formality transformations that were discussed earlier in this chapter. Hence, only the various polite formations must be provided for in the following rules. The Τ rules which account for the various polite suffixes are cited in parentheses above. The only part of the Ρ marker which must be included in the description of the polite formations is that which derives from the VP. The verb matrix may contain any of a number of features including the polite, exalted, honorific and humble features. If a given lexical entry for a verb contains a feature such as [—T48] then, by Convention 9, T48 may not operate on that string. Such a convention forbids the suppletive verbs from entering the polite constructions. In the following transformations, the polite exalted formations are accounted for

THE POLITE AND FORMAL TRANSFORMATIONS

55

by T46 and T47, while the polite humble forms are provided for by T48 and T49. The exalted formations will be considered first. T46

Exalted Passive SD: X,

SC: 2 -y T47

•+v +Vb , X +VP +Pas 2 rare

Honorific Formations SD: X,

•+v ' +Vb , x +VP 2

a. Cond: 2 contains [—Hon] SC: 2 ο ninnar b. Cond: 2 contains [ + H o n ] SC: 2 -> o ^ a s o b a s c. Cond: 2 contains [—Elν, —Pas] SC: 2 o^da The first of these transformations adds to the verb the suffix rare, which is identical with (and historically the same as) the passive morpheme. The base component contains two sources for rare: the manner adverbial and the polite exalted passive feature of the verb matrix. An unresolved question is whether a sequence of two rare's is possible, in such a string as sensee ga utareraremasita 'the honorable teacher was struck'. Some native speakers accept this double rare construction, with the understanding that one rare is the passive and the other is the honorific. However, others say that such strings are impossible, and that the two rare's must be reduced to one, with an ambiguous meaning. If the latter solution is accepted, an additional rule of rarerrare rare must be included in the grammar. The correct sources are still present in the deep structure, but are blurred in the surface structure. But since this question of grammaticality is unresolved among native speakers, I shall choose the simpler solution here and omit the additional rule. The second transformation accounts for the two types of honorific formations. The ni nar construction results from the presence of [—Hon] in the verb matrix, while the asobas construction is formed if [ + H o n ] is in the verb. If a verb contains both the feature [ + P a s ] and one of the honorific features, it will undergo both T46 and T47. For example, if the verb harms 'speak' contains in the CS matrix the features [+Pas] and [—Hon], the (partial) Ρ marker before T46 would be

56

THE POLITE AND FORMAL TRANSFORMATIONS

VP

+v

+Vb +VP +Pas -Hon hanas and by T46 the change would be to VP Γ

+v

+Vb +VP +Pas -Hon hanas

rare

Next, the SD and condition (a) of T47 are met, so the derived Ρ marker after T47 would be VP

—ι—:

+v

+Vb +VP +Pas -Hon hanas

ni

nar

rare

Then the rest of the rules, including phonological rules, would lead to the final string of ohanasi & ni & narare and if the formality morpheme were included, the final result would be ohanasi & ni & nararemasu. If the verb matrix did not contain [+Pas], but did contain one of the honorific features, such strings as ohanasi & ni & narimasu, ohanasi & asobasimasu and ohanasi & desu would result. In the derived Ρ markers, the morphemes rare, ni nar, and asobas are all immediately dominated by the VP. The tense and formality morphemes are dominated by the Aux, which is to the right of the VP. Hence, the tense and mas elements are properly placed with respect to the verbal formations. The transformations which account for the humble constructions are parallel to those cited above for the honorific forms. These transformations are

57

THE POLITE AND FORMAL TRANSFORMATIONS

T48

Humble Causative

SD: X,

"+V +Vb +VP , X -Defr 2

SC: 2 -* lasase"te"itadak T49

Humble Formations +V SD: X, +Vb ,X +VP 2 a. Cond: 2 contains [—Hmb] SC: 2 si b. Cond: 2 contains [ + H m b ] SC: 2 -»· o m i t a s

Within the humble feature rules in the base, it is not possible to choose both the feature [—Defr] and one of the humble features. Thus, either T48 or T49 may be available to the verb, but not both. Considering again the verb hanas, we can have a partial Ρ marker of VP I

+v

+Vb +VP hanas and if the verb matrix contains the feature [—Defr], the resulting Ρ marker is VP

+v

+Vb +VP hanas

sase

te

itadak

The later phonological rules will lead to the final string (if, for example, the formality morpheme and past tense obtain) of hanasete & itadakimasita. However, if the original verb matrix contained the feature [—Hmb], then T48 would not apply, but T49 would, with the derived Ρ marker of

58

THE POLITE AND FORMAL TRANSFORMATIONS

VP :—r~

+v

+Vb +VP hanas

si

The final string may then be ohanasi & simasu. If the verb matrix had contained the feature [+Hmb], the resulting string might have been ohanasi & itasimasu. The four transformations T46, T47, T48 and T49 account for all the possible polite verbal constructions. The only remaining polite formations which must be accounted for are the polite prefixes of o and go which are attached to some nouns (and some polite adjectives). The features which trigger the use of the polite prefixes are [ + o ] and [+go]. These features were discussed in Chaper III. The transformations which effect the appropriate prefixes are T50

Exalted o +N +Pol +Ex +o

,χ

SD: Χ, +V -Vb 2 SC: 2 T51

o*2

Exalted go +N +Pol , X SD: X, + Ex +go 2 SC: 2 go*:2

Referring to the earlier discussion of the polite adjectives, we find that some (but not all) adjectives contain the feature [+o]. If such an adjective is chosen from the lexicon, and if it enters a polite formation with a [—lPJsubject noun, then T50 obtains, and the prefix o is added to the adjective. For example, the form samu 'cold', if used politely, will have a Ρ marker, after T42 of

THE POLITE AND FORMAL TRANSFORMATIONS

59

VP

+v -Vb +o samu

gozar

and since it fits the SD of T53, the derived Ρ marker will be VP

; ι +v -Vb

+[+Ex] A ge. u

samu

gozar

and the phonological rules will lead to the final form of osamuu & gozaimasu. In the same manner, the o will be added to polite nouns if used honorifically. Examples are otya 'tea' and otomodati 'friend'. Similarly, go will be added to those nouns which contain the feature [+go] and which are used with the feature [+Ex]. Examples of the go prefix forms are gosinpai 'worry', and gosyuzin '(your) husband'. The transformations which account for all the formal and honorific constructions are now complete. By the treatment that I have provided, the 'politeness concord' which occurs in Japanese is introduced in the base rules, and the transformations provide the proper affixes and periphrastic constructions which are the manifestations of the concord. Likewise, the formality has been shown to be an affix of the tense, and not of the verbs. The copula is entirely predictable, and the various transformations cited introduce the copula at the proper points. Japanese has no copula in the deep structure, and the politeness and formality are accounted for completely in the base component. All the various forms of the plain and polite, informal and formal constructions are provided for at this point.

4.4 TITLES

A further point, partially related to the levels of politeness, is that of the addition of titles to proper names. T52 and T53 are optional rules which allow the titles sama, tyan, and san to be added to names. The form san 'Mr., Mrs., Miss' is added to any

60

THE POLITE AND FORMAL TRANSFORMATIONS

proper (family or given) name, and no restrictions of politeness or formality apply to it. The only restriction placed on the use of san is that the form is never used by the speaker when referring to himself. Thus, Seki-san ga ikimasita 'Mr. (Mrs., Miss) Seki went', is permitted as long as Seki is not the speaker, but *Sumisu-san ga ikimasita '(I), Mr. Smith went', is not permitted if Smith is the speaker. The form sama is a polite equivalent to san and is used only with forms having the feature [+Ex] as in Seki-sama ga irassyaimasita 'Mr. (Mrs., Miss) Seki came'. San can be used with polite nouns but sama is used only politely. Tyan is a title referring to a child of either sex and is usually used with a given rather than a family name. Tyan is generally used in speaking to one's own child (or to a child in the family) but it is not used when speaking about one's own children to people outside the family. The transformations which add these titles account for the restrictions on first person use and politeness agreement, but they do not account for the use of tyan in terms of the social restrictions mentioned above. The treatment of titles is quite a neglected part of transformational grammar in general, and the title rules proposed here are only partially adequate.

4.5 IMPERATIVES

The imperative formations of Japanese are rather involved, and are treated by T29 — T33 and T41. Two basic types of imperatives exist in the language: those involving a benefactive construction and those without such a construction. In the base component of the grammar, rule (33) provides that a sentence final element SF which has been developed into PP is further subclassified. Two of the features which PP can acquire by this rule are [ + Q ] and [+Imp], although both features may not be acquired at the same time. These two features represent the interrogative feature and the imperative feature. Various interrogative particles such as ka and ne are entered in the lexicon, but only a single entry exists for the imperative, the phonological shape of which is yo. The cooccurrence of the [+Imp] matrix with other elements in a string determines which type of imperative is to be formed. T29 is the first imperative transformation. This rule provides that the subject of the imperative sentence be deleted much as you is deleted in English imperatives. The remaining imperative transformations account for the various types of imperatives. T30 is an optional rule and accounts for negative imperative strings like yomanai & de & kudasai 'read'. The underlying string from which this output results is a benefactive string using a benefactive verb such as kudasar or kure 'give'. After the operation of T2, the benefactive transformation, the rule deleting the subject (T29) operates, leaving a string like hon & o & yom te & kudasar [ + T , +Neg] yo, 'read the book'. If T30 is chosen, the te of the embedded string is replaced by the negative matrix of the outermost string plus the copula da. The outermost tense matrix is deleted. Before the operation of T30 the Ρ marker is

61

THE POLITE AND FORMAL TRANSFORMATIONS

S I Pred VP Aux

S I Pred VP I NP 1 "+N +NP hon

SF

Aux "+V "+V + Vb yom

"+T +Neg ru

+Vb +Benef kudasar

te

If T30 is selected, the derived Ρ marker is

+PP " +Imp yo

S I Pred SF

VP

Pred VP

Aux

NP "+N " +NP hon

0

"+V " +Vb yom

~+T +Neg ru

da

+V +Vb +Benef kudasar

+PP " +Imp yo

After the remaining Τ rules and phonological rules apply, the final string is # hon &o & yomanai & de & kudasai # 'do not read the book'. If T30 is not selected, the later T41 accounts for the negative imperatives, both those resulting from benefactive constructions and those formed without the embedded strings. T41 permutes the negative morpheme na (which was inserted by T40) and the tense matrix, while deleting the imperative matrix. Thus, if T30 had not been selected, the later T41 would operate yielding a final string of hon & o & y onde & kudasaru & na 'do not read the book'. T31 accounts for the positive imperative simply by deleting the tense matrix. Consequently a final string hon & o & y onde & kudasai 'read the book' derives from a string hon & o & yom te & kudasar Τ yo. T32 is an optional rule which derives the contraced imperatives from the fuller forms by the deletion of the benefactive verb

