Download INFLECTIONAL AND LEXICAL MORPHOLOGY

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INFLECTIONAL AND LEXICAL MORPHOLOGY
- A LINGUISTIC CONTINUUM
URS ULA S T E PH AN Y
Lexicaland inflectionalmorphologyform a scaledcontinuumwith respectto grammaticalizapertaining
tion. Examination
of the principallinguisticcategoties
to the majorlexicalclasses
of
nouns,adjectives,
and verbsshowsthat languages
differin thedegreeto whichtheygrammaticalize
'inflectional'
phenomena
suchcategories
and that withinone and the samelanguage
do indeed
positions
occupyquitedifferent
on thescaleof grammaticalization
andmay evenfadeintothelexiphenomena
linguistic
if theirdifferential
cal domain.Continuous
canonly be adequately
described
is takeninto consideration.
behavioron a set of oarameters
l. The Word in Morphology and Syntax
The word is the linguistic unit par excellencein the speakers'understandingof their
languageas well as in traditionallinguisticdescription.The two traditionaldisciplines,
morphologyand syntax,are concernedwith the structureof words and with the rulesby
which they are combinedin sentences,
respectively.r
The role of morphology in the grammaticalanalysisof languagesis dependentupon the
relativecomplexity of the word. Languagesdiffer typologically in this respect.Whereasin
an ideal isolatinglanguagethere would be a one-to-onecorrespondence
of words and
morphemes,in more syntheticlanguagesthe word on the averageconsistsof more than
one morpheme. On the index of synthesis the two extremes are isolating and
polysynthetic.2Vietnameseand Chinese are examplesof languagesapproachingthe
isolatingtype, while many North-AmericanIndian languagesare polysynthetic.In such
languagesit may be difficult to tell word and phraseapart; morphologicaland syntactic
A c c o r d i n gt o L y o n s ( 1 9 6 8 : 1 9 4 )" t h e v e r y t e r m s ' m o r p h o l o g y ' a n d ' s y n t a x ' .a n d t h e w a y i n
w h i c h t h e y a r e a p p l i e d .i m p l y t h e p r i m a c y o f t h e w o r d . T y p o l o g i c a l l ys p e a k i n g . ' m o r p h o l o g y ' i s
s i m p l y ' t h e s t u d y o f f o r m s ' a n d ' s y n t a x ' t h e t h e o r y o f ' p u t t i n g t o g e t h e r ' :i t w a s t a k e n f o r g r a n t e d b y t r a d i t i o n a lg r a m m a r i a n st h a t t h e ' f o r m s ' t r e a t e di n g r a m m a r a r e t h e f o r m s o f w o r d s a n d
t h a t w o r d s a r e t h e u n i t s w h i c h a r e ' p u t t o g e t h e r ' .o r c o m b i n e d i n s e n t e n c e s . "
O n m o r p h o l o g i c a lt y p o l o g y c f . C o m r i e ( 1 9 8 1 : 3 9 f f ) .
U. Stephany/ Inflectional and lexical morphology
28
structure strongly overlaP.l
the chieffunctionof which is to predicate'SenWords are combinedto form sentences.
tencescharacteristicallyconsist of a verb, belongingto the word-classwith primarily
predicative function. and nouns. a word-class with primarily referential function'a
and to express
of sentences
to mark the constituents
Languagesuse a variety of strategies
of different
the
use
is
inflection,
strategies
these
of
One
each
other.
how they are relatedto
(1)
in
example
nouns
the
functions
of
object
and
subject
the
word-forms.Thus, in Latin
are signalledby their nominativeand accusativecase forms, respectively.
( l ) ( a ) p u e l l ap u e r u m l a u d a t .
(b) puellam puer laudat.
A languagelike Mod. Englishwith lessnoun morphologymakesuseof a differenttype of
strategyin such cases,namelythe positionof the noun phrasesrelativeto the verb (example 2).
(2) (a) the girl praisesthe boy.
(b) the boy praisesthe girl'
2. Morphology
The study of morphology comprisestwo subjects,inflection and derivation.Inflection
is concernedwith the study of word-forms and the processesby which they are formed.
Derivation studiesthe structure of lexemes,of words in the senseof lexical units, and of
i.e. the rules by which languagesform new
lexical,as opposedto inflectionalprocesses,
words. These domains of morphologicalstudy have thereforebeencalled inflectionaland
lexical morphology.
2.1. Lexical Morphology
Languagesare constantlyfacedwith the necessityof adaptingtheir lexicalstock to new
communicativeneeds.New words servethe purposeof naming new concepts,thus more
or lessstabilizingthem and making them availablefor linguisticcommunicationas a kind
of 'prefabricated' unit.s Although languagesdiffer in the way domains of cognitive
categoriesare lexicalizedas well as in the detail to which this is done, this must not be
'name' categories.6
In any languagea speakerhas
confusedwith their generalability to
r
4
5
6
Cf. Nida (1949:104f0.
C f . S a p i r ( l 9 2 l : 1 1 9 ) a n d Lyons(19'17:4290.
C f . B o l i n g e r( 1 9 7 5 : l 0 8 f l ) a n d M o t s c h( 1 9 7 7 : 1 8 3 ) .
T h i s p o i n t i s s t r e s s e db y B r o w n( 1 9 5 8 : 2 3 4 f ) .
U. Stephany / Inflectional and lexical morphology
the possibilityof naming differentkinds of snow, althoughmaybe not by separatereadymade lexicalitems as e.g.in Eskimo, but by phraseshe may constructfor this very purpose.
Word-classesopen to new lexical formations are above all the major categoriesof
nouns, adjectives,verbs, and adverbs;?much less so the more grammaticalizedlexical
categories,such as auxiliaries,adpositions,pronouns,and determiners.It is preciselythis
differencebetweenopen and closedlexicalclasseswhich is observedby Lewis Carroll in
his Jabberwocky:
(3) 'Twas brillig, and the slithy toves
Did gyre and gimble in the wabe:
All mimsy were the borogoves,
And the mome raths outgrabe.
The invented words all belong to the classesof nouns, adjectives,or verbs.
The main processof word-formation is derivation,the formation of new words on the
basis of existingones.EThis is done either by compoundingwords (or rather roots or
stems)or by adding a derivationalaffix to a root or stem serving as its derivationalbase.e
In the German noun Eiffihrungsvorlesung 'introductory lecture' both kinds of
derivational processes,composition and derivation (in the restricted senseof the term),
occur (figure l).
NouNANouN
COMP. MARK
DER. SUF
VERBSTEM DER. SUF
DER. PREF VERBROOT
DER. PREF VERBSTEM
I
ein
ftihr
ung
les
ung
Fie. l. Word formation.
C f . B o l i n g e r( 1 9 7 5 : 1l 0 ) .
C f . B o l i n g e r( 1 9 7 5 : 1 0 8 )a n d A r o n o f f ( 1 9 1 6 : 2 1 ) .
A l t h o u g h a f T i x a t i o ni s b y f a r t h e m o s t i m p o r t a n t d e r i v a t i o n a tl e c h n i q u eb e s i d e sc o m p o u n d i n g .
i t i s n o t t h e o n l y o n e . O t h e r d e r i v a t i o n a lp r o c e s s e sc o m p r i s e a b l a u t a n d c o n v e r s i o n( z e r o
derivation).
[J. Stephany / Inflectional and lexical morphology
derivativesare
Compounds are complex lexical items containingmore than one root;
between
derived from roots or stems by means of lexical formatives.toThe boundary
if lexdecide
to
not
easy
compositionand derivationis not clear-cut,however.Thus, it is
'to translate'or vorlesen'to read (s'th' to
ically complex verbs like German ubersetzen
yr
s a g e n e r a l t e n d e n cf o
s r c o m p o u n d s . r r T h e ri e
s . o . ) ' s h o u l db e c o n s i d e r e ad s d e r i v a t i o n o
correspondand,
languagesr2
descriptiveterms to become less descriptivein the history of
derivational
ingly. for freemorphemesto becomebound.Thus, the Mod' High German
'mankind', Mannschaft 'team', Christen-tum,
-schaft,
as in Menschheit
and
suffixes-fteit,
tum'Christianity'. were nouns in Middle or Old High German.t3
positionson a conCompositionand derivation,as definedabove,representonly two
to unanalyzable
sentences
entire
from
extending
formations,
lexical
tinuous scale of
techniques'ra
gamut
lexical
of
this
from
choose
they
way
in
the
differ
labels.Languages
purposes(examnaming
for
sentences
use
exceptionally
only
English
and
While German
ple 4a), fossilizedclausesquite frequently servethis functionin Maasai, an Eastern Nilotic
(example4b)'t5
language,especiallyas far as names of animals are concerned
'forget-me-not'
(a) (a) VergiBmeinnicht
tuli
ibor(b) enaC L. PREF-REL.PRON-be.white-buttock
'Thomson's gazelle'
Mod. Greek makesuse of genitivephraseswithout any determinersof the modifiernoun
'things' (example5a),'uwhile German prefersthe lexicaltechniqueof composito name
tion in such cases(examPle5b).
