AUTHOR: Næss, Åshild TITLE: Prototypical Transitivity SERIES: Typological Studies in Language 72 PUBLISHER: John Benjamins YEAR: 2007
Peter M. Arkadiev, Institute of Slavic Studies, Russian Academy of Sciences, Moscow
SUMMARY The book by Norwegian scholar Åshild Næss is a revised version of her doctoral dissertation (Katholieke Universiteit Nijmegen, 2003). The topic addressed by Næss is the relation between semantic and morphosyntactic aspects of transitivity as seen from the position of functional-typological linguistics; more precisely, she argues for a particular interpretation of Hopper and Thompson's (1980) conception of transitivity. Among the issues discussed are those of considerable generality, e.g. the definitions of the semantic prototype of transitivity and of the semantic roles Agent and Patient, the relation between prototypicality and markedness, approaches to the functions of case marking and ergativity, as well as more particular problems, such as the notions of the 'Affected Agent' and the semantic properties of the so called 'ingestive' predicates, indefinite object deletion, the functions of the Dative case etc. The core idea of the book is that the semantic prototype of transitivity is defined by the 'Maximal Semantic Distinctness' of Agent and Patient, and that any kind of deviation from this prototype may result in a formally intransitive structure in a given language. Various implications from this hypothesis are discussed in different chapters of the book, based on rich cross-linguistic material.
The Introduction (p. 1-9) outlines the main goals and theoretical preliminaries of the book. Næss states (p. 3) that ''a main goal of this book is to discuss how principles of functional and cognitive linguistics can be brought to bear in an attempt at understanding the phenomenon of transitivity from a cross-linguistic perspective.'' In addition, Næss defines the notion of transitive clause (''a construction with two syntactically privileged arguments'') as more narrow than ''two-participant clause''; the well-known labels A(gent) and O(bject) (cf. Dixon 1979), in her understanding, refer to the latter more broad notion, thus not restricted to particular grammatical functions.
In Chapter 2 ''Why a transitive prototype'' (p. 11-26) Næss argues that a definition of transitivity in terms of a semantic prototype is necessary. Prototype models as introduced by Rosch (1978) are characterized by allowing different members of a category to be similar to the prototype to different degrees, and Næss gives examples from a variety of languages which show that a simple dichotomy between one-argument and two-argument clauses is not sufficient to adequately define transitivity. Næss discusses the influential proposal of Hopper and Thompson (1980), who claim that transitivity is a gradable notion defined by a range of semantic features, and argues that the question why this prototype of transitivity exists at all and why it looks the way it does in a variety of languages remain unanswered.
Another topic discussed in this chapter is the alternative conception of transitivity proposed by Comrie (1981), who argues that the most ''natural'' and ''unmarked'' transitive construction is the one with an O low in individuation (animacy and/or definiteness). This is at odds with Hopper and Thompson's conception, which explicitly states that the more individuated is O, the higher is the degree of transitivity of the construction. Næss attempts to resolve this conflict by saying that the notions ''prototypical transitive clause'' and ''least marked two-participant clause'' are not and must not be synonymous, and that since the prototypical transitive construction involves two syntactically prominent arguments it is by definition marked with respect to constructions with only one such argument, e.g. syntactically intransitive two-participant clauses.
Chapter 3 ''Defining the transitive prototype: The Maximally Distinguished Arguments Hypothesis'' (p. 27-49) is devoted to the main theoretical claim of the book, viz. that the function of the prototypical transitive clause is to encode situations with two maximally distinct participants. Næss adopts the notion of distinguishability of participants as defined by Kemmer (1993), which includes both physical (the participants must be clearly identifiable as different entities) and conceptual (participants must play different roles in the event) distinctness, and formulates the following hypothesis (p. 30):
The Maximally Distinct Arguments Hypothesis A prototypical transitive clause is one where the two participants are maximally semantically distinct in terms of their roles in the event described by the clause.
Næss then discusses the notion of semantic (thematic) relations, and argues for such a definition of the problematic concepts of Agent and Patient which would conform to the Maximally Distinct Arguments Hypothesis. The definitions are provided in terms of three binary features: Volitionality (a volitional participant exercises its capacity of participating in an event on its own will in interacting with the particular event), Instigation (roughly similar to the notion of causation), and Affectedness (change of state as a result of being involved in the event). Agent is defined as [+VOL,+INST,-AFF], while Patient by contrast is assigned [-VOL,-INST,+AFF] (cf. Testelets 1998).