62

THE POLITE AND FORMAL TRANSFORMATIONS

plus the imperative matrix. Hence, hon &o & yonde is derived by T32 from hon & o & yonde & kudasar yo. In a similar manner, the contracted negative imperatives are derived from the fuller negative strings by the selection of T32. The contracted forms of the imperatives are somewhat less formal than the noncontracted forms, but the former are very simply derived from the latter by the deletion rule T32. The difference in formality here is not of the same nature as that which is marked by the presence or absence of the morpheme mas, but rather is a simple contraction much like the English contractions can't and don't. The other basic imperative formation is that which results from the choice of the imperative particle in a string which does not contain a benefactive verb. In the positive imperative of this kind, such as hon & o & yome 'read the book', the tense matrix is simply deleted, and the imperative element yo becomes e after a consonant (as above) and is either ro or yo after a vowel, as is tabero or tabeyo 'eat'. Again, the negative imperative of this formation is accounted for by T41, while T33 provides for the positive imperative. In general, the positive imperative is formed by the deletion of T, the tense matrix, when the imperative matrix is present. The negative imperatives are in general provided for by either T31 which accounts for the frequent benefactive negative, or by T41 which permutes the tense matrix and na, yielding strings like hon & o & yonde & kudasaru & na 'do not read the book'. 6 In this chapter I have dealt with the formulation of those transformations relevant to the levels of politeness and formality in Japanese. Sample derivations have been provided to illustrate the operation of the various rules. I have also discussed briefly the use of titles and the formation of imperatives in the language. A final matter pertaining to the levels of politeness and formality which is not treated in the present grammar is that concerning borrowed forms. A native speaker of Japanese tends to feel that a sentence which contains several borrowings from Chinese is more elegant and formal than the same sentence using only native forms. The matter of lexical use is one of style, and that style characterized by the presence of a large number of Chinese borrowings is common in lectures and sometimes in newspapers, but not so common in the spoken language. The same sort of concord of politeness and formality exists in such sentences using many Chinese forms as in the colloquial language, but the features of the lexical items referring to the added elegance and sense of heightened formality are not treated in the present grammar. A full treatment of the formal written style can be found in A Grammar of Formal Written Japanese? I have omitted this topic in the present study in order to remain within the realm of the colloquial language, although a sharp distinction cannot really be drawn between the two 'styles'. 6 I am indebted to Dr. S. L. Yen of The University of Texas for suggestions leading to the formulation of the imperative transformations. His suggestion of a rule like T31, and the general notion that the Γ be deleted in the positive imperatives, and the permutation of Τ and na in the negative imperatives are reflected directly in my imperative rules. 7 Lehmann and Faust.

5. SOME ADDITIONAL PROBLEMS

5.1 INTRODUCTION

In this final chapter I shall turn to some peripheral problems which were mentioned earlier but which were not elaborated. Among these are the problems relating to adverbs, the phonological notation that I have adopted to abbreviate the distinctive feature spelling, and the general problem of pronouns. I will also examine briefly the second version of the new model for transformational grammars that Chomsky proposes in Aspects. The second alternative model contains additional power that the first model does not, and I will try to determine if any of this power is necessary for a description of Japanese. While most of these problems have no direct bearing on the levels of politeness and formality, they are of general interest in the formulation of generative grammars and are representative of many of the problems that are still to be investigated in the realm of transformational analysis.

5.2 ADVERBS

Base rule (5) of the grammar is formulated as :

5

·

Time Loc Dir Man

->

NP (no^Ind) Ρ Adv V

The four elements on the left hand side of the rule are the adverbial elements of time, location, direction, and manner. These adverbial elements are developed in four possible ways: as a noun phrase plus a particle, a noun phrase plus an indicator plus a particle, a true adverb, or a verb. The indicator Ind is a noun-like element, and is connected to the Ν Ρ by the particle no. Then, by rule (12), Adv, Ind and Ρ all become matrices of features. By Convention 4, the 'next higher node' convention, these matrices of features take on the feature of the next higher node, which may be[+Time],

64

SOME ADDITIONAL PROBLEMS

[+Loc], [+Dir], or [+Man]. However, the NP is further developed by rules (10) and (12) such that when the Ν becomes a complex symbol, the next higher node is N P and not one of the adverbials. Therefore, in an adverbial construction like NP~«o"Ind~P or NP~P, the fact of adverbial derivation is carried in the matrices of Ind and Ρ but not in the Ν matrices. Hence, the noun tukue 'desk' can be used as the subject of a sentence, the object of a verb, or can enter an adverbial construction, as in the following examples: tukue ga arimasu 'a desk exists' (subject) Seki-san ga tukue o kaimasita 'Seki bought a desk' (object) boosi ga tukue ni arimasu 'the hat is on the table' boosi ga tukue no ue ni arimasu 'the hat is on top of the table' In the last two examples, in which tukue is used in adverbial constructions, the (simplified) Ρ markers are

Pred

NC

NP I . +NP +NP -An boosi

ga

VP

Loc I NP I_ +N +NP -An

+PP +Loc

+V +Vb +Exist

tukue

ni

ar

Aux

-+T —Neg mas

ru

and

Pred

NC Loc

Aux

VP

NP NP "+N Ί +NP -An boosi

+v

"+N " +NP -An ga

tukue

~+Ind" +Loc no

ue

"+P +Loc ni

"+T -Neg

+Vb +Exist ar

mas

ru

65

SOME ADDITIONAL PROBLEMS

In the second derivation, the Loc is expanded as and both the Ind and Ρ carry features indicating the derivation from a location adverb, but the noun tukue is not classified as an adverb, but rather as a N P in an adverbial construction. The indicator is ue while the particle is ni. The elements marked as Adv are adverbs of time and the like such as kyoo 'today' and ima 'now'. They too have included in their matrices the feature indicating the derivation. The simplified Ρ marker for a sentence like Taroo ga ima aruite imasu 'Taroo is walking now' would be

Pred

NC Time

VP

Aux

NP Asp

+N +Hum taroo

ga

"+Adv ' +Time

"+V " +VP

ima

aruk

; ι . +v-

"+T —Neg

+Asp te

mas

ru

When a verb is used as an adverb, rule (24) indicates that the verb must belong to the adjective subclass, and have the feature [—Vb], Later, T45 states: T45

ku Addition na -Vb SD: X, +[-Poir*a. 2

,X 3

Cond: 3 Φ [+T] A X SC: 2 -* 2~ku By this rule, all adjectives, and the negative morpheme na, receive the ku suffix. Later, if a tense matrix stands next to the adjective, proper tense suffixes are introduced. But in the case of an adjective used as an adverb, that is, derived from one of the four elements of Time, Loc, Dir, or Man, no tense matrix is present beside the form, and the ku form remains unchanged. For example, the verb haya 'early' when used as an adverb will be derived from the node Time, and by T45 will get the suffix ku to yield hayaku, as in the sentence Taroo ga hayaku okimasita 'Taroo got up early'. The simplified Ρ marker for this sentence is

66

SOME ADDITIONAL PROBLEMS

r NC

Pred I Time

.

NP I . +N +NP +An

taroo

VP

•+v -Vb +Time ga

haya

Aux

'+T —Neg +Past

•+v ' +Vb ku

ok

mas

ta

However, the question arises of a possible need to subcategorize the verbs in terms of adverbs of time, direction and the like. In his fragment of the English base component, Chomsky1 includes various Prep-Phrase's in the VP, and later the PrepPhrase's become Direction, Duration, Place, etc. Therefore, the verb acquires features of environment in the CS rule, and these features include adverbial features of direction and the like. This is not accomplished in my grammar of Japanese, and as a consequence certain cooccurrence restrictions which may indeed by quite important are missed. However, the verb is subclassified by selectional rule (21), and may here acquire a feature like + [ + N , . . ] A g a . . . where the dots represent the intervening elements and matrices of features, including, possibly, adverbial elements. But these features are not included in the selection features of the various lexical entries, as they are optional. It should be noted, however, that my rules do not prevent such strings as *Seki-san ga asita ikimasita '*Seki went tomorrow'. In order to prevent such strings, restrictions of cooccurrence must be placed on the adverbs of time and the Aux. This could be done in various ways. One way is to have the tense matrix acquire the tense feature from an adverb of time, by such a rule as i. [ + T ] - [±Past] but an environment statement would be necessary for (ii). This difficulty could be resolved if the two rules were simply collapsed into the single rule 111.

[+T]

{[aPast] I [+Time, aPast]..._ }[±Past] / elsewhere

1

An alternative formulation might be to allow the tense to be chosen first, and then have the time adverb acquire the tense of the Τ matrix. This could be done by the two rules 1

Chomsky, Aspects, pp. 106-107.

SOME ADDITIONAL PROBLEMS

i. [ + T ] -> [±Past] ii. [+Time] -+ [aPastj /

67

... [ + T , aPast].

Either solution could be fitted with equal ease into the grammar that I have presented. Perhaps verbs should be subclassified in terms of adverbs of direction, location, and manner, so that ik 'go' would have to have an adverb of direction, for example. The question still remains open, and much more investigation must be carried out in order to determine the proper formulation. It seems rather clear, however, that verbs need not be subclassified in terms of time adverbs, but that the Aux, or more specifically the tense, should be. The sentence adverb, Advs, could have been formulated as simply Adv, and the next higher node convention would have allowed the matrix of features to acquire the feature S, since 5 immediately dominates the string containing any sentence adverb. Adverbs which are repeated in two successive sentences are deleted. This is done by T1 Adverb Deletion SD: X, Adverb, X, # , X, Adverb, X 2 6 Cond: 2 = 6 = {Advs, Time, Loc, Dir, Man} SC: 6 null. This transformation deletes the adverb in the second string if it is identical to that in the first string. However, the rule does not account for another fact of Japanese — namely that a sentence adverb cannot exist in some embedded sentences which are used as modifiers. This fact parallels that of English, and a formulation of such transformations has been proposed.2 A sentence like *Seki-san ga sikasi Taroo no katta urna o mita *'Seki saw the horse that however Taroo bought' is ungrammatical in Japanese as in English. In order to prevent such strings, an additional condition must be placed on the transformation that accounts for embedded sentences. As it stands, the rule is T8 Repeated NP SD: X, # , X , N, (

Sa

ni ), X, # , X, N, X Ρ 2 4 5 7 9 Cond : 4 = 9, 2-9 dominated by the same NP SC: 2, 4, 5, -> null, 7 -* RM.

The function of this rule is to delete an Ν Ρ which is embedded within another NP if the two are identical. If the further condition 3 Φ Advs~X is added to the rule, and if a sentence adverb is contained in the embedded sentence, the rule will not apply. 2

Emmon Bach, "On Some Recurrent Types of Transformations", Report of the Sixteenth Annual Round Table Meeting on Linguistics and Language Studies ( = Monograph Series on Languages and Linguistics, No. 18) (Georgetown University Institute of Languages and Linguistics, 1965), pp. 3-18.