'cow's milk'
(5) (a) Tala ajel66a-s
milk cow- GEN.SG
'cow's milk'
(b) Kuhmilch
of
Languagesmay changetheir preferredways of forming new lexical items in the course
in
conimportance
in
gaining
enormously
their history. Nominal compositionhas been
predominated'
temporaryFrench,r?while in former historicalstagesit was derivationthat
l0oncompositionandderivationcf.Matthews(1974:38f0.
Cf.
"
t2 Cf.
r:1 Cf.
14 Cf.
Malkiel (1978:12'7n.
S e i l e r( 1 9 7 5 : 4I ) .
F l e i s c h e r( 1 9 7 5 : 1 5 0 .1 6 0 f 0 '
S e i l e r( 1 9 7 9 / 8 0 ) '
r 5 E x a m p l e ( 4 b ) i s t a k e n f r o m T u c k e r / M p a a y e i( 1 9 5 5 : 3 0 9 ) .T h e i n f o r m a t i o n o n M a a s a i n a m i n g
(Institut ftir Afrikanistik' u proceduresand the analysisof the example are due to Dr. vossen
niversityo
' f Cologne)'
r 6 C f . K a t s i n a v a k i s( i n p r e p . ) '
t1 Cf. Benveniste
(1966).
I
I
I
I
U. St- :nn.y
2.2. Lexical versus Inflectional
In lectional and lexical morphology
Morphology
In order to fulfil their functions as man's chief means of communication,languages
needlexical as well as grammatical,i.e. inflectionaland/or syntactic,devices.Sincegrammatical entities(inflectionalformatives,function words) may have lexical meaningbesides
their grammatical function and lexical entities(derivational formatives, content words)
may be inherentlyrelational,the grammaticaland lexicaldomains- and hencealso inflectional and lexical morphology are not strictly separated in the structure of
language.
Languagesmake use of the samekinds of techniquesboth for inflectionaland lexical
formations.Thus, the Mod. Greek adjective ksitinos'wooden' adoptsdifferentinflectional
forms dependingon the syntactic constructionsin which it occurs (example6).
-o
(6) (a) ayorase
6na
ksilin
yrafi-o.
b o u g h t : 3 . S Ga : A C C . S G . N w o o d e n - A c C . S G . N d e s k - A C C . S G . N
'She
bought a wooden desk.'
-a
(b) protim6i
yrafr-a.
ksilin
p r e f e r : 3 . S Gw o o d e n -A C C . P L . N d e s k - A C C . P L . N
'She preferswooden
desks.'
Theseare formed by adding differentinflectionalsuffixesto the stemksilin-, which is itself
derived from the root ksil- 'wood' by suffixation of the derivationalmorpheme -in-. German Flug 'flight'as well asflog 'flew'are relatedtofliegen 'to fly'by ablaut. But whereas
FIug andfliegen are different lexemes,/og andfliegen are different forms of one and the
same lexeme.
In spite of this parallelismof inflectionaland lexical techniquesthere are, however,important dilferencesbetweenthe two domains of morphology. In example(6) the specific
inflectional forms adopted by the adjective are prescribedby grammatical rule. Forms
like ksitina GEN.SG.N or ksittnlACC.SG.F would be ungrammaticalin the givencontexts. There is on the other hand no grammatical rule which forces the speakerto use an
adjectivederived by -inos rather than one in -enios(such as ksildnios'wooden') or an adjective not formed by any lexicalprocessat all, such as ordos'beautiful'.Thus, while inflectionalformations are determinedby syntacticrule and thereforecan not be substitut..erd
by forms not carrying the appropriatesyntacticinformation (such as a certain case,number, and gender),such restrictionsdo not govern the distributionof complexvs. simple
lexical items of a given word-class.
Other well-known differencesbetweeninflectionaland lexical morphology concernthe
more peripheralposition of inflectionalas opposedto lexical formativesin the structureof
the word, the highly restrictedproductivityof lexicalas comparedto inflectionalrules,the
ability of lexical, but not of inflectional processesto effect changesin word-classmembership.tsFurthermore, the choice between different formal means not determined by
r E F o r a c o m p a r i s o no f i n f l e c t i o n a l
a n d l e x i c a l m o r p h o l o g y c f . B l o o m f i e l d( 1 9 3 3 : 2 2 2 f 0 . N i d a
( 1 9 4 9 : 9 9 f ) ,M a t t h e w s ( 1 9 7 4 : c h . I I I ) . a n d P l a n k ( 1 9 8 1: 8 f f ) .
U. Stephany/ Inflectional and lexical morphology
32
syntactic rule and a correspondingtendency to exploit formal differencesfor semantic
purposes are more typical of lexical morphology, while pairs of inflectionally related
forms are characterizedby correlationsof grammatical featuresand a constant proportionality of expressionand content.re
The differencesbetweeninflectional and lexical morphology could be summarizedby
stating that the inflectionaldomain of morphologyis grammaticalizedwhile the lexical
domain is not.20But as observedabove,the boundariesbetweeninflectionaland lexical
phenomenaare not clear-cut.It should thereforecome as no surprisethat languagesdiffer
as to which linguisticcategoriesthey grammaticalizeand in the degreeto which they do
this. In sections3 to 5 we shall examinethe lexicalcategoriesof nouns,adjectives,and
verbs and show that linguistic categorieswhich belong to inflectionalmorphology in the
Indo-Europeanlanguagesmay be much less grammaticalizedin languagesof different
do
geneticaffiliationsand that within one and the samelanguage'inflectional'phenomena
indeed occupy quite different positionson the scaleof grammaticalizationand may eventually fade into the lexical domain. The final sectionwill be devotedto the descriptionof
such linguisticcontinua.
3. Case, Number, and Gender in the Noun
3 . 1 .C a s e
As shown above (example l), in a language like Latin, which has the grammatical
techniqueof inflection, nouns adopt different case forms according to their functions in
syntactic constructions.For this reasoncase forms cannot be exchangedat will. Senten- differ in meaning,while (7c),with a
ces(la) and (lb) - repeatedhereas (7a) and (7b)
second nominative instead of the accusativeobject required by the verb laudare, is ungrammatical.
(7) (a) puella puerum laudat'
(b) puell'm Puer laudat.
(c) *puella pu.erlaudat.
Due tci the fact that it incorporatesboth the Indo-Europeaninstrumentaland locative
cases,the Latin ablativefulfils a variety of functions, such as denoting origin' place, and
time, as exemplifiedby examples(8a) to (8c).
(8) (a) puer nobili genere natus fuit.
(b) puer rare natus fuit'
(c) puer Kalendis Ianuariis natus fuit.
Unlike direct and indirect objects, adverbial phrasesdo not usually belong to the argu-
For these features of the inflectional paradigm cf. Seiler (1966) and (1967) and the following
sections.
20 On grammaticalization cf. Lyons (1977:234f) and Lehmann (in prep.)
U. Stephany / Inflectional and lexical morphology
-')-)
ment structure of the verb.zrWhile (9a) is ungrammatical,becausethe verb laudare requires a direct object, sentence(9b) is perfectly correct without any of the adverbial
phrasesof (8), at least if the subject noun phrase is interpretedas indefinite.
(9) (a) *puer laudat.
(b) puer natus fuit.
At the sametime, all threeadverbialphrasesof (8) may be combinedin one and the same
sentence(examplel0a), while it is impossibleto simplyjuxtaposetwo direct objectsin a
sentencelike (l0b).
(10) (a) puer nobill genere rure Kalendis lanuariis natus fuit.
(b) *puer puellam canem laudat.
The compatibility of the three adverbial phrasesin (l0a) points to their differencein
function.
Contrary to the nominative and the accusative,the ablativeis in someof its functions
replaceableby a non-inflectedform (example I l).
( I I ) (a) puer rureliDi natus fuit.
(b) puer Katendis lanuariisltan natus fuit.
All this shows that the ablativecase behavesrather differentlyfrom the more 'grammatical' casesnominative,accusative,and genitiveand that it plays a lesscentralrole in
the systemof Latin syntacticfunctions.22
In spiteof this, the ablativeis rightly considered
as part of the Latin inflectionalsystem, however, for it belongs to the declensional
paradigmof the noun. All Latin nouns have an ablativecase-form,and the sametype of
techniquesare used for forming the ablative as well as the other caseforms. The ablative
obeys the systematiccorrelationstypical of the paradigm, in which there is a regular
correspondenceof certain formal differencesto certain meaning differences,as exemp l i f i e db y ( 1 2 ) . 2 3
( 1 2 ) p u e r u m :p u e r o : p u e l l a m :p u e l l a : g € l 1 u Sgl e n e r e : t u r r i m : t u r r i : . . .
As is typical of Latin cases,the ablativeis used to signal syntacticfunctions"such as
thosein (8), and to mark the relatedness
of sentenceconstituents.Thus, in sentence(8a)
the abjective nobilis agrees with its head noun in case, number, and gender. The
morphologicalformativecarrying amongothersthe ablativecasefunction constitutesthe
endingof the word. It doesnot allow any further suffixesafter it. This is typical of inflections formed by suffixation.