Finally, Næss addresses the question of a possible functional explanation of the transitive prototype defined above. A prototypical transitive construction, she argues, is an iconic way to express events with two salient participants, and this can also account for the relative markedness of fully transitive clauses with respect to other ways of encoding two-participant situations. Næss states that ''in terms of conceptual structure and demands of processing, it could be argued that such a way of representing events is to a certain extent uneconomical'' (p. 48) and may be avoided in actual discourse (cf. DuBois 1987). Thus in languages with object incorporation or antipassivization the fully transitive clauses will be used more rarely and only when it is necessary to pay equal attention to both participants. This, in Næss's opinion, explains ''the crosslinguistic tendency for prototypically transitive clauses to be marked relative to other kinds of two-participant constructions'' (p. 49).
In the following chapters of the book different implications of the Maximally Distinct Arguments Hypothesis are discussed; one of the main predictions of it is that any kind of deviation from the maximal distinction of participants may result in a formally intransitive construction.
In Chapter 4 ''The Affected Agent'' (p. 51-84) Næss provides a detailed discussion of the notion of 'Affected Agent' defined by the properties [+VOL,+INST,+AFF]. This relatively understudied notion, introduced by Saksena (1980), turns out to bear important impact on different grammatical processes. Affected Agents are by definition those which are significantly affected by the event they volitionally instigate; events involving an Affected Agent are 'eating', 'drinking' and other situations described by so called 'ingestive' verbs, also including such predicates as 'learn', 'see', 'put on', 'read' etc. These verbs are characterized by emphasizing the effect of the event on the participant it is instigated by; the Agent's goal in such situations is rather to achieve a certain change of his or her own state, than bringing out a change in the Patient.
Næss provides evidence for a cross-linguistic tendency of ingestive predicates to show intransitive behavior. Of particular interest is her discussion of the intransitive 'eat' in English, which shows ''deviant'' aspectual properties, being ambiguous between an activity (John ate for ten minutes) and an accomplishment (John ate in ten minutes). Næss convincingly shows that the accomplishment reading is due to the affectedness of the agentive subject of this verb which is able to ''measure out'' the event in terms of Tenny (1994). Further evidence for not fully transitive status of ingestive verbs comes from cross-referencing and case-marking of arguments and causativization strategies. Finally, Næss provides interesting data on verbs meaning 'eat' being grammaticalized as markers of affectedness (e.g. in Korean, Turkish, Sinhala, Dulong). Næss claims that the different aspects of the special behavior of ingestive predicates all follow from the Maximally Distinguished Arguments Hypothesis, and provides evidence for the relevance of the notion 'Affected Agent' from other lexical domains.
Chapter 5 ''Transitivity in verbs and clauses'' (p. 85-122) is devoted to various factors relevant to the degree of semantic transitivity and able to affect the morphosyntactic realization of the clause. First Næss discusses various possible combinations of the features Volitionality, Instigation and Affectedness besides those constituting the Agent and the Patient (and also the Affected Agent dealt with in Chapter 4). Næss refines a feature-decompositional analysis of Rozwadowska (1988) and proposes the following role specifications:
[+VOL,-INST,+AFF] 'Volitional Undergoer' (including both a special type of patients which volitionally submit to being affected by the action, as well as experiencers, beneficiaries and recipients); this type of participant is further discussed in Chapter 8.
[-VOL,+INST,-AFF] 'Force', an inanimate object ''which employs its own energy in carrying out an action ..., but deviates from our definition of Agent in that it is not volitionally involved in this action'' (p. 93).
[-VOL,+INST,+AFF] 'Instrument', i.e. the object which mediates between the Agent and the Patient in the causal structure of the event.
[+VOL,-INST,-AFF] 'Frustrative', i.e. ''participants which are volitionally involved in that they want or attempt to instigate an act, but are unable to or prevented from carrying out the act, so that no actual instigation takes place'' (p. 99); this kind of participant is present in negative sentences as well as in constructions denoting ability.
[-VOL,-INST,-AFF] 'Neutral': an argument that is related to the event in ways other than controlling it or being affected by it, e.g. the 'stimulus' of emotional predicates, but also the so-called 'effected' objects which come into existence as a result of the event.