68

SOME ADDITIONAL PROBLEMS

If the rule does not apply, then the boundary # , the second element, is not erased, and a string containing such a non-terminal boundary is considered blocked. Therefore, a simple addition to the conditions of the rule will provide for the blocking of embedded sentence adverb strings. Similar adverbial problems exist in many languages, and the sentence adverb situation mentioned above must also be taken care of in English. In general, these problems have been neglected in transformational treatments (and elsewhere). Much further work must be done before such problems as I have raised here can be solved in a non ad hoc way. 5.3 PRONOUNS

It is often said that Japanese has an abundance of subjectless sentences, and that often the object of transitive verbs need not be specified.3 However, in the grammar I have provided, the subject Ν Ρ is obligatory as is the Ν Ρ object of a transitive verb. T8 allows for deletion of a repeated Ν Ρ if the Ν Ρ is within an embedded sentence and is identical to the N P that the embedded sentence modifies. A further transformation deletes repeated JVP's in conjoined sentences. T9 Repeated Ν Ρ ga

SD: X, NP, (

),Χ, # , Χ, ΝΡ, ( ni ) . Χ Ρ 2 7 8 Cond : 2 = 7, 2-8 not dominated by the same NP SC: 7, 8 null This rule simply deletes a repeated Ν Ρ plus particle, if the two identical NP's are not dominated by the same NP. The condition of non-dominance really need not be stated, since T8 accounts for strings dominated by the same NP, and only those strings not dominated by the same N P can remain to fit the SD. Hence, the second N P plus particle will be deleted if the first string does not modify the second Ν P. Repeated subjects and repeated objects will therefore be deleted. This rule does not provide for arbitrary deletion of subject NP's. The claim my grammar implies is that any well-formed sentence in the language must have a subject NP, and every transitive verb must have a Ν Ρ object. The claim is that the grammar accounts for the competence rather than the performance of the speaker. Such a claim is in accord with the notions of native speakers who seem to know what the subject or transitive verb object is even if it is not explicit in an utterance. Therefore, a string like kimono o kaimasita kcfl is often interpreted as 'did you buy a kimono?' but in other situations could just as correctly mean 'did he (or she, or they) buy a kimono?' That is, if the 8

For example, Jorden, Beginning Japanese I, xlv and 47-48. C. J. Dunn and S. Yanada, Teach Yourself Japanese (London, The English Universities Press, Ltd., 1958), p. 7.

SOME ADDITIONAL PROBLEMS

69

subject of the conversation is understood by the participants, it need not be explicitly stated in each sentence. T9 indicates that in a continuous flow of sentences, if the subject is the same, it is deleted in all but the first sentence. However, it is generally true in the actual performance of Japanese speakers that if the subject is understood from the situation at hand, it need not be included in even the first sentence. The problem of competence and performance has been discussed at length by Chomsky4 and I shall not elaborate on the topic here, except to state the claim that the grammar which I have included does attempt to account for the competence of the speaker in this particular situation. A further question which arises here is that of the status of pronouns in Japanese. Consider the following English sentence: i. He's reading the newspaper. ii. John is outside. He's washing the car. In (i) he is quite indeterminate without a context and has no referent, while in (ii) the referent is obviously John. That is, in the second example the underlying strings are John is outside and John is washing the car, and a transformation similar to T9 deletes the repeated N P rather than replacing it with another item. This suggests the possibility that Japanese does indeed have pronouns, but that the phonetic matrix is null for them. If this is the case, could a 'subjectless sentence' in Japanese be derived from a sentence with a Ν Ρ which becomes a pronoun? If this line of reasoning is followed, it is necessary to include in the lexicon for English forms like he, she and other pronouns, and these are distinct from those introduced transformationally. Likewise, a Japanese lexicon would have to have an entry with D, the phonological matrix, null, and with various features in the CS matrix. This solution seems to me to be incorrect since (1) it provides for (at least) two sources for pronouns in English, and (2) it makes sentences like kimono o kaimasita '(you, he, she, etc.) bought a kimono' ambiguous in Japanese. If a transformation which accounts for pronominalization in English (and deletion in Japanese) is permitted to operate across sentence boundaries, then only one source for pronouns is necessary. Further, in the Japanese situation, the speaker invariably knows what the subject of a 'subjectless' sentence is, and the inclusion of pronouns with null phonetic matrices would be counterintuitive for the speaker of the language. Perhaps semantic considerations are also relevant to the decision of the problem. If items like he are included in the lexicon, then the semantic component when operating on the output of the base component is unable to assign more than a very vague reading to he in a sentence like (i). But it must account for the proper reading in (ii), namely that the subject of both strings is the same lohn. But if the subject of the first sentence is John and the subject of the second is he in the deep structure, then ambiguity will result in the readings assigned by the semantic component. This ambiguity seems to me to be incorrect, as (ii) has only one interpretation, However, 1

Chomsky, Aspects, pp. 10-18.

70

SOME ADDITIONAL PROBLEMS

situations can be conceived of in which the second reading, in which he refers to someone else besides John, is a product of a non-linguistic situation (as, perhaps, pointing to someone who is not John when uttering the second part of (ii)). In order to justify the notion that pronouns are not lexical items but are introduced transformationally, one must provide a rule that inserts the pronoun in all the proper places. I have not done this, but rather have proposed T9 as a first (and major) step toward such a set of rules for Japanese. Other pragmatic and situational elements are necessary to provide such a rule or rules as are obviously reflected by speakers of the language. A result of the notion that pronouns are not lexical entries is that such sentences as kimono o kaimasita are not complete sentences, but rather are semisentences.5 I subscribe to this view. Japanese does have forms like watakusi Ί ' and anata 'you', which have often been placed in a special class as pronouns because of their meanings. However, there are no structural reasons to treat these forms as members of a different class than such forms as haha '(my, our) mother', or syuzin 'husband'. All these items are human nouns and have the feature of either plus or minus IP, but no distinguishing characteristics separate these various nouns. Consequently, I have not marked items like watakusi, anata, boku, or omae as belonging to a special class simply because their meanings correspond to what are usually considered pronouns in a language like English. The question forms in Japanese such as dare and nani contain the feature [ + Q ] as well as [+Pro]. These items are PRO forms in the same sense that the corresponding English who and what are, but the relationship between Japanese dare 'who' and dare ka 'someone' (and nani 'what' and nani ka 'something') is much more apparent than that between the English someone and who. However, in the grammar I have provided for Japanese, the feature [ + P r o ] is really redundant, and would be necessary only if other forms like the zero pronouns are introduced in the lexicon. If this were done, both the zero forms and dare, nani, etc., would have the feature [+Pro], but only the latter would have the feature [ + Q ] . If my formulation of interrogatives derived from dare, itu, and other question words is incorrect, the feature [ + Q ] might have to be removed from them, in which case the feature [ + P r o ] would be necessary for the proper introduction of ka and mo in the various possible constructions. That is, the string dare mo ikanakatta 'no one went' is grammatical, while the string Taroo mo ikanakatta 'Taroo also didn't go' means something different from the first string. The mo in the second is not the same mo as in the first.® Since I have not provided a thorough set of rules for accounting for deletions of NP's (i.e. for the performance of the speaker), the question of the proper formulation of the pronouns is still open. However, I have indicated an initial choice in the matter, and I presently feel that it is the correct one. 6

Jerrold J. Katz, "Semi-Sentences", The Structure of Language, ed. Jerry A. Fodor and Jerrold J. Katz (Englewood Cliffs, New Jersey, Prentice-Hall, Inc., 1965), pp. 400-416. • The second mo 'also' is probably derived from the conjoining of two sentences under the condition of identical KP's (or Pred's) in the two sentences. This construction is not accounted for in the present grammar.

SOME ADDITIONAL PROBLEMS

71

5.4 THE PHONOLOGICAL COMPONENT

The phonological component of a transformational grammar serves to convert the various lexical and grammatical formatives present at the end of the transformational component into the final phonetic shape. I have adopted a phonological notation which is quite similar to the phonemic notation used by Jorden 7 as an abbreviation for a more proper distinctive feature notation. Such an abbreviation is justified here since the main concern of the present work is syntactic rather than phonological. I have omitted completely the very complex problems of accent in Japanese, although such problems have been dealt with in terms of generative phonology by McCawley. 8 The phonological component of a transformational grammar consists of three sets of rules — a set of precyclical rules, followed by a set of cyclical rules, and finally a set of post-cyclical rules. Both the precyclical rules and the cyclical rules utilize grammatical information contained in the surface structure Ρ marker. The precyclical rules assign or alter phonological shapes of formatives in accord with grammatical information in the Ρ marker. These rules correspond roughly to the traditional morphophonemic rules in which such grammatical formatives as Plural, and Tense are rewritten as phonological sequences. In Japanese, the shape of the tense marker will vary, depending on whether the tense follows a [—Vb] verb or a [ + V b ] verb. Such information will be contained in the derived Ρ marker for the string at that point in its derivation. For example, the second precyclical rule of the present grammar states

Ρ1 [kattajl

"+V ' -Vb

ru PC2. ta

na

en en & damasru

'+T +Neg

/

mas

This rule specifies various changes in the phonological spelling of the formative depending on the grammatical information within and surrounding the tense matrix. For example, if the tense matrix is negative, is preceded by mas, which is in turn preceded by a [ + V b ] verb, the spelling of the tense matrix is changed from ru (for the non-past) to en (or from ta for the past to en & damasru). Other precyclical rules insert certain vowels in particular items if certain conditions obtain. For example, PC3 provides that the negative morpheme na acquire the vowel a, changing the shape to ana, if the na is preceded by a consonant. The grammatical ' 8

Jorden, Beginning Japanese. McCawley, "The Accentual System of Standard Japanese",

72

SOME ADDITIONAL PROBLEMS

information stating that na is followed by a negative tense matrix is necessary in the rule in order to insure that no na other than the negative morpheme na acquire the a. I have adopted the convention here and elsewhere that the bottom, that is the italicized sequence in a given matrix is the phonological spelling of the matrix, As further illustration of the use of the precyclical rules, let us consider the case of vowel harmony as it appears in the polite [—'Vb], that is, adjectival, constructions. By T42, if a [ - V b ] verb is marked with the feature of [ + [ + P o l ] ~ g a . . . _ ] , to the verb is added u^gozar. The added elements are necessary to indicate the politeness in the surface structure. For verbs like taka, 'high', samu 'cold', huto 'heavy', and utukusi 'beautiful', we find the polite forms to be takoo gozar, samuu gozar, hutoo gozar, and utukusyuu gozar (plus the tense markers, which are unimportant to the present discussion). Thus, when the stem terminates in a or o, the added u changes to o, and the stem final a also becomes o. If the stem ends in u, there is no change, but if the stem ends in i, the i changes to y, and the u is doubled. These cases represent a residue of vowel harmony. Japanese probably had productive vowel harmony as late as the eighth century A.D. 9 Another residue of earlier vowel harmony is found in the modern morphophonemic alternants of kurw.kite and suru:site.10 The vowel harmony in the polite adjectival formations is constrained by the grammatical information present in the string, since the change ao to oo does not occur elsewhere in the language (that is, the form aoi '(is) blue' is not replaced by ooi). The following precyclical rules account for the facts of the vowel changes: -Vb +[+Pol]ga...

PC10. a -> o I

PC11. u —• o /

—Vb +[+Pol]ga. o

u &

&

The first of these rules changes the stem final vowel a to o, if the proper environmental contraints are present. The second rule changes the u added by T42 to o if the stem final vowel is o. Thus, we have the (partial) derivation : by PC10: by PCI 1 :

taka u & gozar tako u & gozar tako o & gozar

huto u & gozar (no change) huto o & gozar

The only remaining change necessary is that of iu to yuu to get the form utukusyuu from utukusiu. However, this change is very general in the language and is handled by the post cyclical phonological rule PI 1. While the precyclical rules account for the facts of the vowel changes, the rules do • This fact is discussed by Saburo Yoshitake, The Phonetic System of Ancient Japanese (London, The Royal Asiatic Society of London, 1934). 10 I am indebted to Dr. S. L. Yen of the University of Texas for this observation and many others concerning the nature of Japanese phonology.