7t
C e r t a i nv e r b s .l i k e M o d . G r e e k m d n o i n t h e s e n s eo f ' t o d w e l l ' o r G e r m a n v , o h n e n' t o d w e l l l d o
r e q u i r e a l o c a t i v e p h r a s e .h o w e v e r .
7 2 C f . K u r y / o w i c z ( 1 9 4 9 ) a n d S e i l e r( 1 9 6 7 : 5 0 0 .
2 r C f . S e i l e r( 1 9 6 6 ) a n d ( 1 9 6 ' D .
Ll. Stephany / Inflectional and lexical morphology
34
3.2. Number
In the inflectionalendings of Latin nouns the category of case is fused with the
categoryof number and thus expressedobligatorilyas well. In Indo-Europeanlanguages
the category of number is usually grammaticalized,for in theselanguagesthe discrete
In languageslike Mod.
way of conceptualizingsubstantivemeaningspredominates.2a
or
as
spitilHauslhouselmaison
such
Greek. German, English,and French word-forms
are
relativeplural.
There
put
into
the
be
may
and
psdmalLi)gellielmensongearesingular
ly few nouns in these languageswith non-discreteconceptual meanings,such as
musik{lMusiklmusiclmusiqueor yrilalMilchlmitkllait. Although the latter are formally in
the singular,the unmarkednumber,they are actuallyneutralrelativeto number.Contrary
to true singulars,they may occur in plural contexts(example l3).
(13) (a)
(b)
(c)
(d)
*spitiul *psdmatos
8iafora i6i mustkislydlaktosl
*Hausl *Lilge
verschiedeneArten von MusiklMilchl
*lie
*housel
different kinds of musiclmilkl
*maisonl *mensonge
differentessortes de musiquellaitl
the most freIn Indo-Europeanlanguagesthe plural is formed by inflectionaltechniques,
a stem.The
after
quent of which is suffixation,f.e. the addition of a bound morpheme
the
category
of
grammaticalized
nature
most important proof of the inflectionaland thus
In
purposes.2s
for
syntactic
it
is
used
of number is, however,provided by the fact that
English,
and
French
also
and
German,
languageslike Latin, Class. and Mod. Greek,
number is used for signallingthe relatednessof the elementsin the sentence.Thus, in
Mod. Greek the inflectibleelementsof the noun phraseagreein number,and the sameis
true of subject and finite verb (example l4).
kimite.
meyalo
skili
( l4) (a) to
s
t h e : N O M . S G . Nb i g : N O M . S G . N d o g : N O M . S G ' N l e e p : 3 . S G . P R S
'The big dog is sleeping.'
kimunde.
skilia
(b) ta
meyala
the:NOM.PL.N big:NOM.PL.N dog:NOM.PL.N sleep:3.OL.PRS
'The big dogs are sleePing.'
Elementsof the sentenceagreeingwith eachother refer to eachother.Languagesdiffer in
the degreeto which this "referentialsystem"26is made use of. In German,just as in Mod.
Greek, there is agreementin gender.case,and number among the inflectibleelementsof
the noun phrase as well as in number betweensubject and finite verb (example l5).
schldft.
groBe
Hund
( I 5) (a) der
the:NOM.SG.M big:NOM.SG.M dog:NOM.SG.M sleep:3.SG.PRS
2 ' r C f . B i e r m a n n( 1 9 8 2 ) .
25 Cf. Sapir (1921:94f).
2 6 G r u n d z i i g e ,p . 5 6 8 .
U. Stephany/ Inflectional and lexical morphology
35
'The big dog is sleeping.
groBen
(b) die
Hunde
schlafen.
t h e : N O M . P L . Mb i g : N O M . P L . M d o g : N O M . P L . Ms l e e p : 3 . P L . P R S
'The big dogs are sleeping.'
But whereasin Mod. Greek the adjectiveagreeswith its noun in attributiveas well as in
predicativeuse, agreementin German is restrictedto the attributiveadjective(examples
l6 and l7).
( 16) (a) to
meyalo.
ejine
skili
t h e : N O I v { . S G . Nd o g : N O M . S G . N b e c a m e : 3 . S Gb i g : N O M . S G . N
'The dog grew big.'
(b) ta
meyala.
ejinan
skili6
t h e : N O M . P L . N d o g : N O M . P L . N b e c a m e : 3 . P Lb i g : N O M . P L . N
'The dogs grew big.'
groB.
( 17) (a) der
wurde
Hund
t h e : N O M . S G . M d o g : N O M . S G . M b e c a m e : 3 . S Gb i g
groB.
(b) die
wurden
Hunde
t h e : N O M . P L . M d o g : N O M . P L . M b e c a m e : 3 . P Lb i g
Outsidethe Indo-Europeanfamily thereare languagesin which numberis lessstrongly
grammaticalized.
Thus. in Nootka, an American Indian languagespokenon Vancouver
Consequently,number is not
Island. expressionof the categtrryof number is optional.ZT
though.plural
usedfor agreementin this language.Much as in Indo-Europeanlanguages.
is signalledby morphologicalmeans.The plural morphemeis a bound morphemeadded
to the noun stem by suffixation(example l8).
(18) inikw-ihl?minih?is- ?izE
fire- in.the.house-PlURAl- DIM- ART
'the little fires in the house'
A comparisonof the relativepositionsof the plural and diminutivesuffixesin Nootka and
Mod. Greek (examplel9) shows that in Nootka the plural suffix is placedcloserto the
root than the diminutive morpheme.while in Mod. Greek they are in reverseorder.
'little fires'
(19) fot-riki-a
fire-DIM-PL
The relativeproximity of the plural morphemeto the root reflectsits degreeof gramto occupy less
maticalization.There is a generaltendencyfor derivationalr.norphemes
peripheralpositionsin the structureof the word than thoseof the inflectionalones.This is
2 7 C f . S a p i r ( 1 9 2I : 2 8 0 .
28 Example(20) is taken from Sapir (1921:134).
LI. Stephany / Inflectional and lexical morphology
36
due to the function of derivationalmorphemesto constitutelexemes,whereasinflections
are outwardlyorientedtoward the other elementsof the sentenceand changeaccordingto
the syntactic context. In Nootka plural is thus a less abstract category than in Mod.
Greek, for example.The plural and the diminutive suffixesas well as the locative suffix
tend to be derivationalrather than inflectionalin this American Indian language.
A non-discreteway of conceptualizingnominal content also dominatesin Classical
'man' is neither singularnor plural but simply
Tibetan. In example(20a) the noun ni
neutral as to number. The speakeris not concernedwith differentiatingbetweenone or
more relerentsof the object noun! and the grammaticalsystemof his languagedoes not
compelhim to expressthis distinction.If he wishedto do so, however,he could introduce
the word rnams'plural' as a syntactic modifier of mi (example20b).
(20) (a) nga-s
mi
I- ERG man
(b) nga-s
mi
I- ERG man
mthong.2e 'I see a man/men.'
see
'I see men.
mthong.
rnams
plural
see
'plural' functionsas an attributeand is thus on a par with
The Class.Tibetan word for
The fact that the conceptof plurality is exother attributiveelements,such as aCjectives.
pressedby a free morpheme shows that it is even less grammaticalizedhere than in
Nootka.
While in Indo-Europeanlanguagesnumber is part of inflectionalmorphology and is
syntacticallyused for agreement,in certain American Indian Languagesthe categoryof
plural has a tendencytoward lexicalmorphology.It is not usedfor agreement.In Class.
Tibetan plural is not even expressedmorphologically,but syntactically.Lexical and syntactic means of expressingthe concept of plurality are not, however,completely alien to
languageswith a strongly grammaticalizedcategory of number. In German transnumeral
nouns, such as Regen'rain', Fleisch'meat', Musik'music', may be pluralizedby taking
'rains', Fleischsorrecourseto lexical morphology, namely composition,as in Regenfalle
'pieces of music'.30Numeral adjectives,such as zwei
'kinds
ten
of ineat', Musikstilcke
'two', mehrere'several', viele'many', offer syntactic meansof expressingplurality. Number being grammaticalizedin German, theseextra-inflectionalproceduresare obligatorily
accompanied by the inflectional expressionof plural. As these few examplesindicate,
languagesdiffer gradually rather than radically in the grammaticalizationof number.
3.3. Gender
As stated above, in fusional languageslike Latin or Greek each inflectionalformative
29
l0
E x a m p l e( 2 2 )i s t a k e nf r o m S a p i r( 1 9 2 1 : 1 0 6 ) .
This type of examplewas brought to my attention by ElisabethLcibel (Institut fiir
Universityof Cologne).
Sprachwissenschaft.