Næss shows that all these feature combinations are relevant to grammatical processes cross-linguistically, though the concrete range of semantic functions treated as 'Neutral', 'Volitional Undergoer' etc. may vary between particular languages. Further she discusses how verbal lexemes may specify particular features and combinations thereof in their lexical entries, and argues that such specification may better account for selectional restrictions of verbs than the traditional notion of semantic roles.
Further, Næss shows how semantic transitivity may be affected by the degree of individuation of the arguments, and by such clause-level properties as negation (which, as she claims, may change the positive values of the features 'Volitionality', 'Instigation' and 'Affectedness' into negative), mood, and aspect (which may imply affectedness or lack thereof). Finally, she discusses data from Finnish and Russian and claims that the Partitive case in the former and the Imperfective aspect in the latter serve to express the [-AFF] feature of the O argument.
Chapter 6 ''Ambitransitivity and indefinite object deletion'' (p. 123-151) is devoted to the phenomenon of the so-called 'lability' or 'ambitransitivity', i.e. situations when a verb may figure in both transitive and intransitive syntactic frames without any kind of derivational marking signaling change of valency. She argues against lumping together two principal kinds of lability (S/A ambitransitivity = indefinite object deletion, and S/O ambitransitivity = causative/inchoative alternations), specifically against the general conception proposed by Drossard (1998). The major part of the chapter deals with S/A ambitransitivity. Næss discusses the kinds of verbs which exhibit indefinite object deletion crosslinguistically, and shows that these are usually the verbs with affected agents and the verbs with effected objects. Such clause-level features as iterativity and genericity are also taken into account, and Næss concludes that indefinite object deletion is a kind of transitivity reducing mechanism applied in those cases when the degree of semantic distinguishability of participants is not high enough for the canonical transitive construction to be used. What Næss considers to be an important characteristic of indefinite object deletion is its syntactic nature, sensitive to different semantic and pragmatic features. Of particular interest is the subsection where the case of semantic specialization of objectless uses of ingestive predicates is discussed. By contrast, the S/O ambitransitivity is claimed to be a genuinely lexical phenomenon mainly conditioned by the semantics of verbs.
Chapter 7 ''Maximal semantic distinction in core case-marking'' (p. 153-184) addresses the long-debated issue of the functions of core case-marking and of motivations behind different alternations thereof. Næss argues that the two general theoretical approaches to core case-marking (the 'discriminatory' approach, which assumes that the basic function of core case-marking is to overtly distinguish between the arguments of a transitive clause; and the 'indexing' approach, which, on the other hand, claims that case-marking is semantically-driven) are insufficient when taken in isolation. Instead, she proposes a mixed conception of case-marking, which assumes that the basic function of core case-marking is ''to discriminate, not between subject and object, but between the participants of a fully transitive situation'' (p. 166). Næss brings forward the data from diverse languages, where the case-marking of Agent is sensitive to such properties of the O participant as individuation and degree of affectedness, or, on the other hand, the case-marking of Patient depends on the volitionality of the Agent.
In order to account for the cross-linguistic variation in core case-marking, Næss proposes to treat semantic and discriminatory functions as competing motivations which may be differently ranked in different languages. In some languages, the tendency for case marking to be semantically motivated is so strong that differentiation between Agents and Patients is extended to one-participant clauses and results in a 'split-S' system. Næss hypothesizes that case-marking of Agents/Patients is especially prone to generalize to participants which share positive values of the defining semantic features with the prototypical A or O. Thus, ergative case may be extended to forces [-VOL,+INST,-AFF] more readily than to instruments [-VOL,+INST,+AFF]. Næss states that the frequent extensions of core case-marking from the canonical transitive participants to semantically similar functions do not obviate the basic semantic motivation of case marking.
In other languages, on the contrary, the discriminatory function wins, which may lead to cross-linguistically not very common situations when the core-case marking appears only when there is need to differentiate between arguments.