SOME ADDITIONAL PROBLEMS

73

not capture the significant fact that the changes are in accord with the principle of vowel harmony. If the rules were written in terms of distinctive features, such generality could readily be shown. McCawley treats this problem in his distinctive feature analysis of Japanese. He establishes the distinctive features for the vowels as : u ens voc grv dif cmp

+

+ +

+

where ens is consonantal, voc vocalic, grv grave, dif diffuse, and cmp compact, He exploits the lack of a stem final e with the rule12

[

—cns~| -grvj

[+dif] /

)

Adj-stem

He notes that there is no difference between oo and ou (or between ee and ei). Therefore, he posits the polite suffix as u, and he establishes takoo as takou. This is perfectly acceptable for the Tokyo dialect. However, he changes α to o by the rule :13

[

+ VOC

—ens +grv +dif

L

—ens Ί

Γ - cVm p j ^ lll^J

J

+grv

But this not only changes a to o, but also i to u, as he actually states. However, this would yield *utukusuu instead of the correct utukusyuu. Therefore, an alternate formulation of the distinctive feature rules would be ens I +VOC

[_cmP]

I —)

P o 1 Ad

j-stem

This rule simply changes a to o if the a is stem final in a polite adjective. If no distinction is recognized between on and oo, then no other rule would be necessary if the polite suffix is u. However, if the phonetic sequence is really oo and not ou, the following phonetic rule is added to change the « to o after a stem final o : u

[

—ens Ί

+ VOC

11

J

—ens [-difl/

+ VOC

-dif

McCawley established this system for lexical items with five vowels. For items without e the feature grv is redundant and can be predicted. I use the five vowel system here because of the rule for shifting final e to /'. 12 McCawley, p. 113. 13 McCawley, p. 114. 14 Whether or not oo contrasts with ou (provided that no word boundary intervenes) depends on the dialect being described. In the Tokyo dialect, no such contrast exists, and the suggested rules

74

SOME ADDITIONAL PROBLEMS

The sequence of these two rules provides a derivation of : taka u -+ tako u -> tako o The advantage of distinctive feature notation in the above discussion can be seen in the rule which exploits the absence of a final e in the adjective stems, and in the natural manner in which the vowel harmony is accounted for as a precyclical rule. If the rule were not precyclical, a special boundary or some other device would have been necessary to account for the same facts. The second set of rules in the phonological component of the grammar are the cyclical rules. These rules are transformational in nature, and in general apply first to the most deeply embedded strings, then to the second-most embedded strings, and so on until finally the domain of operation of the rules is exhausted. That is, the cyclical rules first apply to the smallest constituents, and then reapply to the next larger constituents, erasing boundaries as they operate. One of the most important functions of such cyclical rules is to establish the proper accent levels (such as stress and pitch in English or pitch accent in Japanese). I have neglected the accent problems entirely, and consequently the present grammar contains no cyclical rules as would be necessary in a more complete phonological component of the grammar.15 Consequently, one may consider that the derived Ρ marker is erased at the end of the precyclical rules in the present grammar, due to the absence of cyclical rules, and at this point only the terminal strings and various boundary symbols (such as & and # ) are left. To such strings the postcyclical rules then apply. These rules are simple rewrite rules which provide for phonological facts, which are independent of grammatical information, such as assimilation, consonant cluster reduction and the like. The lowest level rules provide for the traditional allophonic variations of the phonemes, or for the systematic phonetic shapes of systematic phonemes, when the two shapes are different. Here again I have used a phonetic notation to abbreviate distinctive feature notations. Normally, if a Japanese verb stem ends in a consonant and the suffix added begins with a consonant, the suffix initial consonant is dropped. For example, hanas 'say' plus ru 'present tense' yields hanasu with the r of ru deleted by by postcyclical rule PIO. If the added suffix begins with a vowel, or if a vowel is inserted by a precyclical rule, the stem final consonant remains, as in hanas plus imas plus ru which becomes hanasimasu with the r of the tense suffix dropped. However, a few Japanese verbs, all of them polite forms, do not follow this pattern. These verbs delete the stem final r even if the suffix contains a vowel. These verbs are derived historically from verb stems plus the passive morpheme rare. Some examples are gozar 'be', ossyar 'say', and irassyar 'come, be, go'. The final r of the stem is deleted even if the suffix begins with a vowel, as in gozaimasu 'be'. In order to account for provide that takau is phonetically [takoo] and hutou is [hutoo]. In other dialects where the contrast is made between [ou] and [oo], rule (iv) is not needed. I am indebted to Dr. S. L. Yen for this observation. 15 For a treatment of the cyclical phonological rules, see Noam Chomsky and George A. Miller "Introduction to the Formal Analysis of Natural Languages".

SOME ADDITIONAL PROBLEMS

75

these few irregular forms, an ad hoc rule, P7 is introduced. The final post cyclical rules account for the phonetic variants of certain of the systematic phonemes. For example, P I 5 states: s -» s / i. A great deal of further phonetic detail could be specified (e.g., degree of aspiration of stops, etc.) but such tasks are well beyond the range of the main topics here.

5.5 A SECOND ALTERNATIVE GRAMMAR

As a final topic, I shall return to the basic formulation of a transformational grammar as suggested by Chomsky and adopted here. The base component consists of the branching and subcategorization rules and the lexicon. Lexical entries are of the forms (D,C) where D is the spelling of the item and C is a complex symbol matrix with various types of features. Lexical entries are inserted into the preterminal strings generated by the base component according to the lexical rule which operates according to a distinctiveness criterion. All of these elements and operations have been discussed in detail in the earlier chapters. In addition to this model, Chomsky 16 proposes a second alternative in which the base consists only of branching rules and the lexicon, but in which the lexical rule is formulated somewhat differently. In this model, the proposal is that all lexical categories be rewritten as a single dummy element Δ. The lexical entries are still composed of the spelling D and a complex symbol C, but all the restrictions on lexical items are provided by a reformulation of the lexical rule. In the reformulation a distinctiveness criterion is still followed, but in addition the actual frame into which an item must fit must be present both in the preterminal string and in the matrix of features of the lexical item. The lexical rule is now a strictly local transformational substitution. Chomsky summarizes this alternative formulation as follows: Thus the categorial component may very well be a context-free constituent structure grammar (simple phrase structure grammar) with a reduced terminal vocabulary (that is, with all lexical items mapped into the single symbol Δ)· The lexicon consists of entries associated with certain substitution transformations that introduce lexical items into strings generated by the categorical component. All contextual restrictions in the base are provided by these transformational rules of the lexicon. The function of the categorical component is the define the system of grammatical relations and to determine the ordering of elements in to deep structure.17 This second alternative is in certain ways less restrictive, and therefore more powerful than the first model. For example, in the first formulation rules like X CS are ordered in certain ways so that restrictions can be placed on contextual features assigned to various categories. This restriction does not exist in the second model. An example of this restriction in the grammar of the appendix is that the verb V becomes a complex symbol before the Ν Ρ is further developed in the noun and its 16

"

Chomsky, Aspects, pp. 121-123; 160-163. Chomsky, Aspects, pp. 122-123.

76

SOME ADDITIONAL PROBLEMS

various cooccurring elements. Therefore, the contextual feature assigned to a transitive verb is [ + N P . .] rather than [+(Det) ( # S # ) ]. The second model is not so restrictive as this, and allows both features. A question that must be asked is "Is the less restrictive, more powerful, second alternative model necessary?" If the additional power of the second model is not needed, then the first, more restrictive model is obviously preferable. If this is done, then further constraints are placed on the general model, and more exact knowledge is gained concerning the nature of language in general. If there is a single rule which does not permit formulation in the first model, but can be formulated in the second, then this will be evidence for the need of the additional power of the second alternative. I have not encountered such a need in the present grammar of Japanese. Since my grammar is rather extensive, and I have not needed the additional power of the second model, then I can suggest that such additional power may well be unnecessary in transformational grammars. A crucial case to the contrary will be one like Postal's18 demonstration that a context-free phrase structure grammar is inadequate for a particular language. Until this counter-evidence is found, the more restrictive grammar will be the better. And all the power of the more restrictive model is still contained in the second model, so there need be no fear of formulations possible in the first that are impossible in the second.19 As a final point, some of the treatments in the present grammar which differ from earlier transformational grammars of Japanese might be noticed. The derivation of questions is from two sources, one of which corresponds to the question word derivation (which is handled by T18). The other question construction results from the choice of a question particle, and the entire statement is consequently questioned. In earlier grammars, interrogatives have generally been handled as either optional transformations or as derived from a single source. The benefactive constructions are handled by T2, and result from an embedded sentence within a sentence using a benefactive verb. Earlier grammars used generalized transformations here, too. My treatment of the potential is somewhat different from that of Ueda as is my treatment of the aspects (T54). I have borrowed heavily from Ueda in formulating the conjunction elements as particles with embedded sentences, as in T16, T43, and T44, although I presently feel that such a formulation is incorrect since it does not provide Ρ markers with conjoined, but rather with subjoined, strings. In many other respects of the general syntax of the language, my rules are quite similar to those of earlier transformational grammars for Japanese.

18 18

Postal, "Limitations of Phrase Structure Grammars", especially, pp. 149-151. Chomsky, Aspects, pp. 122-123.

APPENDIX A. CONVENTIONS

1. The IDENTITY CRITERION (for base and transformational rules): If (a) the base has a rule of the form :

[aF„...] -»[ßF,] or (b) a transformation has the SD containing [ Y aFi,...], then the feature specification (xF, must be present for the rule to operate. 2. The DISTINCTIVENESS CRITERION for lexical insertions : A lexical entry containing the feature [aF¡] may be inserted into a preterminal string CS if that CS does not contain the feature [—aF¡]. 3. LEXICAL one rule [aG]

If [ßF] is in a lexical entry Q, and if there is only [ßF] in the base, then [aG] is also in Q.

REDUNDANCY RULE:

4. LEXICAL REDUNDANCY RULE (for selectional features) : If a lexical entry contains a selectional feature of the form: [ + [ ß F ] , . . . _ ] and if there is only one base rule [aG] [ßF], then the lexical entry contains the selectional feature [ + [ a G , ß F ] . . . ]. 5. NEXT HIGHER NODE CONVENTION: If X is a terminal category and Y is the least major category of X with respect to a given derivation, then [ + X ] [+Y]. 6 . NEGATIVE SPECIFICATION OF TERMINAL CATEGORIES: I f X t , X 2 , . . . X n a r e t h e t e r -

minal categories of the grammar, and if a lexical entry contains the feature [ + X ¡ ] (1 ^ i ^ n), then [ + X J -κ [ - X , ] for all j Φ i. 7. NEGATIVE SPECIFICATION OF LEAST MAJOR CATEGORIES: If Y l s Y 2 , ...Y m are least major categories of the grammar and if a lexical entry contains [+Y¡], (1 ^ i ^ m), then [ + Y J -> [ - Y j ] for all j Φ i. 8. NEGATIVE SPECIFICATION OF CONTEXTUAL FEATURES: If a lexical entry has the contextual feature [ + X Y] then for that entry [ + X Y] [-'W Z] where χ Φ w, Υ Φ Ζ. 9. A lexical item is marked with the feature [ + T J for all T's unless the item is specifically marked [—T¡]. If a string containing the feature [—T k ] fits the SD of T k , then T k does not operate on that string. 10. All Τ rules are obligatory unless marked optional.

78

APPENDIX A

11. All variables are symbolized by X in the SD of the Τ rules. X may have any value ; an X is not necessarily identical to any other X in the same SD unless so specified. 12. The arrow in the SC of a Τ rule is read 'is replaced by'. If Y immediately dominates the string containing X, and if the SC of a Τ rule is of the form X - » Z , then Y immediately dominates the string containing Ζ in the derived Ρ marker. The resulting change in the structural analysis is: Y I χ

Y -

13. If the SC of a Τ rule has the form X recursive.

I ζ A~X (or X~A), then the rule is non-

APPENDIX Β. JAPANESE GRAMMAR

1. BASE COMPONENT

Given: # S # Branching Rules 1. S -* (Advs)NCTPred 2.