U. Stephany / Inflectional and lexical morphology
37
typically combinesseveraltypes of grammaticalinformation.In the noun theseare case,
number,and gender.Nouns may changetheir number and case-form,and fc.rrthis reason
'accidence'.The sameis not true of
thesecategorieshave traditionallybeenconsideredas
gender,which in those Indo-Europeanlanguagesmaking genderdistinctionsinheresto
the noun. The Latin stem of puella is feminineand is thereforeexclusivelycompatible
with the endingsof the a-declensioncontainingpredominantlyfemininenouns. Forms
like *puellus or *puellum are not possibleLatin words of word-forms. Another characteristicof genderin Indo-Europeanlanguagesis that with the exceptionof certainnominal
it is not semanticallybased.It thus comesas no surprisethat the word for
subcategories
'table' is neuter in Mod. Greek (to trapdzi) while being feminine in French (la table) and
masculinein German (der Tisch).Thereare someimportantexceptionsto the semantically arbitrary distributionof gender.Thus, in French the names of trees are nearly all
masculine,while in Russianand German they are predominantlyfeminine.Another exceptionare nounsdenotinghuman beings.wheregrammaticalgenderusuallycorresponds
to the sex of the referent.But even herethere are exceptions.While in French we have /e
gargon (M) 'the boy' and la Jille (F) 'the girl', in German we find der Junge (M) but das
Mddchen (N), whereasin Mod. Greek it is /o kopdli (N) and i kopdla (F). Although the
of genderand sex in nouns denotingpersonssociallyconsideredas
non-correspondence
sexually immature is certainly no mere coincidence,the fact that a specificnoun has
natural gender or not should not mislead one to make hasty cultural speculationsin
languageswith stronglygrammaticalizedgender.In such languagesthe primary function
of genderis to classifynounsinto differentinflectionaltypes and thus to signalwhich units of the sentenceare related and how they are related.
Gender variation may marginallyoccur in languageswith grammaticalizedand thus
predominantlyfixed gender,especiallyin learnedwords and other loan-words,as e.g.
'celibacy',Liter 'liter', and Joghurt'yogurt', which
German Primat'primacy', Zblibat
vary betweenmasculineand neutergender.According to a generallinguistictendencyof
making use of lormal distinctionsfor semioticpurposes,in other nouns such genderdifferencescorrespondto different,but relatedmeanings(example2l).
(21) Eibe M: 'inheritor', N: 'inheritance'
'salary'
G e h a l t M : ' c o n t e n t , ' v a l u e ' ,N :
'hat',
'protection'
F:
Hut M:
Balg M: 'skin'. N: 'brat'
While in languageswith a rich systemof noun inflection,such as Latin and Class.Greek
- and even Mod. Greek as comparedto German - a noun'sgendercan in the majority
of casesbe recognizedby its nominativeform, genderis not formally marked in most
German nouns. It is neither deduciblefrom their morphophonologicalstructurein the
nominative singular nor from most other case forms. Thus, the phonologicallyquite
in -er (22b).
similar monosyllabicsin (22a) differ in genderas do the bisyllabics'ending
'blood'
(22) (a) Flug (M) 'flight', Flut (F) 'flood', Blut (N)
'butter',
'sugar',
(b) Zucker (M)
Futter (N) 'feed'
Butter (F)
38
U. Stephany/ Inflectional and \exical motphology
The situation is quite different with the nouns in (23), however.
'god - goddess'
(23) (a) Gott (M) - Gottin (F)
'slave'
Sklave (M) - Sklavin (F)
'friend'
Freund (M) - Freundin (F)
'lion
- lioness'
Lciwe (M) Lciwin (F)
'widow
- widower'
(b) Witwe (F) Witwer (M)
'goose
- gander'
Gans (F) Giinserich(M)
'duck
drake'
Ente (F) Enterich (M)
In the forms in the right-handcolumn genderis overtly marked by the suffix and it is
natural.Pairsof masculineand feminineforms denotingmasculineand the corresponding
feminine beings also occur in languageslike Latin, Mod. Greek, and Italian. In these
languagesgender is overtly marked in both forms (example24)'
'god - goddess'
QD @) d€us (M) dea (F)
'slave'
(b) 60los (M) - 6ula (F)
'cousin'
(c) cugino (M) cugina (F)
The phenomenonthat nouns denotingpersonsor animalscan serveas basesfor deriving
nouns denoting referentsof the opposite sex is called motion. In the older stagesof
languagedevelopmentit was only possibleto derive feminine forms from masculine
forms, never the reverse.3rlnmodern languagesmasculineforms may be derivedfrom
feminine forms as well (cf. example 23b above).A masculineor femininenoun is derived
as shown by the German examples
in complementarityto the genderof the classname,32
Gans G\lGiinserich (M), but Lbwe (M)l t\wtt? (F) in (23).
Should motion be consideredan inflectionalor rather a lexical process?In Italian it
seemspossibleto establishcorrelationslike (25), which apparentlylook quite the sameas
t h o s ei n ( l 2 ) a b o v e . 3 3
( 2 5 ) c u g i n o : c u g i n a : c a r o : c € I r a:
mio: mia
'dear' and miolmia'my'are different inflectionalforms of the adjecThe forms carofcara
adjectiveof the first personsingular,respectively.This can be
tive caro and the possessive
shown by the fact that their form, as far as genderand number are concerned,is determined by the syntacticconstructionsin which they occur (example26).
(26) (a) il caro/*cara mio/*mia cugino
(b) la caraf*caro mia/*mio cugina
-o and their inThe compatibilityof the adjectivesendingin -o with the noun endingin
r r U n t e r m a n n( 1 9 7 9 )
' 1 r C f . P l a n k ( 1 9 8I : 9 6 f 1 ) .
' I t T h e f o l l o w i n g a r g u m e n t a t i o ni s l a r g e l y b a s e d o n M a t t h e w s ( 1 9 ' 7 4 : 4 4 f f ) '
u. Stephany/ Inflectionaland lexicalmorphology
39
compatibility with the noun ending in -a does not, however, show if the dependencyof
gender (and number) betweennoun and adjectives(as well as the article) is mutual or
directed.That gender(and number) in the determinersare indeeddeterminedby the noun
can be proved by substitutingnouns which are doubtlesslydifferentlexemes,such as cQne
'dog' and madre'mother', for cugino and cugina, as in (27).
(21) (a) il carol*cara mio/*mia cane
(b) la caral*caro mia/*mio madre
Just as cane andmadre determinegender and number of their determiners,so do cugino
and cugtna.It follows that the relation betweenthe latter is lexical and not inflectionaland
thus different from the relation betweencaro and cara or mio and mia and a host of other
adjective forms, where, contrary to nouns, masculine forms quite regularly have
correspondingfeminine forms, their use being determinedby grammatical rule.
Contrary to inflectionalrules,the applicabilityof lexical rules is quite heavily restricted
by different factors. One of theseis lexical stock. In German the rulc of motion is usually
blocked if the correspondingconcept is already representedby a simple lexeme(example
28).
(28) (a) Vater (M) - Mutter/*Vdterin (F) 'father - mother'
(b) Mcinch (M) - Nonne/*Mcinchin(F)'monk - nun'
But even if there are no correspondingsimple lexical items, derivationsformed by motion
may still be,unacceptable,partly due to cultural reasons (example 29).tn
(29) (a) Elefant (M) - *Elefantin (F) 'elephant'
(b) Spinne (F) - *Spinnerich(M) 'spider'
Derivation by the rule of motion changesa noun's gender class. In a languagelike German, in which genderis used for agreement,genderand sex of the referentmay conflict in
masculine animal names, if referenceis to the female animal in particular. Although in
anaphoricalreferenceto neuter nouns denoting personsagreementmay be according to
sex in German (example 30a), gender of the noun takes precedenceover sex of the
referent in animal names (example 30b).
Buch aufgeschlagen.
(30) (a) Das
Mddchen hat seinlihr
has POSS.3.SG.N/Fbook opened
the:NOM.SG.N girl:N
'The girl has opened her book.'
Junges
und seinl*ihr
(b) der
Esel
t h e : N O M . S G . M d o n k e y : M a n d P O S S . 3 . S G . M / Fy o u n g
'the donkey and its young (one)'
With feminine class names such conflicts betweengender and sex do not arise (example
1 4 C f . P l a n k ( 1 9 8I : 9 8 ) .
U. Stephany / Inflectional and lexical morphology
40
absentfrom theseclass
with -in are systematically
3l). For this reasonderivations
names.35
(31) die
Katze und ihr
Junges
P O S S.3 .S G .F
t he: NOM.S G .F
'the cat and its young (one)'
If one comparesmotion to the way genderis treatedin German in general,obvious differencesemergewhich leave no doubt as to the lexical nature of motion. While genderin
most nouns is neithersemanticallyfounded nor marked by a separatemorphemebut solely exhibited by the declensionalparadigm a noun adheresto,36nouns derived by motion
carry a specialsuffix which determinestheir semanticallybasedgender.Here we have one
of the rare caseswhere gender change may take place in German. By motion masculine
nouns becomefeminine(Lbwe -, L\win,23a) and femininenouns becomemasculine(,6nte - Enterich, 23b). Most importantly, however, application of the rule of motion does
not simply lead to genderchangebut to a meaningdifferenceas well. The lexically simple
nouns L'owe and Ente are the unmarked terms of the lexical oppositionsLowelLbwin and
EntelEnterich. As the unmarked terms do not specify the sex of their referents,they can
occur in contexts referring to both masculine and feminine sex. The distribution of the
marked terms is more restricted,becausetheir meaning includesindication of the sex of
their referents (example 32).