Næss also discusses different types of so called 'split ergativity', and argues that the tense/aspect split, when ergative marking appears only in past or perfective clauses, is straightforwardly motivated by the semantic prototype of transitivity. By contrast, the well-known NP-splits based on the Nominal Hierarchy (1st person > 2nd person > 3rd person > proper nouns > human > animate > inanimate, cf. Silverstein 1976, Dixon 1979) are considered by Næss to be motivated by very different factors, since in such systems it is not the canonical A and O that are marked, but rather those participants which are presented as A or O but do not have inherent properties of typical A or O. Næss even considers a possibility of not using the terms 'Ergative' and 'Accusative' for core cases of NP-split systems.
In Chapter 8 ''Experiencers and the dative'' (p. 185-208) Næss focuses on the participants with feature specification [+VOL,-INST,+AFF], which she calls Volitional Undergoers. Næss shows that this kind of participant, whose main characteristic is that they ''undergo a mental, emotional or sensory experience of some kind'' (p. 185), exhibit quite an impressive diversity of semantic subtypes, among which it is possible to distinguish experiencers of perceptional or emotive predicates, recipients, possessors and animate causees, which in some languages show similar formal marking. Næss provides counterexamples to claims by Croft (1993) that only mental state verbs should allow typological variation in assigning grammatical functions to participants, showing that most variation is in fact found with the inchoative mental verbs. Næss argues that the semantic specification of experiencers, where agentive (volition) and patientive (affectedness) properties are combined, motivates the crosslinguistic tendency to intransitive encoding of perception and emotion predicates.
Further, Næss discusses the various functions the Dative case has cross-linguistically and claims it to be the dedicated marker of Volitional Undergoers, which she calls the ''third salient way in which specifically human participants may be involved in an event, namely through being the target of some effect which crucially presupposes sentience'' (p. 198). Næss focuses on the extensions of the Dative marking to semantic functions related to the Volitional Undergoer, viz. Possessor, Causee, animate/human Undergoer, less affected objects of such verbs as 'hit' as opposed to 'kill', and finally Dative marking of sentient intransitive Subjects, and shows that all of them are semantically related to the prototype.
In the concluding Chapter 9 ''Beyond prototypical transitivity'' (p. 209-218) Næss briefly addresses some issues that are related to the core problems of the book but are not discussed in detail. These are the notions of Subject and Object as opposed to semantic roles Agent and Patient, the distinction between 'structural' and 'semantic' case, and the problem of other prototypical categories in the domain of core clause structure. As to the latter question, Næss argues that in contrast to the semantic prototype of transitivity based on the maximal distinctness of participants, ''the notion of an intransitive prototype may not actually have much semantic content beyond the simple specification of a single participant'': (p. 214), and that prototypical ditransitive constructions may be actually very marked and cross-linguistically rare since they would imply not two but three highly salient participants.
EVALUATION The book ''Prototypical Transitivity'' is well written and should be praised for discussing a wide range of important problems in a condensed manner; it could be twice thicker than it is, but no one could guarantee that in this case it would have been a much better book. Næss makes clear theoretical and analytical claims and convincingly defends her point, providing critical discussions of earlier proposals. Besides having formulated a sound general approach to transitivity, Næss provides illuminating discussions of issues which are of theoretical interest on their own (e.g. the Affected Agent constructions and ingestive predicates in Chapter 4 and elsewhere, and of case-marking and split ergativity in Chapter 7). The discussion of the relation between prototypicality and markedness in Chapters 2, 3, and 7 is of particular theoretical importance, since it is a successful attempt to resolve a long controversy concerning the functional load of transitive morphosyntactic structures. However, I would like to highlight several points which make one think that this book could be better than it is.
When writing on the topic of such generality as transitivity, a topic by no means underrepresented in linguistic theorizing, one should be very careful not to mix up two quite different 'modes of discourse': making original and novel theoretical claims which cause one to look at the phenomenon from a substantially different point of view, and providing empirical support for already existing conceptions, or reformulating them in a more explicit and general fashion. Honestly speaking, the book by Næss contains quite a lot of the latter, and not as much of the former as perhaps the author herself believes.