NC

NP"ga

(Time) (Loc) (Dir) (Man) VP Λ Aux (SF)

3. Pred 4.VP-(

NP .._..}) (V) #S#

NP(«o~Ind) P) Time Adv Loc 5. Dir Man 6. Aux -»• (Asp)T(M) N L , ÍN 7. M Τ) [ν 8. Asp V 9. V -> CS í(Det) ( # S # ) 10. N P •N ka i \'mo\ \)

H

11. SF -» P P ( # S # ) 12. X CS where X = {Ν, PP, Ind, Adv, Advs, P, Det, T} Feature Rules 13.

[+N]

iL Con ±Pol ± For

80 14. 15. 16. 17. 18.

19.

APPENDIX Β

[+Con] [+An] [-An] [-Loc] +Hum] "αΙΡ Ί +Pol

[±An] [±Hum] [±Loc] [±Time] • [±1P] • [—aEx] -Con' +

[±No] /

20. [+N] 21. 22.

[ + N o ] / elsewhere CS I a~ga.. .(β) where α, β, are N's and α, β, V are dominated by the same S with no intervening S's [+V]->[±Vb] ÍNP j

[+V]·

f Asp j j(Asp)T~M J

23. [ + V ] -* [+Vb] /

+AspJ + M 24.

25. 26.

[+V]->[-Vb]/

whereX={Time, Loc, Dir, Man}

+X

I]

+Vb +[+Εχ]>*...([+Ν]). [+Elv] -ν [ ± H o n ]

[±Elv]

27. 28.

29. 30.

+Vb +[-Exrga...([+N], +Defr] -> [ ± H m b ] [+Vb]-[±Pot] Γ4-Α«η1 -> í [ 0 t A s ] 1 L^ASPJ jj-p As] ι x-j- +

3,

p

}

^

^

]

[±Defr]

rtN vb

Where α

]

where

/ I aFor j[±C] I # S #

([+SPrt] /

#

-

= χ φ

1 2 3 4

' ' ' β=

N)

1;2

I I

81

APPENDIX Β

*

[32 ] 2. SAMPLE LEXICON

1. 2.

ru (non-past) [ + T , —Past] ta (past) [ + T , + P a s t ] [_Vb,+VP]: a. [ + , + [+ΝΤ*α... ]: aka (red) taka (high, expensive) [ + o ] atu (hot) [ + o ] warn (bad) samu (cold) [ + o ] haya (quick, early) [ + o ] ooki (big) muzukasi (difficult) oso (late) maru (round) oisi (delicious) b. ita (hurt) [ + P o t , + [ + A n ] ~ g û . . . ]

3.

[ + V b , + V P , - T 4 8 , — T49]: a. [ + N P , + [+Exr^...[+Con] itadak (take, eat) itas (do) haiken si (see)

4.

]:

b.[ + , + [+Εχ]Α*α... ]: · mair (come) or (be) [ + V b , + V P , — T46, — T47]: irassyar (come, be, go) [ + , +[+Ex]~ga... ossyar (say) [ + # S # , +[+Ex]^a ] nasar (do) [ + N P , +[+Ex]^...[+N] ] mesiagar

(eat) [ + N P

, + Exist]

, +[+Ex]~ga...[+Con]

5.

gozar (be) [ + V b , +

6.

[+Vb, +VP, + N P wakar (understand) deki (be able)

7.

[+Vb, + V P , +Benef, + # S # age (give) [ + [ + A n ] " g a . . . ]

, +[+Pol]^a... +[+An]"ga.. .[+N]

]:

mor aw (receive) [ + [ + Α η ] Λ # α . . . ] kudusar (give, lower) [ + [ — l P ] A g a . . . yar (give) [ - [ + 1 P , - P o l ] ^ a . . . ] kure (give) [ - [ - I P , - P o l ] ga...

]

]

( + V P , — T46, — T47, , -T48, -T49]

]

lAs] , - T 7 , +Pot]:

82

APPENDIX Β

8. [+Vb, +VP, + ki (come) ik (go)

+[+An, -Poirse...

]:

9. [+Vb, +VP]: a. [+[+Αη] Α *β..., + ]: aruk (walk) hasir (run) tob (fly) i (be) [+Exist] b. [ + [ + A n r g f l . . . [ - A n ] , +NP ]: yom (read) nom (drink) c. [ + [ + A n ] - g a . . [ + C o n ] , +NP ]: kaw (buy) tor (take) mot (hold) mi (see) kik (listen, ask) ake (open) yob (call) d. sase (causative) [ + # S # , +[+An]"ga.. ] e. si (do) [ + N P _ , + [ - Ρ ο 1 ] > ζ . . . [ + Ν ] ] f. nar (become) [ + # S # , ] g. ar (be) [ + , + [ + N T g a . . _ , +Exist] 10. a. [+[+Ex] A gfl... , + , +Vb, +Asp]: irassy ar (durative aspect) [lAs] simawarare (completive aspect) [2As] okare (preparatory aspect) [3As] gozar (stative aspect) [4As] b. or (durative aspect) [ + , +[+Defigga... A c.[ + , +[+N] ge... ]: i (durative aspect) [lAs] simaw (completive aspect) [2As] ok (preparatory aspect) [3As] ar (stative aspect) [4As] 11. [ - V b , + M , +

T(

T)]:

rasi [+Presump] ta [+Desid, + [ + l P ] ^ a . . 12. [ + N , + M , + ( yoo [+Presump] soo [+Presump] 13. yoo [ + N , + M , -fc14. [ + N , + M , +

]

]

yasu [+Facil, +[—An]~ga niku [+Diff, + [ - A n ] ~ g a .

: no [+Declar] T, +Probab] T(J^JT)]

APPENDIX Β

bakaril+Immed. Past] tumori [+Intent] tokoro [+Loc] 15. [ + N , - N o , + ]. suki (like) [ + o ] rippa (pretty) kirai (dislike) ooki (big) onazi (same) 16.

[+PP, + C , +

nagara (during) te (and) temo (even though) 17.

[+PP, - C , +

# s #]

tari (continuous action) reba (if) yoo to (preparatory to) #S#]

noni (in spite of) to (when) ga (but) node (on account of) keredomo (however) si (and) toki (when) kedo (however) kara (but) 18. [ + P P , + Q , + #(S#)] ka sira [+[—For]~ga... - ] ka kai [+[—For]"ga... +MSpkr] ka na [+[—Forj'ga , + MSpkr] +MSpkr] i [+[—For]~ga.. 19. yo [ + P P , +Imp, + - # ( S # ) ] 20. [ + P P , +SPrt] -MSpkr] +MSpkr] wa yo [+[—For]~ga... je[+[-ForTsa.._ nee +MSpkr] wa [+[—For]~ga.. 21.

[+P] Pas [ + M a n ] kara (from) [—Loc] ni (in, at) made (to) [—Loc] de (at, from, in) 22. [+Ind] ue (on) [+Loc] mae (before) [—Dir] sita (under) [+Loc] ato (after, behind) [— Dir] soto (outside)[+Loc] aida (while) [—Dir] naka (within) [+Loc] 23. [+Advs] sosite (and then) keredomo (however) sikasi (however) 24. [+Adv] a. [+Time] sugu (soon) ima (now) kinoo (yesterday) kyoo (today) b. ikinari (suddenly) [ + M a n ] 25. [ + N , + N o , + N P , +Nom, + ( D e t ) # S # _ no (one) koto (fact) mono (thing, object) 26. [ + N , + N o , + N P , +(Det) ( # S # ) ] a. [ - A n ] tegami (letter) hon (book) [+go] tabako (cigarettes)

83

84

APPENDIX Β

niwa (garden) ame (rain) uti (house) huransugo (French) sinbun (newspaper) benkyoo (study) enpitu (pencil) hana (flower) tya (tea) [ + o ] Aas; (chopsticks) [ + o ] doitugo (German) tenpura (fried shrimp) tenki (weather) [ + o ] tookyoo (Tokyo) b. [ - 1 P ] zyotyuu (maid) kata (person) tomodati (friend) [ + o ] hito (person) sensee (teacher) c. [+Prop, + H u m ] seki [+Family] ken [—Family] taroo [—Family] d. [—Con, +go\ sinpai (worry) e. [—Hum] inu (dog) neko (cat) 27. [ + N , + N o , + N P , +(Det) ( # S # ) _ - ] a. [+1P] haha (my mother) watakusi (I) [ + F o r ] titi (my father) boku (I) [ - P o l , - F o r ] ane (my older sister) kanai (my wife) ani (my older brother) watasi (I) b. [ - 1 P ] omae (you) [—Pol] anata (you) [ + F o r ] kaasan (your mother) [ + o ] anta (you) toosan (your father) [ + o ] kimi (you) [—Pol] c. [+Hum]: syuzin (husband) [+go] 28.

dare (who) [+1P, - P o l ] dotira (where) [+Pol, +Loc] itu (when) [+Time] doo (now) [—Con] 29. [+Det] kono (this) sono (that) sonna (that)

M)

] [moj donata (who) [ - 1 P , +Pol] doko (where) [—An, +Loc, —Pol] nani (what) [+Con]

[ + N , + N o , + N P , +Pro, +Ques, + (

ano (that) konna (this)

APPENDIX Β

3. TRANSFORMATIONAL COMPONENT

Index of transformations Tl. T2. T3. T4. T5. T6. T7. T8. T9. T10. Til. T12. T13. Τ14. TI5. Τ16. Τ17. T18. T19. T20. T21. T22. T23. T24. T25. T26. T27. T28. T29. T30. T31. T32. T33. T34. T35. T36. T37. T38.

Adverb Deletion Benefactive Adjustment Passive Causative Optional: Causative Agent Particle Shift Potential : Particle Addition Potential: Suffix Addition Repeated NP Repeated NP Optional: Embedded S Particle Shift Adnominal Modification Adnominal Modification Optional: Relative Verb Deletion RM Deletion Modal Adjustment Connector Filter Aspect Adjustment Question Adjustment in Pro Forms Narti Particle Insertion Object Particle Insertion Modal Particle Adjustment Change of ga to wa Pro Form Particle Shift Quotative Particles Optional : Quotation Subject Shift Optional : Quotative Particle Deletion Optional: Particle Deletion Optional: Particle Deletion Imperative Subject Deletion Optional: Negative Imperative Positive Imperative Optional: Contracted Imperative Non-Benefactive Imperative Copula Insertion Optional: Stylistic Use of aru/gozaru Formal Suffix Formality Shift Optional : Formality Choice

86

T39. T40. T41. T42. T43. T44. T45. T46. T47. T48. T49. T50. T51. T52. T53. T54. T55. T56. T57. T58. T59. T60. Tl.

T2.

T3.