(32) Jeder Zoo wird Lciwen/*Lciwinnenund Enten/*Enteriche beiderlei Geschlechts
besitzen.
'Every zoo will have lions/*lionessesand ducks/*drakes of both sexes.'
Furthermore, the rule of motion is heavily restrictedin its productivity, partly depending
a considerationof no importance whaton the stock of derivationally simple lexemes,3?
soever in inflection. The suffix of motion precedesthe inflectional ending and thus occupies a more central position in the word (example 33).
(33) (a) Gdtt - in(n) - en
god- MOV- PL
(b) Ente- rich- e
duck- MOV- PL
'goddesses'
'drakes'
Unlike gender,motion as such is not used for agreementin German. The attributive adjective of a noun derived by motion only takes an ending marking the appropriate gender,
case, and number, but not motion (example 34).
(3a) (a) gro8-e
Gcitt-in
'great goddess'
3 5 C f . P l a n k ( 1 9 8I : 9 9 0 .
36 Cf. Lehmann (forthcoming).
31 Sometimes doublets may occur, however, such as German Enterich'drake'
in spite of Erpel.
U. Stephany/ Inflectional and \exical morphology
g r e a t - N O M . S G . Fg o d -M O V . N O M . S G . F
(b) *grofJ-in Gcitt-in
MOV
MOV
While in Indo-Europeanlanguagesgenderallocationwithout overt gendermarking is
the rule and gendervariationas well as deriva.tional
potentialof gender,as in motion, only
occur exceptionally,there are other languageswhere gender is much more strongly
semanticallyfounded and may thus be lexically productive,which, of course,requires
genderto be overtly marked morphologically.3E
These are the so-calledclass-languages
comprisingmore than five noun-classes
in most casesand exceptionallyas many as forty.
In theselanguagesmost nouns are classifiedaccordingto semanticcharacteristics,
such
as ltuman, animate,animal, plant, tree, fruit, tool, and others.Such noun-classsystems
are well known from African languages,especiallyBantu languages.le
The derivational
potentialand semanticfoundedness
of class-prefixes
are illustratedin example(35a)from
Swahili, a Bantu language,and (35b) from Turkana, a Nilotic language.
'sack'
(35) (a) m- fuko
(Walter 1982:218)
C L3-sack
'small sack,
ki-fuko
bag'
CL7-sack
'big sack'
A fuko
CL5-sack
' m o u n t a i n ' ( H e i n e1 9 8 2 : l 9 l )
(b) e- moru
big
amoru 'stone'
part ot
'hill.
i- moru
small stone'
small
Despite the tendency of the class systemsof typical classifyinglanguagestoward
greater semanticfoundedness,more derivationalpotential,the possibilityof classification
shift, and overt marking, it would be wrong to consider gender a matter of lexical
morphology exclusivelyin these languages.The overall systematicityof noun class
systemsand especiallytheir use for agreementprove that genderis grammaticalized
to a
certain extent.The scopeof agreementof classifyinglanguagesmay even exceedthat of
the so-calledgenderlanguages,
as e.g.the Indo-Europeanones.40
In the Swahilisentences
(36) the class prefix of the subjectnoun is not only repeatedin its modifier but also in the
verb.al
' r 8 O n g e n d e r i n n o n - I n d o - E u r o p e a nl a n g u a g e s
c f . S e r z i s k o( 1 9 8 1 ) . H e i n e ( 1 9 8 2 ) . a n d W a l t e r
( l e82).
' ] e C f . H e i n e( 1 9 8 2 ) .
'r0
C f . H e i n e( 1 9 8 2 ) a n d W a l t e r ( 1 9 8 2 ) .
'rl
E x a m p l e s( 3 6 ) h a v e b e e n a d a p t e d f r o m L a n g a c k e r ( 1 9 7 2 : 7 0 0 .
lJ. Stephany / Inflectional and lexical morphology
42
ni-toda.
ki-moda ki-ta(36) (a) ki-tabu
l
.
SG-suffice
C
L
7
F
U
T
C
L
7
o
n
e
CL7-book
'One book wilt sufTice
for me.'
ni-to5a.
(b) m- toto m- moda a- taCLI-child CLI-one CLI-FUT-l.SG-suffice
'One child
for me.'
will suffice
not only indicategenderbut number as
class-prefixes
In most African class-languages
well. for noun classesare always either singularor plural classes.Classificationis thus
connectedto ranking.a2
As shown in the presentsection,genderis a phenomenonpertainingto both inflection
and derivation.Dependingon the type of the language,it may be more closelyassociated
with the inflectionalpole of the scale of grammaticalization,as e.g. in Indo-European
languages,or on the contrary, with its lexicalpole, as in African classifyinglanguages'a3
4. Agreement and Comparison in the Adjective
4.1. Agreement
Insofar as the adjectiveis marked for case,number, or gender,thesecategoriesare ful
ly inflectional,for they are determinedby grammatical rule. To ask for the genderof an
adjectiveas such would be meaningless,for the adjectiveadopts the genderof the noun it
This is evidencedby the Swahili sentencesabove.While nouns belongto class
modifies.aa
7 or class 1, the numeral adjective mdQa occurs with the prefix of class 7 in (36a), but
with that of class I in (36b), dependingon the classprefix of the noun it is conltructed
with. The adjectiveis marked for the genderclassof its noun and in this way the syntactic
subordinationof the adjectiveto the head of the noun phrase is indicated.a5
4.2. Comparison
Besidesforms servingagreementin gender,case,or number,adjectivesmay havecomparative forms, as exemplifiedin (37).
(37) (a) Dieser Hund ist klein/kleinerlamkleinsten.
(b) afto to skili ine mikro/mikrotero/to mikrotero.
(c) This dog is small/smaller/smallest'
Unlike agreement,comparisonis not possiblewith all adjectives,but is restrictedto
C f . S e i l e r( 1 9 8 2 ) .
C f . S e r z i s k o( 1 9 8I ) .
Cf. Matthews ( 1974:46f1).
C f . O s t r o w s k i( 1 9 8 2 ) .
U. Stephany / Inflectional and lexical morphology
43
gradableones.It is not possibleif the adjectivealready expresses
an extremestate.the
limit,a6such as dead, blind, or deaf. Adjectivessuch as the latter neitherhave comparative
forms, norare they compatiblewith lexicalunits having a gradingfunction (examples38
to 40).
(38) (a) *Der Hase ist toter als die Maus.
(b) *Jemand/etwas ist besonderstot/nahtlos/dreieckig/verheiratet.a?
(c) *Jemand/etwasist zu tot/nahtlosI dreieckiglverheiratet.
(39) (a) *o layos ine nekroteros apo ton pondiko.
(b) tkapios/k6ti ine i6idtera nekros/irafo/triyoniko/pandrem6nos.
(c) *k6pios/kiti ine ipervolikrj nekrosI hr afoI trigoniko/pandremenos.
(a0) (a) *The hare is deaderlmore dead than the mouse.
(b) *Someone/somethingis especiallydead/seamless/triangular/married.
(c) *Someone/somethingis too deadlseamless/triangular/married.
The productivity of comparisonin adjectivesis thus restrictedby semanticconsiderations.
While comparativeand superlativeforms of the adjectiveare constructedsynthetically
in German (kleinlklein-erlklein-sf-), in English they may be constructed either synthetically or periphrastically,dependingon the phonologicalform of the adjective.The
comparative and superlativeforms of monosyllablesand of bisyllabicsending in a
reduced vowel are formed synthetically(example4l a), whereasthe free comparative
mt.rrphemes
more and most are used with longer adjectives(example4lb).48
(al) (a) hot, hotter. hottest
lovely, lovelier,loveliest
(b) beautiful. more beautiful. most beautiful
Although comparisonwith -er and with more are in most instancesin complementarydistribution and the two morphemescould thereforebe consideredin suppletiverelation.a
sentencelike I've neverseena man prouder is, accordingto Bolinger,"more likely to refer
to activepride, say in the accomplishments
of a daughter,whereasI've neverseena man
The tendencyto exploitformal differences
for semantic
moreproud suggestsself-pride".ae
purposesis more typical of lexical than of inflectionalprocesses.
The adjectiveforms in (al show that in German and Mod. Greek.wherecomparatrve
suffixesmay cooccur with inflectionalendingsmarking case,number,and gender.the former occupy a more central position in the structureof the word.
4 6 C f . G r u n d z i l g e ,p . 6 1 4 ,
4 1 E x a m p l e s( 3 8 b ) a n d ( 3 8 c ) h a v e b e e n t a k e n f r o m G r u n d z i l g e ,p . 6 1 5 .
'rE
C f . B o l i n g e r( 1 9 7 5 : 1 2 0 ) .
4 e B o l i n g e r ( 1 9 75 : 1 2 0 f )
44
U. Stephany/ Inflectional and lexical morphology
Hunde
(a2) @) die klein-eren
t h e s m a l l - C O M P - N O M . P L . Md o g : N O M . P L . M
'a
(b) ta mikr-oter
skilirl
t h e s m a l l - C O M PN
- OM.PL.N dog:NOM.PL.N
'the smaller dogs'
As far as their relative proximity to the root is concerned,comparativesufftxesare comparable to suffixes forming adjectival derivativesin both languages(example 43).