The main theoretical claim of the book, that prototypical transitivity is based on the notion of maximal semantic distinction of participants, is in itself not really novel. Næss acknowledges (p. 45) that ''the polar distribution of control and affectedness over the participants of a clause is recognized as an essential criterion of transitivity'' by Testelets (1998) and a number of other scholars, including one she seems to completely ignore, Primus (1999), who makes essentially similar claims: ''a maximally transitive sentence can be defined as a sentence containing at least two participants so that each participant accumulates the maximal number of basic semantic relations defining a Proto-Role'' (Primus 1999: 59), where Proto-Roles are understood in the sense of Dowty (1991). The particular details of the approaches by Primus and by Næss are different, as well as the material they discuss, but I believe that it is an important flaw that Næss has not paid attention to a substantial contribution to the very core of the field she is working on. More or less the same can be said about another important book, Ackermann and Moore (2001), where Næss could have found an illuminating discussion of the relation of affectedness to partitive case and of case-marking variations of arguments of causative constructions. Perhaps if Næss has taken into account this book, she would have taken more seriously the notion of ''incremental theme'' and its role in determining argumenthood and argument encoding, especially with ''effected objects'' (see below).
In her criticism of the problematic notions of thematic roles, Næss, I believe, overestimates the degree to which the linguistic community considers them useful analytic tools. Indeed, I would conjecture that current theories of argument linking and the syntax-semantics interface have for the most part abandoned elementary thematic roles and operate with much more intricate notions such as feature decompositions similar to that used by Næss, or event structure representations. Again, if Næss had considered a recent valuable survey of the field by Levin and Rappaport Hovav (2005), her claims would have had a more solid basis. Næss cannot be accused of paying no attention to work of ''formal'' linguists, which unfortunately is not uncommon among ''functional'' typologists, but a deeper knowledge of the results achieved in the field of her interest might be useful.
Similarly, arguing that the two types of ambitransitivity - indefinite object deletion and causative/inchoative formation - are essentially different phenomena, Næss, figuratively speaking, forces an open door: as far as I may judge, this is the commonly accepted position among linguists of both ''formal'' and ''functional'' stance, and there is hardly any need to explicitly state, let alone defend it. This does not mean that the discussion on pp. 145-150, where Næss refutes rather abstract and empirically not well-founded claims by Drossard (1998), is completely useless, but it is not correct, in my opinion, to treat a particular paper as representative of a mythical commonly shared assumption.
Turning to more specific points, it is not always obvious that the claims Næss makes will lead to meaningful predictions if taken to their logical end. For instance, she argues that under negation semantic features constituting different semantic roles change values to the negative eventually turning into other semantic roles. Thus, for example, ''an Instrument subject - [-VOL,+INST,+AFF] - would under negation be characterized as a Patient - [-VOL,-INST,+AFF]'' (p.116). However, it is not evident how to answer a question I consider legitimate here: Why doesn't this type of subject ever get encoded as a typical direct object under negation?
Sometimes it seems that Næss understands the notions she employs in a rather imprecise manner. For instance, if we agree to understand ''agent affectedness'' as covering such cases as ''John murdered for the money'' (p. 136), it is really not obvious which kinds of clauses involving an Agent would not allow for an ''Affected Agent'' interpretation: indeed, one might claim that when one volitionally instigates some action one is primarily interested not in changing the Patient's state for its own sake, but in achieving a desirable effect for oneself. The notion of agent affectedness is useful, but in order to have theoretical and cross-linguistic validity it has to be employed in a constrained fashion, without being applied to broadly.
I think that the overall discussion of the distinction between affected and effected objects in Chapter 5 is not convincing enough and should be refined in further work. For instance, claiming that the Finnish Partitive case is used to encode the [-AFF] Objects, Næss, as it seems, predicts that effected objects of verbs of creation should be consistently marked with the Partitive, which is not the case in perfective clauses. It is not correct to call effected objects ''non-referential'' without any qualifications; strictly speaking, ''referentiality'' is not about existing in the real world, but rather about being identifiable as a discourse participant (cf. Lambrecht 1994, another important book which Næss does not quote). Further, it seems that different subclasses of effected object verbs should be distinguished, e.g. verbs of creation such as ''build'', verbs of performance such as ''recite a poem'' or ''conduct a symphony'', and verbs of 'copying' such as ''paint (a portrait of) John''. In relation to this, the unitary notion of ''affectedness'' perhaps should be decomposed into several different notions, such as change of state and gradual change (''incremental themehood''). Næss sometimes does justice to the latter notion, with references to Tenny (1994), but I believe that it should be taken more seriously and not equated with ''change of state as a result of a successful action''.
