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Response to Norbert
I read with interest
Norbert’s recent post on formalization: “Formalization and Falsification in
Generative Grammar”. Here I write some preliminary comments on his post. I have not read other relevant posts in this
sprawling blog, which I am only now learning how to navigate. So some of what I
say may be redundant.
For me the quote by
Frege in the Begriffsschrift (pg. 6 of the book “Frege and Godel”) indicates
what is important when he analogizes the “ideography” (basically first and
second order predicate calculus) to a microscope: “But as soon as scientific
goals demand great sharpness of resolution, the eye proves to be insufficient.
The microscope, on the other hand, is perfectly suited to precisely such goals,
but that is just why it is useless for all others.” Similarly, formalization in
syntax is a tool that needs to be employed when needed. It not an absolute
necessity and there are many ways of going about things (as I discuss below).
By citing Frege, I am in no way claiming that we should aim at the same level
of formalization that Frege did.
There is an important
connection with the ideas of Rob Chametzky (posted by Norbert) in another place
on this blog. As we have seen, Rob divides up theorizing into meta-theoretical,
theoretical and analytical. Analytical
work, according to Chametzky is: “concerned with investigating the (phenomena
of the) domain in question. It deploys and tests concepts and architecture
developed in theoretical work, allowing for both understanding of the domain
and sharpening of the theoretical concepts.” It is clear that more than 90% of
all linguistics work (maybe 99%) is analytical, and that there is a paucity of
true theoretical work.
A good example of
analytical work would be Chomsky’s “On Wh-Movement”, which is one of the most
beautiful and important papers in the field. Chomsky proposes the
wh-diagnostics and relentlessly subjects a series of constructions to those
diagnostics uncovering many interesting patterns and facts. The consequence
that all these various constructions can be reduced to the single rule of
“wh-movement” is a huge advanced, allowing one insight into UG. Ultimately,
this paper lead to the Move-Alpha framework, and indirectly to Merge (the
simplest and most general operation yet).
However, “On
Wh-Movement” is what I would call “semi-formal”. It has semi-formal statements
of various conditions and principles, and also lots of assumptions are left
implicit. As a consequence it has the hallmark property of semi-formal work: there
are no theorems and no proofs. Formalization is stating a theory
clearly and formally enough that one can establish conclusively (i.e., with a
proof) the relations between various aspects of the theory and between claims
of the theory and claims of alternative theories.
Certainly, it would
have been a waste of time to fully formalize “On Wh-Movement”. It would have
expanded the text 10-20 fold at least, and added nothing. This is something
that I think Pullum completely missed in his 1989 paper on formalization. The
semi-formal nature of syntactic theory, also found in such classics as
“Infinite Syntax” by Ross and “On Raising” by Postal, has led to a huge
explosion of knowledge that people outside of linguistics/syntax cannot really
understand (hence all the lame discussion out there on the internet and
Facebook about what the real accomplishments of generative grammar have been),
in part because syntacticians are not very good popularizers.
Theoretical work,
according to Rob is: “is concerned with developing and
investigating primitives, derived concepts and architecture within a particular
domain of inquiry.” There are many good examples of this kind of work in the minimalist
literature. I would say Uriagereka’s original work on multi-spell-out qualifies
and so does Epstein’s work on c-command, amongst others.
My feeling is that
theoretical work (in Chametzky’s sense) is the natural place for formalization
in linguistic theory. The reason is that it is possible, using formal assumptions
to show clearly the relationship between various concepts, assumptions,
operations and principles. For example, it should be possible to show, from
formal work, that things like the NTC and Extension condition should really be
thought of as theorems proved on the basis of assumptions about UG. Since NTC and Extension condition are
theorems, they can actually be eliminated from UG. And from this, one can
wonder if that program can be extended to the full range of what syntacticians
normally think about as constraints.
In this, I agree with
Norbert who states: “It can lay bare what the conceptual
dependencies between our basic concepts are.” Furthermore, as my previous
paragraph makes clear, this mode of reasoning is particularly important for
pushing the SMT forward. How can we know, with certainty, how some
concept/principle/mechanism fits into the SMT? We can formalize and see if we
can prove relations between our assumptions about the SMT and the various
concepts/principles/mechanisms. Using the ruthless tools of definition, proof
and theorem, we can gradually whittle away at UG, until we have the bare
essence. I am sure that there are many surprises in store for us. Given the
fundamental, abstract and subtle nature of the elements involved, such formalization
is probably a necessity, if we want to avoid falling into a muddle of unclear
conclusions.
A related reason for
formalization (in addition to clearly stating/proving relationships between
concepts and assumptions) is that it allows one to clarify murky areas. One of
the biggest such areas nowadays is whether syntactic dependencies make use of
chains, multi-dominance structures or something else entirely (maybe nothing
else). Chomsky’s papers, including his recent ones, make references to chains
at many points. But other recent work invokes multi-dominance. What are the
differences and relations between these theories and are either of them really
necessary? What assumptions about UG does multi-dominance or chains entail? I
am afraid that without formalization it will be impossible to answer these
questions. I am investigating these questions in my seminar this semester.
These questions about
syntactic dependencies interact closely with TransferPF (Spell-Out) and
TransferLF, which to my knowledge, have not only not been formalized but not
even stated in an explicit manner. Investigating the question of whether
multi-dominance, chains or some something else entirely (perhaps nothing else)
is needed to model human language syntax will require a concomitant
formalization of TransferPF and TransferLF, since these are the functions that
make use of the structures formed by Merge.
Minimalist syntax
calls for formalization in a way that previous syntactic theories did not.
First, the nature of the basic operations is simple enough (e.g., Merge) to
make formalization a real possibility. The baroque and varied nature of
“transformations” in the “On Wh-Movement” framework and preceding work made the
prospect for a full formalization more daunting.
Second, the nature of
the concepts involved in minimalism, because of their simplicity and generality
(e.g., copies, occurrences), are just too fundamental and subtle and abstract
to resolve by talking through them in an informal or semi-formal way. With
formalization we can hope to state things in such a way to make clear
conceptual and empirical properties of the various proposals, and compare and evaluate
them. In fact, I have recently being doing a lot of this with my colleagues,
because only recently (by helping to write Collins and Stabler 2012) have I
seen what the issues are.
So, in the spirit of
Frege, formalization should be a tool for ordinary working syntacticians to
clarify their ideas and examine them empirically and conceptually.