(a3) (a) die fleiBen
igStudenten
student:NOM.PL.M
the diligence-DER-NOM.PL.M
'the diligent students'
(b) i
fitites
eryat-ik-i
the work- DER-NOM.PL.M student:NOM.PL.M
Much as the derivative suffixesin (43),the comparativesuffrxesin (42) seemto form the
adjectival base to which the inflectionalendings are added. The derivativesin (43) may,
however,undergo comparison(example44).
(aa) (a) die flei8-igen Studenten
er31
DER-COMP-INFL
'the more diligent
students'
(b) i eryat-ik- oter- i
fitites
DER-COMP-INFL
In this case the comparativesuffix is more peripheralthan the derivationalsuffrx and less
so than the inflectional one. At least as far as German is concerned,this position of the
comparativesuffix doesnot conflict with its possibleinflectionalstatus,as is shown by the
forms in (45), where nominal and verbal basesare each followed by two suflixes of undoubtedly inflectional character.
'to the children'
(a5) (a) den
Kind-er -n
the:DAT.PL child-PL-DAT
'you bought'
(b) du kauf-t- est
2.SG buy- PRT-2.SG
What about determination of comparative and superlative forms by grammatical
rule?soThere are syntactic constructionsin which a comparative form of an adjective
may be substitutedby a positive form without affecting grammaticality (example 46a),
but comparative and positive are not always exchangeable(examples46b and 46c).
(a6) (a) Der Aufsatz wird liinger/lang.
'The paper is getting longer/long.'
(b) Der Aufsatz wird zu langl*zu liinger
50 Cf. also Matthervs (1974:48f).
U. Stephany/ Inflectional and lexical morphology
45
'The paper is getting
too long/rtoo longer.'
(c) Dieser Aufsatz ist liinler/*lang als jener.
'This paper is longer/*longthan that one.'
Even though the substitution test does not yield unambiguous results. the non'
substitutabilityof the comparativeby the morphophonologically
simplepositivein some
constructionspoints to the fact that positiveand comparative(as well as superlative)are
differentinflectionalforms of the adjectiverather than differentlexemes.srThis
view also
agreeswith lexicographicusage,wherecomparativeand superlativeforms of the adjective
are treatedin the samelexicalentry as the positive,much the sameas singularand plural
forms of the noun.s2
The most important evidencefor the inflectionalcharacterof comparisonis, however.
furnished by the fact that positive, comparative, and superlativeform an independent
paradigm,typical of the word class of adjectives.s3
Thesethree form types belong to a
principleof constantproportionalityof
closedset of forms obeyingthe afore-mentioned
expressionand content.sa
In the examplesgiven in (47) one and the same meaningdifferencecorrespondsto one and the same formal differencein each language.ss
@ 7 ) ( a ) k l e i n : k l e i n e r : a m k l e i n s t e h: l a n g : l d n g e r : a m l d n g s t e n : r e g e l m d B i g :
: ...
regelmdBiger:am regelmdBigsten
(b) mikros: mikroteros/pio mikros: o mikroteros/o p i o m i k r o s : m a k r i s :
makriteros/piomakris:o makriteros/opio makris : taktikos: taktikoteros/pio
taktikos: o taktikoteros/opio taktik6s : ...
( c ) s m a l l :s m a l l e r :s m a l l e s t : l o n g : l o n g e r :l o n g e s t : r e g u l a r :m o r e r e g u l a r :m o s t
r e g u l a r: . . .
Such regular conespondences
cannot usually be sa up for derivativesand their bases.Thus.
the sameformal differences
in the proportion(48) are not matchedby a uniform meaning
difference.
(48) Richter: richterlich + Vater: vdterlich + Herz: herzlich + Widerspruch:
widersprtichlich
'judge:.judicial father:paternal
+
+ heart: hearty + contradiction:contradictory'
While the denominal derivative richterlich is a relational adjectivemeaning des Richters
'of the judge',
viiterlich may also signify a quality as in vdterlicher Freund 'fatherly
- s r S e n t e n c e( 4 6 a ) m a y b e t a k e n a s c o m p a r i n gt h e l e n g t ho f ' t h e p a p e r t o a l b r m e r s t a g co l r t s c o m
p o s i t i o n t h u s i m p l y i n g a c o m p a r i s o nt h e b a s i s o f w h i c h i s n o t e x p r e s s e d .
s2 Cf. Matthews (1974:49).
s'1 Cf . Grundzilge, p.603.
54 Cf. fn. 19.
5 ' < A c t u a l l y . w h a t m a t t e r s i s n o t t h a t t h e f o r m a l d i f f e r e n c ei s i n v a r i a n t b u t t h a t i t i s p r e d i c t a b l e
( s u c h a s t h e u m l a u t i n t h e s e c o n do f t h e G e r m a n e x a m p l e si n 4 7 a \ a n d t a k e n f r o m a c l o s e ds e t
of formal means.
46
U. Stephany / Inflectional and lexical morphology
friend/friend like a father'. The meaning of herzlich is highly idiomatic. Herzlicher GrulJ
'greeting of the heart'. Widerspriichlich
cannot be paraphrasedby *GruJJdes Herzens
'full of contradictisn5'.3 meaningwhich doesnot occur in any of the other exammeans
ples.56
Certain membersof the inflectionalparadigmof comparisonmay howeverbecomelexcited in (47). In Gericalizedand thus escapethe regularform-meaningcorrespondences
not
who
is
older. but younger
a
lady
refer
to
is
to
lady'
used
man dltere Dame'elderly
than an old lady. Used in this way the comparativeform dlter is not part of the com'old, older, oldest',but belongsto the lexical seriesof
parative seriesalt, dlter, am iiltesten
positivesjung, iilter, alt'young, elderly,old' denoting a progressionof age as well.
The discussionof the nature of comparisonhas shown that it does indeed possess
typical characteristicsof inflection in such languagesas German, English, and Mod.
Greek, but that it is not as closelyrelatedto the inflectionalpole of the scaleof grammaticalizationas the inflectionof the adjectivefor case, number, or gender.
5. Finite and Non-finite Forms of the Verb
5.1. Finite Verb Forms
In languageshavinginflectionthe verb is the word classrichestin forms. This is due to
the verb being the centerof the predicateor even the whole sentence.By meansof the
categoriesof personand numberthe verb relatesto the speechact. In languageslike Latin
the verb can serveto
or Greek, which do not requirethe subjectto be overtly expressed,
person
referred
to. In languages
or
realizethe communicativerolesof speaker,addressee,
person
and numthe
subject,
mention
of
explicit
like German or English,which do require
the
syntactic
way
to
clarifying
in
contribute
and
this
with
the
subject
ber in the verb agree
In spite of their occurrencein the
relation betweentheseconstituentsof the sentence.sT
verb. personand number are not really verbal categories,for "personalparticipationin
the speechact and countability...are not featuresof eventsor states".They are rather
categoriespertainingto the argumentsof the verb,"the morphologicalreflectionof which
appearsin the person-numberformativesof the verb".s8
Contrary to person and number, tense,aspect.mood. and voice are genuineverbal
categories.Tense and aspectrepresentthe temporalityof situations,with tenselocating
the descriptionof a situationin time - usuallywith respectto the time of utterance- and
aspect expressingthe inner temporal structure of the situation described.Modal
categoriesare concernedwith the speaker'sestimateof the validity of the descriptionof
Finally. the categoryof voicewith activeand passiveallowsa situationto
the situation.se
be expressedeitherwith referenceto the agentor with referenceto the patient(example
s 6 O n d e n o m i n a l a d j e c t i v e sw i t h - l i c h c f ' F l e i s c h e r( 1 9 7 5 : 2 6 8 f 0 '
5 ? C f . G r u n d z i l g e ,p p . 5 3 9 f a n d 6 3 3 .
5tt Grundzilge, p.540.
5e Cf. Grundzilge, pp.501 and 520ff.
U. Stephany/ Inflectional and lexical morphology
17
49). In a languagelike Mod. Greek. wherethe passivevoice is actuallymiddle-passive.60
patient and agent may have different or identicalreferents(example49b vs. 49c).
(a9) (a) i astinomia6piaseton 8rasti meta apo 6iskoti kata6ioksi.
'The police caught the perpetratorafter
a difficult pursuit.'
(b) o brastis piastike(apo tin astinomia)meta apo 6iskoli kata6ioksi.
'The perpetratorwas
caught (by the police) after a difficult pursuit.'
( c ) o 6 r a s t i sp i a s t i k es t i n p a j i 6 a t i s a s t i n o m i a s .
'The perpetrator
caught himself in the trap of the police.'