APPENDIX Β

Negative Formation Negative Formation Negative Imperative Polite Adjective Formation Connector Adjustment Connector Adjustment ku Addition Exalted Passive Honorific Formations Humble Causative Humble Formations Exalted o Exalted go Optional : Title Additions Optional: Title Additions Aspect Marker Modal Shift Copula Deletion Copula Deletion Word Boundary Word Boundary Deletion Word Boundary Deletion Adverb Deletion SD: X, Adverb, X, # , X, Adverb, X 2 6 Cond: 2 = 6 = {Advs, Time, Loc, Dir, Man} SC: 6 -» null seki-san ga kinoo ik Τ kedo # seki-san ga kinoo hon kaw Τ -> seki-san ga kinoo ik Τ kedo # seki-san ga hon kaw Τ 'Seki didn't go yesterday, but he bought a book'. Benefactive Adjustment SD: X, NC, Χ, # , X, NC, Χ, Γ + V 1, (Asp), Τ, # , +v +Vb X [+Vb} 2 6 10 11 +Benef Cond: 2 = 6; 2 contains (Det)~[+Hum] SC: 10-» íe, 11-»null seki-san ga # seki-san ga taroo ni hon yom Τ # yar Τ -» seki-san ga # sekisan ga taroo ni hon yom te yar Τ 'Seki read the book for Taroo'. Passive ~+V SD : Χ, Ν, ga, Χ, Ν, Pas, Χ, +'Vb , Χ 2 5 6

APPENDIX Β

T4.

T5.

T6.

Cond: 2 Φ 5 and 7 # Χ Λ Ν SC: 2 5, 5 ->· 2, 6 ni, f rare taroo ga hon Pas yom T -* hon ga taroo ni yom T 'The book was read by Taroo'. Causative SD: X, NP, ga, X, #, X, NP, ga, X, + V Ί, (Asp), T, # , sase, X 5 7 8 2 +VbJ 1213 15 a. Cond: 15 = rare^X, and 2 = 7 SC: 5, 7, 8, 12, 13 null taroo ga zyotyuu ni # taroo ga hon yom Τ # sase rare Τ -» taroo ga zyotyuu ni hon yom sase rare Τ 'Taroo was caused by the maid to read a book'. b. Cond: 2 Φ 7 and 15 Φ rare^X SC: 5, 12, 13 -» null, 8 ni sensee ga # taroo ga hon yom Τ # sase Τ sensee ga taroo ni hon yom sase Τ 'The teacher made Taroo read the book'. Optional: Causative Agent Particle Shift SD:X, N, ni,V+V Ί 3 L+VbJ, sase, X SC: 3 -*• null taroo ga neko ni hasir sase Τ -* taroo ga neko hasir sase Τ 'Taroo made the cat run'. Potential : Particle Addition "+V ' SD: X, NC, Χ, Ν, +Vb 4

T7.

j_+Pot

SC: 4 -ν 4 ~ga seki-san ga doitugo deki Τ -> seki-san ga doitugo ga deki Τ 'Seki knows German'. Potential: Suffix Addition ~+V +Vb SD: X, +Pot 2 SC: 2 -*2~rare seki-san ga huransugo ga hanas Τ -* seki-san ga huransugo ga hanas rare Τ 'Seki can speak French'.

87

88

APPENDIX Β

T8.

Repeated Ν

T9.

ga SD: Χ, # , Χ, Ν, ({ni ), Χ, # , Χ, Ν, Χ Ρ 2 4 5 7 9 Cond: 4 = 9 and 2-9 dominated by the same NP SC: 2,4,5-* null, 7 -» RM kore ga # taroo ga hon kaw Τ # hon Τ kore ga taroo ga kaw Τ RM hon Τ 'That is the book that Taroo bought'. Repeated NP

SD: X, NP, ( ni ), X, # , X, NP, ( ni ), X Ρ Ρ 2 3 7 8 Cond: 2 = 7 and 2—8 not dominated by the same NP SC: 7, 8 null seki-san ga ik Τ ga # seki-san ga mo nani kaw [ + T , + N e g ] -* seki-san ga ik Τ ga # mo nani kaw [ + T , + N e g ] 'Seki went, but didn't buy anything'. T10. Optional: Embedded S Particle Shift SD: Χ, Ν, ga, X, RM, Χ 2 3 5 Cond: 2—5 dominated by the same NP SC: 3 -* no kore ga taroo ga kaw Τ RM hon Τ -ν kore ga taroo no kaw Τ RM hon Τ 'This is the book Taroo bought'. T i l . Adnominal Modification

SD: Χ,

, Τ, RM, Χ

2 3 4 a. Cond: 3 contains [ + N e g ] SC: 2 -»• , 4 - * null seki-san ga taroo Τ RM tomodati mi Τ -* seki-san ga taroo no Τ tomodati mi Τ 'Seki saw a friend who wasn't Taroo'. b. Cond: 3 contains [—Neg, —Past]

APPENDIX Β

Γ noi. 3, 4 -> null |_«aj taroo ga zyotyuu Τ RM hito mi Τ taroo ga zyotyuu no hito mi Τ 'Taroo saw a person who is the maid', taroo ga kiree Τ RM urna mi Τ -» taroo ga kiree na urna mi Τ 'Taroo saw a horse which is pretty', c. Cond: 3 contains [—Neg, +Past] SC: 3 -» da*3, 4 null taroo ga isya Τ RM tomodati mi Τ taroo ga isya da Τ tomodati mi Τ 'Taroo saw a friend who was a doctor'. T12. Adnominal Modification "+V SD: X, # , Χ, Ν, ga, X, + V b , Τ, # , Ν, X +Exist 4 5 7 8 9 10 2 a. Cond: 2-10 dominated by the same NP, 8 contains [—Neg, —Past] SC: 7 no, 2, 5, 8, 9 -* null # taroo ga ar Τ # tomodati ga ki Τ -* taroo no tomodati ga ki Τ 'Taroo's friend came'. b. Cond: 2-10 dominated by same NP, 8 does not contain [—Neg, —Past] SC: 2, 9 null, 5 no taroo ga # watasi ga ar Τ # hon mi Τ -* taroo ga watasi no ar Τ hon mi Τ 'Taroo looked at the book which was not mine'. T13. Optional: Relative Verb Deletion "+V SD: Χ, Ν, Ρ, + V b , Τ, RM, Χ +Exist 3 4 5 6 Cond: 5 contains [—Neg, —Past] SC: 3 no, 4, 5, 6 null taroo ga asoko ni ar Τ RM uti de asob Τ -y taroo ga asoko no uti de asob Τ 'Taroo is playing in that house over there'. T14. RM Deletion SD: Χ, Τ, RM, Χ 3 SC: 3 -»• null kore ga taroo no kaw Τ RM hon Τ SC: 2

89

90

APPENDIX Β

-»• kore ga taroo no kaw Τ hon Τ 'This is the book Taroo bought'. T15. Modal Adjustment "+v + Μ

+ Μ

+Presump » ΤΑ 9 +Presump 2 3 4 SC: 2, 3, 4 ->· null tenpura ga oisi Τ rasi Τ soo Τ tenpura ga oisi soo Τ 'The tempura seems tasty'. T16. Connector Filter S D : Χ , Τ,

T,X

Aux, (SF), Χ 6 4 Cond: 6 contains {si, nasar, or itadak} SC: 4 null inu ga hasir tari # hasir na tari si Τ -* inu ga hasir tari hasir na tari si Τ 'The dog runs and stops, off and on'. T17. Aspect Adjustment "+N SD : X, ka, + P r o +Ques 2 3 4 SC: 2, 3, 4 -»· null, 6 -> 6~ga ka dare ga to ake ar Τ to ga ake ar Τ 'The door has been opened'. T 1 8 . Question Adjustment in Pro Forms "+N +Pro SD: X, [_+QuesJ, X, Aux, X 1 2 4 Cond: 1 Φ X~{ka, mo} and 5 Φ ΡΡ Λ Χ SC: 4 -> 4~ka dare ga ik Τ dare ga ik Τ ka 'Who went?' T19. Νarti Particle Insertion SD: Χ, Ν, nar, Χ 2 SC: 2 ni

APPENDIX Β

seki-san ga sensee nar Τ seki-san ga sensee ni nar Τ 'Seki is going to become a teacher'. T20. Object Particle Insertion Γ + ν Ί SD: Χ, Ν,

L+VbJ,X

1 SC: 2 -»· taroo ga tegami kak i Τ -* taroo ga tegami o kak i Τ 'Taroo is writing a letter'. T21. Modal Particle Adjustment +V +M + v l SD: X, + V b , T , +Desid +Facil +Diff 3 a. Cond: 1 SC: 8 ga, 3 null boku ga hon o yom Τ ta Τ boku ga hon ga yom ta Τ Ί want to read the book', b. Cond: 1 Φ X~N SC: 3 null boku ga ik Τ ta Τ -* boku ga ik ta Τ Ί want to go'. T 2 2 . Change of ga to wa SD: X, N.SÛ.X, Ν , g a , X 3 SC: 3 -y wa boku ga hon ga yom ta Τ -» boku wa hon ga yom ta Τ Ί want to read the book'. T23. Pro Form Particle Shift "+N

ka SD: X, mo 2 SC: 2 3,3

+Pro +Ques , x 3 2

91

92

APPENDIX Β

taroo ga mo nani kaw [ + T , + N e g ] -* taroo ga nani mo kaw [ + T , + N e g ] 'Taroo didn't buy anything'. T24. Quotative Particles

T+T

τ

L+ForJ

"+V SD: X, # , S, # , 2 4 SC: 2, 4 -> null, 5

+Vb +Quot 5

,x

[ttj

taroo wa # seki-san ga ik Τ # iw Τ taroo wa seki-san ga ik Τ to iw Τ 'Taroo said that Seki went'. T25. Optional: Quotation Subject Shift +V +Vb SD: X, NP, {wa, ga}, S, {to, tie), [_+Quot +Quot , X 2 3 4 5 SC: 2, 3, 4, 5 4, 5, 2, 3 taroo wa seki-san ga ik Τ to iw t -» seki-san ga ik Τ to taroo wa iw Τ 'Seki went, Taroo said'. T26. Optional : Quotative Particle Deletion SD: X, ka, {to, tte), X 2 3 SC: 3 - null taroo wa seki-san ga ki Τ ka tte omow Τ -* taroo wa seki-san ga ki Τ ka omow Τ 'Taroo wondered: Is Seki coming?' T27. Optional: Particle Deletion "+N

+Pro SD: Χ, I + Q u e s

, {ka, mo}, {ga, wa, o}, X 4

SC: 4 -* null seki-san ga nani mo o kaw Τ -* seki-san ga nani mo kaw Τ 'Seki didn't buy anything'.

APPENDIX Β

T28.

T29.

T30.

T31.

T32.

Optional : Particle Deletion SD : X, ga, Χ, Ν, (ο), X 3 6 SC: 3, 6 -> null taroo ga urna o mi Τ -» taroo urna mi Τ 'Taroo saw a horse'. Imperative Subject Deletion +PP "+N +An +Imp SD: X, - 1 P , ga, X, yo X 2 3 SC: 2, 3 null anata ga ik te kudasar Τ yo -> ik te kudasar Τ yo '(Please) go'. Optional : Negative Imperative Γ+ν +ΡΡ Γ + τ Ί +Imp Γ+V Ί +Vb ,χ SD: X, |_+VbJ, te, [_+Benef , L + N e g J , yo 5 4 3 SC: 3 -* da, 5 -> null hon o yom te kudasar Τ yo -* hon o yom Τ da kudasar yo 'Do not read the book'. Positive Imperative +PP ' -+v Ί, +Imp +Vb Γ+Τ yo SD: X, L+BenefJ , [ - N e g X 3 SC: 3 - null hon o yom te kudasar Τ yo -»· hon o yom te kudasar yo 'Read the book'. Optional : Contracted Imperative +PP " +v +Vb +Imp ,χ SD: X, +Benef , χ , yo 4 2 3 5 Cond: 3 φ T~X SC: 2, 4 null hon o yom te kudasar yo

93

94

APPENDIX Β

-* hon o yom te 'Read the book'. T33. Non-Benefactive Imperative +PP +Imp SD :X ' [ + V b ] , [ - N e g ] , yo 4 SC: 3 - null hon o yom Τ yo hon o yom yo 'Read the book'.

