On Deriving the Lexicon

R. W. Sproat, 1985

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In this thesis I argue against the view that there is a separate word-formation component of the grammar, a component which has usually been termed the "Lexicon" in the recent morphological literature.  I argue rather that the lexicon is what has been called the permanent lexicon, namely the data structure containing the information about stems and affixes and idiosyncratic compositions of the language, and that word formation is actually split between the syntax and the phonology in that it is principles of syntax which determine the syntactic well-formedness of words, and principles of phonology which determine phonological well-formedness.

In the first chapter I argue that morphological bracketing paradoxes, including phonological cliticization provide crucial evidence that words must have at least two levels of representation, in particular a syntactic on and a phonological one.  I show that a simple Mapping Principle governs the relationship between the two levels of representation.  Subsequently, in Chapters 2 and 3 I show that the syntactic well-formedness and behavior of a word, like that of a phrase, can be determined by syntactic principles including, but not limited to, X-bar theory, theta-theory, binding theory, case theory and the Projection Principle.

In Chapter 4 it is argued that lexical phonology is not in principle distinct from what has come to be termed post-lexical phonology, in that principles such as Cyclicity and Bracketing Erasure, which have generally been argued to be hallmarks of lexical phonology are either not needed or not unique to lexical phonology.  I argue too that the theory of Lexical Phonology cannot be taken to be a thoery of word formation, but at most a theory of phonological well-formedness.  I propose an alternative to Lexical Phonology based upon the distinction between phonological words and stems.

Finally, in the fifth chapter I summarize the psychological evidence pertaining to word-formation.  I argue that the approach to morphology taken here is at least as compatible with such evidence as other theories of word-formation, such as Lexical Phonology.  I also discuss some residual conceptual issues raised by the approach taken in this thesis.

Thesis supervisor:         Kenneth Locke Hale

Title:                             Ferrari P. Ward Professor of Linguistics

Table of Contents

Chapter 1         On bracketing paradoxes: the mapping between S-structure and PF      15

            1.1       Bracketing paradoxes                                                                           15

                        1.1.1    An introduction                                                             15

                        1.1.2    Siegel"s theory of ordering                                                        17

                        1.1.3    Allen"s treatment of un-                                                 23

                        1.1.4    Fabb"s analysis and an argument against Fabb and Allen            27

                        1.1.5    Pesetsky (1979)                                                                       33

                        1.1.6    Williams (1981)                                                                        38

                        1.1.7    Strauss (1982b)                                                                        41

                        1.1.8    Guerssel (1985)                                                                        43

                        1.1.9    Kiparsky (1983)                                                                       45

                        1.1.10  Pesetsky again                                                                          51

                        1.1.11  A summary so far                                                                     65

            1.2       The mapping from syntax to PF                                                 66

                        1.2.1    Background: the model of grammar                                           66

                        1.2.2    The condition on mapping between S-structure and PF  78

                        1.2.3    Simple cases of bracketing paradoxes                           85

            1.3       Handling bracketing paradoxes                                                 88

                        1.3.1    Handling Pesetsky"s data                                                          88

                           No reordering in analysis                                               88

                           Idiosyncratically interpreted words                                96

                        1.3.2    Kiparsky"s examples                                                                97

                        1.3.3    The affixation of "ity                                                                 103

            1.4       More on the Mapping Principle                                                 108

                        1.4.1    A curious piece of English morphology                          109

                        1.4.2    Rebracketing of separate words                                                113

                           Consonant mutation in Welsh                                        114

                           Other "locality" phenomena                                           120

            1.5       On some cases which might seem to support morphological QR            123

                        1.5.1    Morphological QR in Navajo?                                      123

                        1.5.2    Other cases like Navajo                                                            133

            1.6       Conclusions and a prospectus                                                               137

Appendix         Some further consequences of the Mapping Principle                 139

            1          A further consequence of the mathematical properties of * and `            139

            2          On examples of stratum I prefixes outside stratum II suffixes in

                        English                                                                                      141

            3          Another possible example of morpheme doubling                                  143

Chapter 2         Syntax and semantics of productive deverbal morphology                      147