The differentdiathesesbetweenthe semanticroles of agent and patient and the syntactic func
tions of subjectand object resultin typical syntacticstructuresfor the differentvoices.6r
Forms of the verb which are determinedwith respectto tense,aspect,mood. and especially person and number, are called finite and the rest non-finite.The inflectional
paradigm of the verb consistsof finite forms, such as speaks,spoke,and non-finiteforms
of the conjugatedverb combined with finite forms of an auxiliary. as in has spoken,n,ill
speak.62There can be no doubt as to the inflectionalstatus of finite verb forms. for they
possessthe most important characteristics
of inflectionalcategories.Conjugationalrules
are highly productive,i.e.theyare almostall applicableto the entireset of verbs.Furthermore, the finite verb forms constitutea closedsystemof forms which relieson the two
principlescharacteristicof the inflectionalparadigm,namely,constantproportionalityof
Thus. one and the same
expressionand contentand correlationof grammaticalfeatures.6l
meaning dilferencecorrespondsto the formal differencesof the pairs of forms in (50).
whereasthe pairs in (51) sharea certainnumber of grammaticalfeaturesbut contrastin
another.
(50) aTapo: ayapisa: yrafo : eYrafa: kimame: kimomuna
' I l o v e : I l o v e d : I w r i t e : I w r o t e : I s l e e p :I s l e p t '
'I love: you love'
(51) (a) ayapo: ayap6s
'l love: I am loved'
(b) ayapo: ayapi6me
The forms in (5la) sharethe categoriesof tense.aspect.voice.mood. and number.but dif
fer in person,whereasthosein (5lb) shareperson.number,tense.aspect.and mood. but
differ in voice.
Finite verb forms can be substitutedby morphologicallysimpleronesonly if the latter
possessthe same grammaticalinformation and are thereforeof the same grammatical
complexity.As an example,the trimorphemicGerman form red-et-eof sentence(52a)
may be substitutedby the monomorphemicform sprach in (52b) only becauseit ex-
6 0 C f . M i r a m b e l( 1 9 4 9 : 1 1 9 a
) n d B a b i n i o t i s / K o n d o( s1 9 6 7 : 1 5 5 ) .
6r Cf. Grundzilge, pp.540f.
6 7 L a n g u a g e sd i f f e r i n t h e e x t e n tt o w h i c h t h e v m a k e u s e o f p e r i p h r a s t i cv e r b f o r m s . T h e s em a 1 '
. , : ' n, e w r l l s p e a k.
a l s o b e f o r m e d b y m e a n s o f p a r t i c l e ss u c h a s M o d . G r e e k O a i n O a m r l r s t
6-r Cf. above and fn. 19.
48
U. Stephany/ Inflectional and lexical morphology
pressesthe same contextuallyrelevantgrammaticalinformation,namely. l.PS.SG and
PAST.
(52) (a) Ich red-et- e
gestern mit ihm.
I t a l k - P A S T - l . S Gy e s t e r d a yt o h i m
'I talked to him yesterday.'
(b) Ich sprach
gesternmit ihm.
speak:PAST.I.SG
'I
spoke to him yesterday.'
5.2. Non-finite Verb Forms
The non-finite verb forms, infinitive and participle,share the characteristicsof the
paradigm.Insofar as they enterinto periphrasticalverb forms, they doubtlesslybelongto
the conjugationalparadigm of the verb. Contrary to finite verb forms. the non-finiteones
representverbal informationwithout actualizingit in concretesentences
referringto actual speechsituations.For this reasonnon-finiteverb forms can be usedoutsidethe verbal
predicate and function as nouns or adjectives.6a
Let us first considerthe German infinitive (example53).
(53) (a) Maria sah ihn augenblicklichdie Bremsebedienen.
Mary saw him instantaneouslythe brake operate.
'Mary saw him instantaneouslyoperatethe brake.'
(b) Sein augenblicklich-es Bedienen der
his instantaneous-NOM.SG.N operatethe:GEN.SG.M
Bremseverhritetedas Schlimmste.
'His instantaneousoperatingof the brake preventedthe worst.'
The infinitive clauseihn augenblicklichdie Bremse bedienenin (53a) functions as the object constituentof the superordinate
clause.Although the inlnitive clauseis a nominalized
sentenceform,65its verb preservesthe syntacriccharacteristics
of a verb: it takes a direct
In contradistinctionto this the infinitivein (53b)
object and is modifiedby an adverb.66
has becomea verbal noun. Morphological,syntactic,and semanticevidencemay be invoked to prove that we have a case of conversionhere, i.e. of transferinto a different
worclclassu'ithout rnorphologicalchanges.6?
As a verbalnoun the infinitiveswitchesover
to the inflectional paradigrn of the noun. Its inflection is limited to case inflection,
64
o)
66
O n G e r m a n c f . B r i n k m a n n ( 1 9 7 1 : 2 6 4 f ) a n d G r u n d z i t g e ,p . 4 9 8 .
C f . L e h m a n n( 1 9 8 2 ) .
O n t h e c h a r a c t e r i s t i cos f t h e G e r m a n i n f i n i t i v ea n d m o r e g e n e r a l l yo f t h e n o n - f i n i t ef o r m s o f t h e
G e r m a n v e r b c f . B r i n k m a n n( 1 9 7 1 : 2 6 2 f f i .
O n c o n v e r s i o ni n G e r m a n c f . F l e i s c h e r( 1 9 7 , s : 7 4 f fa) n d P l a n k ( 1 9 8 i ) .
U. Stephany / Inflectional and lexical morphology
however, for verbal nouns may not be pluralized.In sentence(53b) the verbal noun
Bedienenis in the nominative.In the genitivecaseit takesthe inflectionalending-s (example 54).
(54) Aufgrund sein- es augenblicklich-en
Bedienby POSS.3.SG-GEN.SG.N
i n s t a n t a n e o uG
s -E N . S G . N o p e r a t e en- s der Bremsewurde das Schlimmsteverhtitet.
I N F - G E N . S G . N o f . t h eb r a k e
'By his instantaneous
operatingof the brake the worst was prevented.'
Syntacticallythe verbal noun may take a determiner,such as the possessive
adjectivein
(53b). It is no longer modifiedby an adverbbut by an attributiveadjectiveagreeingwith
the headof the noun phrasein case,number,and gender.Likewise,the directobjectcomplementof (53a) has been replacedby a genitiveattribute in (53b).
Semanticallyverbalnounsmay deviateto a greateror lesserdegreefrom the respective
verbs. Sentence(53b) may be paraphrasedby (55), where the noun phrasehaving the
nominalized infinitive as its head has been replacedby a conjunctional sentencewith a
finite verb form.
(55) Dadurch daB er augenblicklichdie Bremsebediente,
by that he instantaneouslythe brake operated
wurde das Schlimmsteverhiitet.
'By his operating the brake instantaneouslythe worst was prevented.'
The verbal noun Vermbgenin (56a) denotesa state and the sentencemay be paraphrased
by (56b) containing a finite form of the verb verm'ogenin much the same way as (5a) is
paraphrasedbV (55). Matters are different with (56c), however.Here Vermiigendenotes
concrete objects. Its meaning differs from that of the verb to such a degree that a
paraphraselike (56d) is no longer possible.Verb and noun are definitelyseparatelexical
items in this case.
(56) (a) Er
stellte wiederholt
Vermbg-en,
sein
schwierige
put
hc
repeatedly
his
be.able-INF
diffrcult
Situationen zu meistern, unter Beweis.
situations to master under proof
'He
repeatedly proved his ability to cope with difficult situations.'
(b) Er bewies wiederholt. daB er es vermoch-te,
he proved repeatedlythat he it be.able-3.SG.PRT
schwierigeSituationenzu meistern.
'He repeatedlyproved that he was
able to cope with difficult situations.'
(c) Der miBratene Sohn verpraBte das gesamte Vermbgen
the wayward son squanderedthe entire fortune
seinesVater-s.
of. his father-GEN
"The wayward son squanderedhis father's entire fortune".
(d) *Der miBratene Sohn verpraBte alles, was sein Vater
vermochte.
*The wayward son squanderedeverythinghis father was able to
50
U. Stephany/ Inflectional and lexical morphology
We may conclude our discussion of the German infinitive by stating that it incorThe verbal noun, on the other hand, has to
porates both verbal and nominal potential.6E
derivative.
a
deverbal
be considered
The study of the other non-finite forms of the verb, the participles,yields observations
similar to those of the infinitive. Whereasin English both presentand past participle participate in the formation of f-rniteverb forms by periphrasticmeans,in German this is only
true of the past participle (example 57).
(57) (a) He is operating the brake.
(b) He had operated the brake.
(b') Er hatte die Bremse bedient.6e
In example (58) the German present participle genilgend and the past participle unverkauft function as adjectives.
(58) (a) Der Schi.ilererbrachte keine genilgendenLeistungen.
'The student did not obtain satisfying results.'
(b) Zu Ende der Saison befand sich noch ein hoher Prozentsatz unverkaufter
Ware am Lager.
'At the end of the seasona high percentageof unsold merchandisewas still in
stock.'
'verbal adjectives'.They are
For this reason the participlesare sometimesreferredto as
inflected according to the adjectival paradigm and may occupy the position of other adjectives in the sentence,function as nominal attributes and agree with the head of the
noun phrase in case,number, and gender.Some participlesmay undergo comparisonby
the same suffixation procedure as is true of adjectives(example 59).