,x

T34. Copula Insertion SD: Χ, Ν, Τ, Χ 3 SC: 3 -»· d a " 3 ano kata ga sensee Τ ano kata ga sensee da Τ 'That person is a teacher'. T35. Optional: Stylistic Use of aru / gozaru

T|_+PolJ +NT

SD: X,

ga, X, da, Τ, X

Γ+Ν

Jj

Pol 2 Γατ Ί SC:5-5 ' \_gozarj ano hito ga sensee da Τ ->· ano hito ga sensee da ar Τ 'That person is a teacher', ano kata ga sensee da Τ -* ano kata ga sensee da gozar Τ 'That person is a teacher'. T36. Formal Suffix "+T Ί SD: X, L + F o r J , (SF), # , X 2 SC: 2 mas Λ 2 ano kata ga sensee da ar Τ ano kata ga sensee da ar mas Τ 'That person is a teacher'.

APPENDIX Β

T37. Formality Shift Γ-Vb SD:X, +[-Poirgfl..._

Γ+τ mas,

SC: 3 ->· 4; 4 ->· 3 tenki ga samu mas Τ -* tenki ga samu Τ mas 'The weather is cold'. T38. Optional: Formality Choice Γ+τ Ί SD: X, mas, [_+Neg_|, X 2 3 SC: 2 -»· 3; 3 - 2 tenki ga samu mas Τ -»· tenki ga samu Τ mas 'The weather is not cold', seki-san ga hon o yom mas Τ -» seki-san ga hon o yom Τ mas 'Seki is not reading the book'. T39. Negative Formation SD: X, da ,(m 2 Λ pwíz) a r j kore ga hon da mas Τ -* kore ga hon da wa ar mas Τ 'This is not a book', kono hon ga aka mas Τ -»· kono hon ga aka ar mas Τ 'This book is not red'. T40. Negative Formation SD: Χ, Γ + Τ Ί , Χ L+NegJ 1 2 Cond: 1 ^ X ^ m a s SC: 2 na Λ 2 tenki ga samu Τ mas tenki ga samu na Τ mas 'The weather is not cold'.

Neg

96

APPENDIX Β

Jï

T41. Negative Imperative S D : X, na, Γ + Τ +PP " +Imp +Neg 4 2 3 null SC: 2 3; 3 2; 4 hon o yom na Τ yo - * hon o yom Τ na 'Do not read the book'. T42. Polite Adjective Formation S D : X, J " + V -Vb +[+Pol]~ga.. 2 SC: 2 2^u^gozar tenki ga samu mas Τ - * tenki ga samu u gozar mas Τ 'The weather is cold'. T43. Connector Adjustment S D : Χ, [ + T ] , Γ + Ρ Ρ Ί, # , X |_+—#s#J 2 3 4 a. Cond: 3 contains [ + C ] SC: 2, 4 -» null ame ga hur na Τ PP # boku ga ik Τ -» ame ga hur na PP boku ga ik Τ 'If it does not rain, I'll go'. b. Cond: 3 contains [—C] SC: 4 null taroo ga ik Τ PP # boku ga ik na Τ taroo ga ik Τ PP boku ga ik na Τ 'Taroo is going, but I'm not'. T44. Connector Adjustment S D : Χ, Γ + Τ Ί,Γ+ΡΡΊ,Χ

|_+PastJ \jo

J

2 SC: 2 null taroo ga ik Τ to boku ga ik na Τ taroo ga ik to boku ga ik na Τ 'If Taroo goes, I won't'.

APPENDIX Β

T45. ku Addition SD: X, na ,Χ "+V -Vb +[-Pol] A sfl 2 Λ Cond: 3 Φ [+Τ] Χ SC: 2 2*ku taroo ga haya kur mas Τ -ν taroo ga haya ku kur mas Τ 'Taroo came early'. T46. Exalted Passive "+V ' +Vb SD: X, f V P , X •f-Pas_ 2 SC: 2 2^ rare sensee ga tegami o kak mas ru -* sensee ga tegami o kak rare mas ru 'The teacher writes a letter'. T47. Honorific Formations "+V " +Vb SD: X, L + V P j , X 2 a. Cond: 2 contains [—Hon] SC: 2 -> o^l^ni^nar seki-san ga tegami o kak mas ru seki-san ga tegami o o kak ni nar mas ru 'Seki is writing a letter'. b. Cond: 2 contains [ + H o n ] SC: 2 ->• o~2~asobas seki-san ga tegami o kak mas ru -* seki-san ga tegami o o kak asobas mas ru 'Seki is writing a letter'. c. Cond: 2 contains [—Elv, —Pas] SC: 2 -» ο Λ 2 Α ώ seki-san ga hon o yom mas ru seki-san ga hon o o yom da mas ru 'Seki reads a book'. T48. Humble Causative

98

APPENDIX Β

+v SD: X, + V b ,Χ +VP —Defr 2 lasase"te"itadak

SC: 2

watakusi ga hon o yom mas ru -* watakusi ga hon o yom sase te itadak mas ru Ί am reading a book (for you)'. T49. Humble Formations "+V +Vb SD : X, [_+VP J , X 2 a. Cond: 2 contains [—Hmb] SC: 2 -* o A 2 A í i watasi ga seki-san to hanas mas ta watasi ga seki-san to o hanas si mas ta Ί talked with Seki'. b. Cond: 2 contains [ + H m b ] Imitas

SC: 2

watasi ga seki-san to hanas mas ta -»• watasi ga seki-san to o hanas itas mas ta Ί talked with Seki'. T50. Exalted o " + N " +Pol +Ex +o SD: X, ,Χ +V ' -Vb +[+Ex] A gfl. +o 2 SC: 2 tenki ga samu u gozar mas ta -> otenki ga o samu u gozar mas ta 'The weather was cold'. T51. Exalted go "+N

+Pol SD: Χ, + Ε χ +go

2

, χ

APPENDIX Β

SC: 2 -»• go*2 syuzin ga sinbun o o yom ni nar mas ta ka -»• go syuzin ga sinbun o o yom ni nar mas ta 'Did your husband read the newspaper?' T52. Optional : Title Additions "+N +Proper +Family X SD: X, + P o l -IP "+N +Proper —Family -Adult 2 SC:2^2*ïSama] 1Jyan J seki ga irassyar mas ta ka -* seki-sama ga irassyar mas ta ka 'Did Mr. Seki go?' ken ga gohan o tabe ta ka -> ken-tyan ga gohan o tabe ta ka 'Did Ken eat supper?' T53. Optional: Title Addition "+N +Proper +Family SD: X, |_—IP J,X 2 3 Cond: 3 Φ {sama, tyan}*X SC: 2 san seki ga kutu o kaw mas ta ka -> seki-san ga kutu o kaw mas ta ka 'Did Mr. Seki buy some shoes?' T54. Aspect Marker SD: X, Asp, X 2 SC: 2 te*2 taroo ga hon o yom i mas ru taroo ga hon o yom te i mas ru 'Taroo is reading the book'.

100

APPENDIX Β

T55. Modal Shift "+N +M Γ + τ "I +Probab , da, (mas), SD: Χ, , NegJ » X 2 SC: 2 -»· 5, 5 ->• 2 seki-san ga ik ru yoo da mas ru -» seki-san ga ik ru da mas yoo 'Seki will probably go'. T56. Copula Deletion +V Γ+τΊ fteJ +Vb +Quot SD: X, da, a, \ju J,(ka), [tte],. - 3 2 SC: 2, 3 null taroo no hon da ru ka to iw mas ta taroo no hon ka to iw mas ta '(He) said : Is it Taroo's book?' T57. Copula Deletion ~+PP Γ+ΤΊ \ka\ SD: X, da.. 7,1 ru J , (ras*J 2

SC: 2, 3 -> null kore ga seki-san no kaban da ru rasi i da mas kore ga seki-san no kaban rasi i da mas ru 'This is probably Seki's briefacse'. T58. Word Boundary SD : X, X 1 2 "+ΡΡΊ Cond: either 1 Φ Χ Λ g o or 2 Φ _+C J ,

ru

+M +Desid +Fácil +Diff +Fácil

Γ ++ Tτ Ί L - -NNeeggJJ ,, tara, tari, mas, # , sase, rare, u, ku}^X SC: 1, 2 1, &, 2 taroo no hon ka to iw mas ta -* taroo & no & hon & ka & to & iw mas ta '(He) said: Is it Seki's book?' T59. Word Boundary Deletion Γ+νΊ Γ+τ Ί SD: X, L + V b J , &, na, | _ + N e g J , Χ 3

te,

APPENDIX Β

SC: 3 -*• null taroo & ga & ik & na Τ -* taroo & ga & ik na Τ 'Taroo did not go'. T60. Word Boundary Deletion "+N " +Pol SD: Χ, &, o, &, • + v " 1.X A _+[+Ex] ge... SC: 4 -> null o & tenki & ga & o & samu u gozar mas ta -* o tenki & ga o samu u gozar mas ta 'The weather was cold'. 4. PHONOLOGICAL COMPONENT

A. Precyclical Rules Γ+Τ na |_+Neg

PCI. ar -> null / &

PvJ

ρ' \_katta

Γ+Τ

PC2 en 1 en & damasruJ / PC3. null -* a / C

'+T —Neg

na

Γ+V 1 mas |_+Vb J ~+T 1 +Neg|

T

1

mas + F o r J

PC4. null

-Vb \naku, yasu, +PP 1 - c nagara

i/

+Vb " +[+Pol]^a...([+N])_ ....C

+T +Neg

102

APPENDIX Β

+PP - c PC5. to -*• tara / Χ kat PC6. ku

where Χ Φ ... [ + T ] ¡tara ] \tari J

+V ' -Yb +PP +Imp

ke

reba

&

PC7. yo e/ C ' PC8. mas -» damasru / [ + T ] "+Vb +Pot PC9. rare-* e I . . . C -Vb PC10. a -» 0 /

u & -Vb +[+Poirge..._

PCll.w -> o I

...o

&

B. Post-Cyclical Rules PI.

P2.

P3. P4. P5. P6. P7.

da •> de / &_ da ru ta datta te de da reba nareba des mas dai ru & kai daroo yoo {ru, reba} [su / si [null / _ _{sase, rare} f k o / _ {nai, yoo, sase, rare, _yo} | ki [ k u / _ {ru, reba} J koyo -* koi / _ # kudasare -> kudasai goza ossya nuli / irassya nasa

103

APPENDIX Β "{b, m, n}

P8.

η

t -*

i

g P9.

" { t , r, w }

=

"

k

t i

—>·

s

si

PIO.

r - * null / C

Pli.

iu - * yuu

P12. " ] s

P13.

ζ

[v

y

V l

}

W h e r e

C V l

=

dz ts

·Η

P14

s

{#

s

t

P15.

/ C V l

§/

P16.

s —> s /

P 1 77..

ηn - > [im /

P18.

g

1 g / V _

P19.

w

null / .