            2.1       Introduction                                                                                          147

            2.2       Background: Higginbotham (1985b) and Chomsky (1984)                    149

                        2.2.1    Higginbotham"s semantics                                                         149

                        2.2.2    Chomsky (1984)                                                                      159

            2.3       The formation of agent nominals                                                            164

                        2.3.1    Introduction                                                                              164

                        2.3.2    -Er affixation                                                                             166

                        2.3.3    Projection, projection and theta indexing                                   182

                        2.3.4    On binding in "er­ NPs                                                  191

                        2.3.5    On synthetic compounding                                                        195

                           The X-bar status of synthetic compounds                      195

                           Theta marking within minimal projections                       202

                           On the application of the projection principle within

                                                synthetic compounds                                                     207

                           Case assignment in synthetic compounds                       209

                        2.3.6    A short history of the study of synthetic compounding and

a comparison with Lieber (1983)                                              214

                        2.3.7    A short note on Chichewa synthetic compounds                        225

            2.4       The syntax and semantics of the derived nominals                                  235

                        2.4.1    The secret of NOM: the morphological relationship

                                    between Verbs and Derived nominals                            238

                           The derived nominal"s reference to an event: some

                                                consequences                                                               242

                           The discharge of the internal theta role               246

                           On the discharge of the external theta role                     257

                           Some problems with and predictions of the model         264

                        2.4.2    Not all derived nominals are created equal                                 280

                        2.4.3    A discussion of Lebeaux (1984)                                                286

            2.5       Concering self-analysis                                                              289

                        2.5.1    -Er forms with self                                                                    293

                        2.5.2    Self- in derived nominals                                                           297

                        2.5.3    Self- prefixation to nouns and adjectives                                    301

            2.6       Extensions of the theory                                                                        306

                        2.6.1    A short discussion of adjectival passives                                    306

                        2.6.2    On deadjectival nominals                                                          313

            2.7       Conclusion; overview and prospectus                                        317

Chapter 3         Anaphoric islandhood                                                                           326

            3.1       Introduction                                                                                          326

            3.2       Simpson (1983)                                                                                    329

            3.3       On the non-referentiality of subparts of words                           335

                        3.3.1    Pronouns and NP anaphors                                                      335

                        3.3.2    Non-anaphoric-islandhood with submaximal projections:

some examples                                                             339

                        3.3.3    When maximal projections do occur within "lexical"

                                    constructions                                                                            345

            3.4       A summing up                                                                                       350

Chapter 4         Concerning Lexical Phonology                                                  352

            4.1       Introduction                                                                                          352

                        4.1.1    A brief overview of LPM                                                          353

                        4.1.2    LPM as a theory of phonological well-formedness                     358

            4.2       Against LPM as a theory of word-formation                                          365

                        4.2.1    Morphological blocking and stratum ordering                366

                        4.2.2    On the stratum ordering of compounds                          371

                           Inflection of verbal compounds                          371

                           Inflection of nominal compounds                                   378

                           Malayalam subcompounding and cocompounding          382

                           Inflections within English compounds                 412

            4.3       On the phonology of lexical phonology                                      427

                        4.3.1    What are the principles of Lexical Phonology?               427

                           Bracketing Erasure                                                       428

                           On cyclicity in Lexical Phonology                                  444

                           Structure preservation                                                   448

                        4.3.2    A sketch of an alternative to Lexical Phonology             459

                           Advantages of stem/word morphophonolgy                   460

                           Stem/word morphology and the Mapping Principle        468

Chapter 5         Some Final Points                                                                                 472

            5.1       Some theoretical issues                                                             473

                        5.1.1    Morphological blocking                                                            473

                        5.1.2    What is a component?                                                              480

                        5.1.3    On the Projection Principle                                                       487

            5.2       Psychological issues                                                                              491

                        5.2.1    On productivity, listing and the separation of word-

formation from the rest of Linguistic knowledge: what is

the relationship between the theory of morphology and my knowledge of words?                                                                       491

                        5.2.2    On the psychological reality of the lexical level               499

                           Speech errors                                                               500

                           Language games                                                           501     

                           Speech recognition                                                       502

            5.3       Some general conclusions and a prospectus                                           505