Erkldrung
ere
(59) (a) eine iiberzeug-enda convince-PRS.PART-COMP-NOM.SG.F explanation
'a more convincing exPlanation'
e
ert(b) eine gemiiBig-
Haltung
Attitudc
A PAST.PART.MOdCTAtC-PAST.PART-COMP-NOM.SG.F
'a more moderate attitude'
The adjectival function of participleseven extendsto their derivational potential. Some
participlesmay form derivativeswith un-, a derivationalprefix otherwiselimited to adjectival and substantivalbases(cf.unverkauftin 58b and 60).'t'heyalso form compounds,a
derivationaltechniqueuntypical of verbs in German (example6l).to
6 E C f . a l s o A d m o n i ( 1 9 6 6 : 1 6 3 ) ,B r i n k m a n n( 1 9 7 1 : 2 6 5 ) ,a n d P a l m e r ( 1 9 7 4 : 1 7 4 n .
6e The German sentence corresponding to (57a), Er bedient die Bremse, contains the nonperiphrastic present form.
70 On deverbal derivation cf. Walter (1916) and also Brinkmann (19'71:265f1).
U. Stephany / lnflectional and lexical morphology
51
(60t ta) ungeniigendeLeistungendissatisfyingresults'
'rude fellow'
(b) ungehobelter Klotz
log
not.planed
'time-consumingtask'
(61) (a) zeitraubendeArbeit
'full-length event'
(b) abendftillende Veranstaltung
evening.filling event
'look full of hate'
(c) haBerftillter Blick
look
hate.filled
The character of the participle as a mittelwort betweenthe classesof verbs and adjectives is even more apparent in example(62), where the past participle of auszeichnen'to
mark, distinguish' is more like a verb in (62a), but more like an adjective in (62b).
(62)" (a) ein gestern/am Arbeitsplatz ausgezeichneterVorschlag
'a proposal distinguishedyesterdaylat work'
(b) ein wirklich ausgezeichneterVorschlag
'a really outstanding
ProPosal'
In the forms of the so-called stative passivethe adjectival character of the past participle
may predominate to such a degreethat these oonsfuctionshave to be considered as syntactic phrases consisting of a copula and predicative rather than as periphrastical verb
forms. This is the casein sentence(63a), which also semanticallyparallelssentence(63b)
containing a true adjective in place of the participle.T2
(63) (a) Der Saal ist beleuchtet. 'The hall is lit up.'
'The hall is light.'
(b) Der Saal ist hell.
As we have shown, finite and non-finite verb forms differ radically. While the former
are conjugated,i.e.ChangeaCCordingto person,number, tense,aspect,mood, and voice,
the latter participate in the conjugation of the verb only in conjunction with an auxiliary.
The infinitive expressesthe meaning of the verb as such. The present and past participles
have imperfective and perfective aspectual meaning respectively.T3Outside the conjugational paradigm of the verb the non-finite verb forms may take over nominal functions and may more or lesscompletelypassinto the word classesof nouns and adjectives.
The non-finite verb forms are thus mixed forms: "They are on the whole nominal and verbal at the same time".7a
?r Example (61) is taken from Grundziige, p. 559.
12 Cf. Grundzilge, pp.462 and 558ff.
13 On German cf. Brinkmann (1971:264f) and Grundzilge, p.567.
14 Admoni (1966:163).
52
U. Stephany / Inflectionasl and lexical morphology
6. Inflectional and Lexical Morphology as a Scaled Continuum of Grammaticalization
The study of some of the linguistic categoriespertaining to the major lexical classesof
nouns, adjectives,and verbs has shown that languagesdiffer in the degreeto which they
grammaticalizesuch categoriesand, above all, that rather than fully belongingto inflectional or to lexical morphology such categoriesshow a more or lesspronouncedtendency
toward one or the other domain. The transition from inflection to derivation is not abrupt
but gradual. Lexical and inflectionalmorphology form a scaledcontinuum with respectto
grammaticalization.The upper and lower ends of this scaleof grammaticalizationcan be
characterizedas the poles of maximum concretenessor materiality and of maximum
abstractnessor relationality respectively.T5
The gradual differencesbetweenlexical and inflectionalphenomenado not defy precise
Such a gramdescription;however the theoreticalmodel must be appropriatelychosen.76
matical theory must allow for the representationof intermediateforms, of forms of ambivalent categorical status, and of category overlap. For this to be possible rhe model
must above all admit of category membership"/o e degree"l7 and make it possibleto
state in ",hich respect an entity belongs to a certain category.
In order to determine the degree to which a certain linguistic category is grammaticalized in a language, it is necessary to consider its behavior on a number of
parameters,each of which is ideally quantifiable.Lacking exact quantificationof any of
the categoriesto be examinedon any of the parametersused,the classificationspresented
in tables(1) and (2) shouldbe consideredhighly rentative.Maximum and minimum grammaticalization on a given parameter are symbolized by I and 0 respectivelyand intermediate values are put in parentheses.
Let us first illustrate this kind of descriptionby a comparisonof the degreesof grammaticalization of some linguistic categoriesof German.
-bar MOTION COMP GEND NUMB CASE C/N/G
P , o b l i g a t o r ye x p r e s s i o n
0
Pragreement
0
P , p e r i p h e r apl o s i t i o n
0
(0)
Po productivity
P . c o n s r .p r o p o r t i o n a l i t y ( l )
P ^ r v o r d - c l a s s c o n s e r v a t i o0n
Prrnorphol.techniques I
0
0
0
(0)
I
|
l
ADJNNNADJ
(0)
I
0
(l)
(l)
( l)
I
(0)
(0)
(0)
I
(l)
I
(0)
(l)
I
(1)
(l)
I
I
I
I
1
I
I
I
I
(l)
(l)
-l
I
I
l
I
I
I
grammaticalization
T a h l c l . D c g r e c os f g r a r r r r n a t i c a l i z aot fi ol inn g u i s t icca t e g o r i ei ns G c r n r a n .
1 5 C f . S a p i r ( 1 9 2I : c h . 5 ) a n d P l a n k ( 1 9 8I : I 7 ) .
't6
F o r t h e f o l l o w i n g d i s c u s s i o no f t h e d e s c r i p t i o no f l i n g u i s t i cc o n t i n u ac f . H o l e n s t e i n( 1 9 8 0 )a n d
W a l t e r ( 1 9 8 1 : c h . 6 )a n d t h e r e f e r e n c e sc i t e d i n t h e s e w o r k s .
1 1 R o s s( 1 9 7 3 : 1 8 8 ) .
53
U. Ste.phany/ Inflectional and hexical morphology
As shown in table (l), the category of casein the noun as well as the adjectivalformatives
indicating case, number, and gender each score maximum values on all but one of the
seven parameters chosen: obligatory expression (P,), use for agreement (Pr), peripheral
position of formatives (Pr), rule productivity (Pn), constant proportionality of expression
and content (Pr), word-classconservation(Pe),and expressionby morphological means
(Pr). Expression of case, number, and gender is obligatory in the adjective except when
used predicatively (cf. examples 15 and 17 above). With nouns case is sometimesexpressed syntactically, namely by the form of the determiner, rather than by the form of
'the mother' NOM/ACC.SG
vs. der Mutter
the noun itself (e.5. die Mutter
proceeds
from right to left in table (l), the number of maximal
GEN/DAT.SG). As one
values gradually decreaseswith a corresponding increasein minimal values. While number and gender of the noun and comparison of the adjective are characterizedby a number of intermediate values, motion and the derivational suflix -bar'-ablel-ible' (as in
waschbar'washable') are sharply distinguished from gender, number, and case in the
noun and adjective on the first three parameters and from comparison on two of these.
Although motional formations and derivatives in -bar are both usually consideredas lexical, table (1) shows that there are differencesbetween them, at least as far as conservation of word class (P) and constant proportionality of expression and content (Pr) are
concerned. Of the seven parameters used, P, through P, are more important than Pu and
P, for the determination of degree of grammaticalization and hence the attribution of
linguistic categories to the inflectional rather than to the lexical domain.
P, obligatory expression
P, agreement
P, morphol techniques
Po word-plassconservation
P, productivity of Pl.-rule
Pu const. proportionality
CLASS.TIBETAN
0
0
0
NOOTKA
0l
GERMAN
(l)
(l)
I
(l)
I
I
I
(l)
I
I
I
0l
--i'-"""-
grammatic alization
Table2. Degrees
of grammaticalization
of numberin Class.Tibetan,Nootka,and German.
In table (2) the same method of description has been
applied to inter-languagecomparison of the category of number. Again, a graded
scale of grammaticalizationis obtained according to which number is most strongly grammatic
alizedin German and least
so in class. Tibetan, with Nootka occupying an intermediate
position.
In this paper we have presentedevidence for the gradual
nature of the transition betwen the domains of lexical and inflectional morphology
and in the face of this tried to indicate a way of giving a precise description of
the resulting linguistic continua. The
recognition of such linguistic continua is not only
fundamental for an adequate syn-
54
U. Stephany / Inflectional and lexical morphology
chronic view of languages and for typological comparison but also for understanding
diachronic changes in grammaticalization.
Ursula Stephany
I nstitut ftir S prachwissenschaft,
Universitcit zu Kriln,
5000 Kdln
41, W. Deutschland
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