T. Givón

Adpositions are used, universally, to mark the roles of nominal participants in the verbal clause, most commonly indirect object roles. Practically all languages seem to have such markers, which begin their diachronic life as lexical words -- in this case either serial verbs or positional nouns. In many languages, however, adpositions also seem to have extended their diachronic life one step further, becoming verbal affixes. The main focus of this book is the tail-end of the diachronic life cycle of adpositions. That is, the process by which, having arisen first as nominal-attached prepositions or post-positions, they wind up attaching themselves to verbs. Our core puzzle is thus fairly transparent: How and why should morphemes that pertain functionally to nominals, and begin their diachronic life-cycle as nominal grammatical operators, wind up as verbal morphology? While the core five chapters of this book focus on the rise of verb-attached prepositions in Homeric Greek, its theoretical perspective is broader, perched at the intersection of three closely intertwined core components of the study of human language: (a) the communicative function of grammar; (b) the balance between universality and cross-language diversity of grammars; and (c) the diachrony of grammatical constructions, how they mutate over time. While paying well-deserved homage to the traditional Classical scholarship, this study is firmly wedded to the assumption, indeed presupposition, that Homeric Greek is just another natural language, spoken before written, designed as an instrument of communication, and subject to the same universal constraints as all human languages. And further, that those constraints--so-called language universals--express themselves most conspicuously in diachronic change. Lastly, in analyzing the synchronic variation and text distribution of prepositional constructions in Homeric Greek, this study relies primarily on the theory-laden method of Internal Reconstruction.

The Life Cycle of Adpositions

This new edition of Syntax: A functional-typological introduction is at many points radically revised. In the previous edition (1984) the author deliberately chose to de-emphasize the more formal aspects of syntactic structure, in favor of a more comprehensive treatment of the semantic and pragmatic correlates of syntactic structure. With hindsight the author now finds the de-emphasis of the formal properties a somewhat regrettable choice, since it creates the false impression that one could somehow be a functionalist without being at the same time a structuralist. To redress the balance, explicit treatment is given to the core formal properties of syntactic constructions, such as constituency and hierarchy (phrase structure), grammatical relations and relational control, clause union, finiteness and governed constructions. At the same time, the cognitive and communicative underpinning of grammatical universals are further elucidated and underscored, and the interplay between grammar, cognition and neurology is outlined. Also the relevant typological database is expanded, now exploring in greater precision the bounds of syntactic diversity. Lastly, Syntax treats synchronic-typological diversity more explicitly as the dynamic by-product of diachronic development or grammaticalization. In so doing a parallel is drawn between linguistic diversity and diachrony on the one hand and biological diversity and evolution on the other. It is then suggested that — as in biology — synchronic universals of grammar are exercised and instantiated primarily as constraints on development, and are thus merely the apparent by-products of universal constraints on grammaticalization.

An Introduction

Syntax

Ute is a Uto-Aztecan language of the northernmost (Numic) branch, currently spoken on three reservations in western Colorado and eastern Utah. Like many other native languages of Northern America, Ute is severely endangered. This book is part of the effort toward its preservation. Typologically, Ute offers a cluster of intriguing features, best viewed from the perspective of diachronic change and grammaticalization. The book presents a comprehensive synchronic description of grammatical structures and their communicative functions, as well as a diachronic account of a grammar in the midst of change. The book is the first of a 3-volume series which also includes a collection of oral texts and a dictionary. Ute speakers and tribal members may find in the present volume a step-by-step description of how words are combined into meaningful communication. Linguists may find a detailed account of one language, an account that is unabashedly informed by universals of grammar, communication and change.

Ute Reference Grammar

Complex hierarchic syntax is a hallmark of human language. The highest level of syntactic complexity, recursive-embedded clauses, has been singled out by some for a special status as the evolutionary apex of the uniquely - human language faculty - evolutionary yet mysteriously immune to Darwinian adaptive selection. Prof. Givón's book treats syntactic complexity as an integral part of the evolutionary rise of human communication. The book first describes grammar as an adaptive instrument of communication, assembled upon the pre-existing platform of pre-linguistic object- and-event cognition and mental representation. It then surveys the two grand developmental trends of human language: diachrony, the communal enterprise directly responsible for fashioning synchronic morpho-syntax and cross-language diversity; and ontogeny, the individual endeavor directly responsible for acquiring the competent use of grammar. The genesis of syntactic complexity along these two developmental trends is compared with second language acquisition, pre-grammatical pidgin and pre-human communication. The evolutionary relevance of language diachrony, language ontogeny and pidginization is argued for on general bio-evolutionary grounds: It is the organism's adaptive on-line behavior- invention, learning and skill acquisition - that is the common thread running through all three developmental trends. The neuro-cognitive circuits that underlie language, and their evolutionary underpinnings, are described and assessed. Recursive embedding turns out to be not an adaptive target on its own, but the by-product of two distinct adaptive moves: (i) the recruitment of conjoined clauses as modal operators on, or referential specifiers of, other clauses; and (ii) the subsequent condensation of paratactic into syntactic structures.

Diachrony, ontogeny, neuro-cognition, evolution

The Genesis of Syntactic Complexity

Givon's new book re-casts pragmatics, and most conspicuously the pragmatics of sociality and communication, in neuro-cognitive, bio-adaptive, evolutionary terms. The fact that context, the core notion of pragmatics, is a framing operation undertaken on the fly through judgements of relevance, has been well known since Aristotle, Kant and Peirce. But the context that is relevant to the pragmatics of sociality and communication is a highly specific mental operation — the mental modeling of the interlocutor's current, rapidly shifting belief-and-intention states. The construed context of social interaction and communication is thus a mental representation of other minds. Following a condensed intellectual history of pragmatics, the book investigates the adaptive pragmatics of lexical-semantic categories — the 1st-order framing of “reality", what cognitive psychologists call “semantic memory”. Utilizing the network model, the book then takes a fresh look at the adaptive underpinnings of metaphoric meaning. The core chapters of the book outline the re-interpretation of “communicative context” as the systematic, on-line construction of mental models of the interlocutor’s current, rapidly-shifting states of belief and intention. This grand theme is elaborated through examples from the grammar of referential coherence, verbal modalities and clause-chaining. In its final chapters, the book pushes pragmatics beyond its traditional bounds, surveying its interdisciplinary implications for philosophy of science, theory of personality, personality disorders and the calculus of social interaction.