/

{u, u }

/ —

{ U }

{i, i } s {p, b,

m}

-{k,g} _ V V where V =

{i, e, o , u }

k

'

h

'

^

BIBLIOGRAPHY

Bach, Emmon, An Introduction to Transformational Grammars (New York, Chicago, and San Francisco, Holt, Rinehart and Winston, Inc., 1964). , "On Some Recurrent Types of Transformations", Report of the Sixteenth Annual Round Table Meeting on Linguistics and Language Studies ( = Monograph Series on Language and Linguistics, No. 18) (Georgetown University Institute of Languages and Linguistics, 1965), pp. 3-18. Bloch, Bernard, "Studies in Colloquial Japanese, I: Inflection", Journal of the American Oriental Society 66 (1946), 304-315. , "Studies in Colloquial Japanese II: Syntax", Language 22 (1946), 200-248. Reprinted in Readings in Linguistics, pp. 154-185. Ed. Martin Joos (New York, American Council of Learned Societies, 1957). Chamberlain, Basil Hall, A Simplified Grammar of the Japanese Language (Modern Written Style). 2d ed. (Cambridge, Harvard University Press, 1942). Chew, John J., Jr., "A Transformational Analysis of Modern Colloquial Japanese" (Unpublished Ph.D. dissertation, Yale University, 1961). Chomsky, Noam, Aspects of the Theory of Syntax (Cambridge, The M.I.T. Press, 1965). , "The Logical Basis of Linguistic Theory", Proceedings of the IX International Congress of Linguists, pp. 914-978. Ed. Horace G. Lunt (The Hague: Mouton and Co., 1965). A revised version of this is "Current Issues in Linguistics", The Structure of Language, pp. 50-118. Eds. Jerry A. Fodor and Jerrold J. Katz (Englewood Cliffs, New Jersey, Prentice-Hall, Inc., 1965). , "On the Notion 'Rule of Grammar'", Structure of Language and Its Mathematical Aspects (identical with Proceedings of Symposia in Applied Mathematics, Vol. XII), pp. 6-24. Ed. Roman Jakobson (Providence, 1960). , Syntactic Structures (The Hague, Mouton and Co., 1957). Chomsky, Noam and George Α., Miller, "Introduction to the Formal Analysis of Natural Lant guages", Handbook of Mathematical Psychology Vol. II, 269-321. Eds. R. Duncan Luce, Rober. R. Bush, and Eugene Galanter (New York and London, John Wiley and Sons, Inc., 1963)Dunn, C. J. and S., Yanada, Teach Yourself Japanese (London, The English Universities Press, Ltd., 1958). Elisseeff, Serge and Edwin O., Reischauer, Elementary Japanese for University Students, 2d ed. (Harvard-Yenching Institute) (Cambridge, Harvard University Press, 1942). Gardner, Elizabeth F. and Samuel E., Martin, Honorific and Familiar Speech in Japanese (Institute of Far Eastern Languages) (New Haven, Yale University Press, 1952). Haguenauer, Charles, Morphologie du japonais moderne (Paris, C. Klincksieck, 1951). Han, Mieko Shimizu, Intermediate Modem Japanese (Los Angeles, Mikado Publishing Co., 1953). , Modem Japanese (Austin, Aztec Printing Co., 1961). Harris, Zellig S., Methods in Structural Linguistics (Chicago, University of Chicago Press, 1951). Hasagawa, Kinsuke, "Nihon bunpo siron", Gengo bunka 1 (1964), 3-46. Hashimoto, Shinkichi, Shin bunten bekki (Tokyo, Huzanbo, 1948). Henderson, Harold G., Handbook of Japanese Grammar (London, George Allen & Unwin, Ltd. 1945).

BIBLIOGRAPHY

105

Isami, Yasuo, "A Generative Grammar of Japanese", The English Teacher's Magazine 13: No. 8, 24-26, No. 9, 23-25, No. 10, 22-24, No. 11, 14-16, No. 12, 8-10; 14: No. 1, 13-15, No. 2, 19-21, No. 3, 21-23, No. 4, 60-62, No. 5, 78-81, No. 6, 53-55, No. 7, 58-60, No. 9, 58-63, No. 10, 28-30, No. 11, 30-34, No. 12, 26-29 (1966). Jorden, Eleanor Harz, Beginning Japanese, 2 vols. ( = Yale Linguistics Series, No. 5), (New Haven and London, Yale University Press, 1962). , "The Syntax of Modern Colloquial Japanese", Language 31, No. 1 (Part 3) (1955). Katz, Jerrold J., "Semi-Sentences", The Structure of Language, pp. 400-416. Eds. Jerry A. Fodor and Jerrold J. Katz (Englewood Cliffs, New Jersey, Prentice-Hall, Inc., 1964). Katz, Jerrold J. and Jerry Α., Fodor, "The Structure of a Semantic Theory", Language 39 (1963), 170-210. Reprinted in The Structure of Language, pp. 479-518. Eds. Jerry A. Fodor and Jerrold J. Katz (Englewood Cliffs, New Jersey, Prentice-Hall, Inc., 1964). Katz, Jerrold J. and Paul M., Postal, An Integrated Theory of Linguistic Descriptions (Cambridge, The M.I.T. Press, 1964). Kuroda, S.-Y., "Causative Forms in Japanese", Foundations of Language I (1965), 30-50. Lakoff, George, On the Nature of Syntactic Irregularity (Report No. NSF-16, The Computation Laboratory of Harvard University), (Cambridge, Harvard University, 1965). Lehmann, W. P. and Lloyd Faust, A Grammar of Formal Written Japanese (Cambridge, Harvard University Press, 1951). Martin, Samuel E., "Speech Levels in Japan and Korea", Language in Culture and Society, pp. 407-415. Ed. Dell Hymes (New York, Evanston, and London, Harper and Row, 1964). , "Morphophonemics of Standard Colloquial Japanese", Language 28, No. 3 (Part 2) (1952). McCawley, James D., "The Accentual System of Standard Japanese". (Ph.D. dissertation, Massachusetts Institute of Technology, 1965). Okada, Miyo, Keigo, Honorific Speech in Japanese (— Far Eastern Publications, Mirror Series J, No. 5), (New Haven, Yale University Press, 1963). Okamoto, Uichi, Nihongo hyoogen bunten (Tokyo, Kokusai Bunka Shinkookai, 1944). Postal, Paul M., "Limitations of Phrase Structure Grammars", The Structure of Language, pp. 137-151. Eds. Jerry A. Fodor and Jerrold J. Katz (Englewood Cliffs, New Jersey, PrenticeHall, Inc., 1964). Sansom, George Bailey, An Historical Grammar of Japanese (Oxford, Clarendon Press, 1928). Smith, Richard E., "A Transformational Sketch of Japanese" (Unpublished M.A. thesis, The University of Texas, 1962). Tang, Charles T. C., A Transformational Analysis of Japanese Verbs and Verb Phrases (The Linguistic Approach to English Teaching Series) (Taipei, Taiwan, China, The University of Texas Teachers Retraining Project, 1965). Ueda, Akiko, "The Adnominal Modification in Japanese" (Unpublished Ph.D. dissertation, The University of Texas, 1965). Yamigiwa, Joseph K., Modern Conversational Japanese (New York and London, McGraw-Hill, Inc., 1942). Yoshitake, Saburo, The Phonetic System of Ancient Japanese (London, The Royal Asiatic Society, 1934).

INDEX

Adjectives as verbs, 9, 10, 17, 31, 49, 52 Adverb, 23, 24, 31, 37, 63-67 Aspect, 24, 26, 27, 31, 32, 37-39, 42 Auxiliary, 24, 25, 26, 27, 51 Bach, Emmon, 39n, 67n Base component, 20, 23, 24 Benefactives, 33, 60-62 Bloch, Bernard, 12 Category grammatical, 23n least major, 23, 24, 37, 38 lexical, 23n, 37, 38 major, 23, 24 terminal, 10, 23, 24, 37 Causative, 17, 33 Chamberlain, Basil Hall, 12 Chew, John J., Jr., 15 Chomsky, Noam, 19n, 20, 21, 31n, 35, 36, 38, 45, 63, 66, 69, 75, 76 Complex symbol, 20, 21, 24, 26-28, 35-37, 40, 44, 69, 75 Copula, predictability of, 25, 26, 47, 48 Determiner, 23, 28, 37 Distinctiveness, 35, 36 Elisseeff, Serge, 12 Faust, Lloyd, 9 Feature animate, 28, 29, 39-41 concrete, 28, 29, 39, 40 deferential, 18, 32, 33, 57 elevated, 18, 32, 33, 55 exalted, 18, 28, 30, 41, 54, 58-60 first person, 28-30, 41 formal, 28-31, 33, 48 go, 43, 44, 58, 59 honorific, 18, 32, 54-56 human, 28, 29, 39, 41 humble, 18, 33, 54, 57, 58

negative, 46-48, 50-54 o, 43, 44, 58, 59 passive, 18, 32, 33, 55, 56 polite, 28, 29, 54 Features contextual, 20, 27, 36-39 inherent, 42-44 rule, 42-44 selezionai, 20, 21, 29-31, 35, 40-42 subcategorization, 24-27, 37-42 Formality levels of, 13-18, 21, 26 morpheme of, 13, 14, 16, 17, 18, 48, 50-54 see also Feature, formal Harris, Zellig S., 16 Hasegawa, Kinsuke, 16 Hashimoto, Shinkichi, 12 Henderson, Harold G., 12 Honorifics levels of, 11-18, 32, 33, 54 see also Feature, honorific; Transformation, honorific Indicator, adverbial, 23, 63 Imperatives, 60-62 Isami, Yasuo, 16 Jorden, Eleanor Harz, 13, 15, 25 Katz, Jerrold J., 19 Lakoff, George, 40, 44 Lehmann, W. P., 9 Lexical entry, 36-40, 42 Lexical redundancy rules, 39, 40 Lexical rule, 35-37 Martin, Samuel E., 15, 43 McCawley, James D., 43, 44, 71, 73 Mode, 24-26, 31 Negative morpheme, 46, 47, 49-54, 71

INDEX

see also Feature, negative; Transformation, negative Next higher node, 24, 25, 27, 37, 63, 64 Okamoto, Uichi, 11 Particle, 23, 27, 28, 48, 63 Passive morpheme, 17, 32, 55, 56 see also Feature, passive Politeness concord of, 12, 19, 59 levels of, 12-17, 19, 32, 33, 54 suppletive verbs of, 13-15, 17, 33, 42, 54 see also Feature, polite; Transformation Postal, Paul M., 19, 45, 76 Postposition, 27, 33, 61 Prefix go, 43, 44, 49, 58 o, 17, 43, 44, 49, 58, 59 see also Feature, go, o Reischauer, Edwin O., 12 Rules branching, 20, 23, 24, 25 feature, 23, 28-33, 54 selectional, 20, 21, 29 subcategorization, 20, 21

107

Sansom, George Bailey, 12 Smith, Richard E., 15 Tang, Charles T. C , 16, 22 Tense, 23-26, 31, 33, 47, 48, 50-53, 62, 66, 67, 71, 74 Transformation adverb deletion, 67 copula insertion, 47 exalted go, 58 exalted o, 58 exalted passive, 55 formal suffix, 48 formality shift, 50 honorific, 18, 55 humble, 57 humble causative, 57 ku addition, 65 negative, 46, 50, 51 polite adjective, 49 repeated NP, 67, 68 stylistic use of aru/gozaru, 47 Ueda, Akiko, 16, 22, 76 Yamagiwa, Joseph K., 12 Yen, S. L„ 62n, 72n