To sum up, Næss should have paid more attention to some specific implications of her analysis and should have formulated them more accurately, and, again, should have done more justice to the existing literature on these topics.
To conclude, the overall impression upon reading this book is two-fold: on the one hand, one has no choice but consider it a very valuable contribution to the study of transitivity, argument structure, and case-marking from both a theoretical and a cross-linguistic perspective; on the other hand, a reader familiar with much of the current research in this field and not limiting oneself to a particular approach or framework feels that this book has told him or her less than he or she had expected. Probably, the main achievement of Næss is not to have proposed an entirely novel and break-through theory of transitivity, but to have formulated the ideas which have been stirring the minds of the linguistic community for the last three decades in such a way that a more coherent view of the field becomes possible, and, most importantly, some non-trivial implications of these ideas could be drawn. It is these particular implications and applications of the semantic prototype of transitivity which I consider to constitute the core of the contribution of this book to linguistic theory and typology.
REFERENCES Ackerman, Farrell and John Moore (2001). _Proto-Properties and Grammatical Encoding. A Correspondence Theory of Argument Selection_. Stanford CA: CSLI Publications.
Comrie, Bernard (1981). _Language Universals and Linguistic Typology_. Oxford: Blackwell.
Croft, William C. (1993). Case marking and the semantics of mental verbs. In _Semantics and the Lexicon_, ed. by James Pustejovsky. Dordrecht: Kluwer, p. 55-72.
Dixon, R.M.W. (1979). Ergativity. In _Language_ 55, 1, p. 59-138.
Dowty, David R. (1991). Thematic proto-roles and argument selection. _Language_ 67, 3, p. 547-619.
Drossard, Werner (1998). Labile Konstruktionen. In _Typology of Verbal Categories: Papers Presented to Vladimir Nedjalkov on the Occasion of his 70th Birthday_, ed. by Leonid Kulikov and Heinz Vater. Tübingen: Niemeyer, p. 73-84.
DuBois, John W. (1987). The discourse basis of ergativity. _Language_ 63, 4, p. 805-855.
Hopper, Paul J. and Sandra A. Thompson (1980). Transitivity in grammar and discourse. _Language_ 56, p. 251-299.
Kemmer, Suzanne (1993). _The Middle Voice_. Amsterdam, Philadelphia: John Benjamins.
Lambrecht, Knud (1994). _Information Structure and Sentence Form: Topic, Focus, and the Mental Representations of Discourse Referents_. Cambridge: Cambridge University Press.
Levin, Beth and Malka Rappaport Hovav (2005). _Argument Realization_. Cambridge: Cambridge University Press.
Primus, Beatrice (1999). _Cases and Thematic Roles: Ergative, Accusative and Active_. Tübingen: Niemeyer.
Rosch, Eleanor (1978). Principles of categorization. In _Cognition and Categorization_, ed. by Eleanor Rosch and Barbara B. Lloyd. Hillsdale NJ: Erlbaum, p. 27-48.
Rozwadowska, Bozena (1988). Thematic restrictions on derived nominals. In _Syntax and Semantics 21: Thematic Relations_, ed. by Wendy Wilkins. San Diego CA: Academic Press, p. 147-165.
Saksena, Anuradha (1980). The affected agent. _Language_ 56, 4, 812-826.
Silverstein, Michael (1976). Hierarchy of features and ergativity. In _Grammatical Categories in Australian Languages_, ed. by R.M.W. Dixon. Canberra: Australian Institute for Aboriginal Studies, p. 112-171.
Tenny, Carol (1994). _Aspectual Roles and the Syntax-Semantics Interface_. Dordrecht: Kluwer.
Testelets, Yakov (1998). On two parameters of transitivity. In _Typology of Verbal Categories. Papers Presented to Vladimir Nedjalkov on the Occasion of his 70th Birthday_, ed. by Leonid Kulikov and Heinz Vater. Tübingen: Niemeyer, p. 29-46.
ABOUT THE REVIEWER Peter M. Arkadiev, PhD in linguistics (2006), is a research fellow at the Department of typology and comparative linguistics of the Institute of Slavic studies of the Russian Academy of Sciences, Moscow. His main interests are linguistic typology with focus on event and argument structure and its formal realization, and theoretical approaches to morphology. He works mainly on Lithuanian, Adyghe and Japanese.
|