The Pragmatics of Sociality, Cognition and Communication

Context as Other Minds

Masayoshi Shibatani

Complex hierarchic syntax is considered one of the hallmarks of human language. The highest level of syntactic complexity, recursive-embedded clauses, has been singled out by some for a special status as the apex of the uniquely-human language faculty – evolutionary but somehow immune to adaptive selection. This volume, coming out of a symposium held at Rice University in March 2008, tackles syntactic complexity from multiple developmental perspectives. We take it for granted that grammar is an adaptive instrument of communication, assembled upon the pre-existing platform of pre-linguistic cognition. Most of the papers in the volume deal with the two grand developmental trends of human language: diachrony, the communal enterprise directly responsible for fashioning synchronic morpho-syntax; and ontogeny, the individual endeavor directly responsible for the acquisition of competent grammatical performance. The genesis of syntactic complexity along these two developmental trends is considered alongside with the cognition and neurology of grammar and of syntactic complexity, and the evolutionary relevance of diachrony, ontogeny and pidginization is argued on general bio-evolutionary grounds. Lastly, several of the contributions to the volume suggest that recursive embedding is not in itself an adaptive target, but rather the by-product of two distinct adaptive gambits: the recruitment of conjoined clauses as modal operators on other clauses and the subsequent condensation of paratactic into syntactic structures.

Diachrony, acquisition, neuro-cognition, evolution

Syntactic Complexity

This third volume of our Ute language collection contains the Ute dictionary. It opens with several introductory chapters that link the dictionary to our Ute Reference Grammar (2011) and explain the structure and use of the dictionary. The bulk of the information on the meaning and usage of Ute words is then given in the Ute-English part. The English-Ute part, next, serves primarily as a search-and-reference tool. A short section on traditional semantic-cultural fields follows. Ute is a Northern Uto-Aztecan language of the Numic sub-family. Together with its northern dialects (Southern Paiute, Uintah, White River), it should be considered a single language, Núuchi ("of the people") or Núu-'apaghapi ("the people's speech"). While our work was done primarily in the southern dialects (Southern Ute, Ute Mountain, Uncompaghre), we have included as many words as could be safely extracted from Powel's and Smith's work on the northern dialects, as well as some from Sapir's work (1931) on Northern Ute, adjusting them to Southern-dialect pronunciation. This brings the work as close as one could hope, at this time, to a comprehensive all-Ute dictionary, a task that yet remains to be done. We have tried to emphasize in the Ute-English entries the historical and derivational connectivity of Ute vocabulary and its gradual growth and expansion. This is also underscored in the introductory chapter on word derivation. While this work remains incomplete, we hope it can be some day expanded into an all-inclusive Ute dictionary, and will help the people – Núuchiu – preserve their language and culture.

Ute Dictionary

The functional notion of “topic” or “topicality” has suffered, traditionally, from two distinct drawbacks. First, it has remained largely ill defined or intuitively defined. And second, quite often its definition boiled down to structure-dependent circularity. This volume represents a major departure from past practices, without rejecting both their intuitive appeal and the many good results yielded by them. First, “topic” and “topicality” are re-analyzed as a scalar property, rather than as an either/or discrete prime. Second, the graded property of “topicality” is firmly connected with sensible cognitive notions culled from gestalt psychology, such as “predictability” or “continuity”. Third, we develop and utilize precise measures and quantified methods by which the property of “topicality” of clausal arguments can be studied in connected discourse, and thus be properly hinged in its rightful context, that of topic identification, maintenance and recoverability in discourse. Fourth, we show that many grammatical phenomena which used to be studied by linguists in isolation, all partake in one functional domain of grammar, that of topic identification. Finally, we demonstrate the validity of this new approach to the study of “topic” and “topicality” by applying the same text-based quantifying method to a number of typologically-diverse languages, in studying actual texts. Languages studied here are: Written and spoken English, spoken Spanish, Biblical Hebrew, Amharic, Hausa, Japanese, Chamorro and Ute.

A quantitative cross-language study

Topic Continuity in Discourse

The zero coding of referents or other clausal constituents is one of the most natural, communicatively and cognitively-transparent grammatical devices in human language. Together with its functional equivalent, obligatory pronominal agreement, zero is both extremely widespread cross-linguistically and highly frequent in natural text. In the domain of reference, zero represents, somewhat paradoxically, either anaphorically-governed high continuity or cataphorically-governed low topicality. And whether in conjoined/chained or syntactically-subordinate clauses, zero is extremely well-governed, at a level approaching 100% in natural text. The naturalness, cross-language ubiquity and well-governedness of zero have been largely obscured by an approach that, for 30-odd years, has considered it a typological exotica, the so-called "pro-drop" associated with a dubious "non-configurational" language type. The main aim of this book is to reaffirm the naturalness, universality and well-governedness of zero by studying it from four closely related perspectives: (i) cognitive and communicative function; (ii) natural-text distribution; (iii) cross-language typological distribution; and (iv) the diachronic rise of referent coding devices. The latter is particularly central to our understanding the functional interplay between zero anaphora, pronominal agreement and related referent-coding devices.

T. Givón

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