16.1059, Review: Historical Ling/Mathematical Ling: Dahl (2004)

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Subject: 16.1059, Review: Historical Ling/Mathematical Ling: Dahl (2004)

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1)
Date: 05-Apr-2005
From: Kaius Sinnemäki < ksinnema at ling.helsinki.fi >
Subject: The Growth and Maintenance of Linguistic Complexity 

	
-------------------------Message 1 ---------------------------------- 
Date: Tue, 05 Apr 2005 16:05:35
From: Kaius Sinnemäki < ksinnema at ling.helsinki.fi >
Subject: The Growth and Maintenance of Linguistic Complexity 
 

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AUTHOR: Dahl, Östen
TITLE: The Growth and Maintenance of Linguistic Complexity
SERIES: Studies in Language Companion Series 71
YEAR: 2004
PUBLISHER: John Benjamins
Announced at http://linguistlist.org/issues/15/15-2791.html


Kaius Sinnemäki, Department of General Linguistics, University of Helsinki, 
Finland

BRIEF OVERVIEW

This book is the first attempt at offering an overview of linguistic complexity 
from the point of view of language change. The author studies the genesis 
and preservation of complex phenomena in language. Such phenomena are 
called mature and they can only exist in a language that has undergone 
specific earlier stages. In describing such phenomena, Dahl applies the 
notions of information theory and shows their relevance to the study of 
linguistic complexity. Complexity is not seen as a measure of difficulty but 
rather as an absolute and objective property of the system. It is argued that 
linguistic patterns rather than whole languages have life cycles comparable 
to the life cycles of organisms. The processes and their components that 
give rise to mature phenomena are discussed in detail. It is also argued that 
language internal and external phenomena have different kinds of effects 
on language change and stability.

The book is organized in twelve chapters, one appendix, an extensive 
bibliography, and indexes for languages, authors and subjects. After the 
Introduction, chapters 1 to 5 build the theoretical and general background 
for discussing the historical processes that lead to the development of 
mature phenomena. Chapters 6 to 9 form the main content of the book 
dealing with the components of maturation processes in depth. Chapter 10 
is an overview of some compounding and incorporating phenomena and 
chapter 11 discusses the stability of complex phenomena in language. 
Chapter 12 closes the book with final discussion.

SUMMARY chapter by chapter

After a general introductory chapter, chapter 2 introduces concepts of 
information theory (IT) that are relevant to the study of language change. 
Originally, Shannon (1949) identified information as its "uncertainty", the 
inverse of its predictability. The view of information adopted by Dahl defines 
information as reduction of uncertainty. Less technically, information equals 
the degree by which it increases the success of a random guess - that is 
predictability. The content of information that is conveyed is not under 
concern. Dahl discusses the concept of redundancy in detail and introduces 
redundancy management (notion from Keller 1994) as a way of 
manipulating the redundancy level of a message. Thus, redundancy may be 
useful although it increases complexity. For instance, both "smart" 
redundancy and spread redundancy enhance the possibility of 
reconstructing a message that is damaged due to noise in the process of 
transmission. Prominence management is introduced as a way of 
manipulating the amount of resources spent on different parts of the 
expression. Thus, components that contain large amounts of information 
receive larger resources and those that are easily recoverable may be 
reduced. Some parallels are also drawn between language and monetary 
economy by applying the concept of inflation to language.

In chapter 3, the notions of information theory are applied to the study of 
language. Complexity is defined in relation to the compressibility of a 
message. The length of the shortest possible specification or description of 
an object thus serves as a measure for its complexity. Dahl devotes a 
lengthy discussion to the notion of emergence and shows how its use in 
linguistics differs from its use in other disciplines. He also insists that 
complexity should be considered as an information-theoretic notion 
distinct from notions such as cost and difficulty. He then proceeds to 
discuss the crucial conceptual distinctions relating to complexity: system 
complexity and structural complexity. Rather than focusing on the 
expressive power of language, system complexity focuses on how to 
express that which can be expressed - the mapping between content and 
expression. Structural complexity measures complexity at some level of 
description. At the phonological level, it is also called phonetic weight. Dahl 
further distinguishes choice structure from output structure and measures 
the complexity of an expression as the deviation from zero output 
complexity (unrestricted concatenation). The main types of deviations are 
introduced as verbosity and linearity, the key notions for speaking of 
complexity in the remainder of the book. A pattern is called linear if it 
contains restrictions on element order or if it exhibits verbosity, that is, 
larger phonetic weight than necessary from a cross-linguistic perspective. 
An expression of a pattern is non-linear if it contains deviations beyond 
these.

Chapter 4 looks at language from an evolutionary perspective. Analogies 
are drawn between biological entities as genetically inherited systems and 
linguistic entities as non-genetically inherited systems. Dahl tries to see 
what unites and distinguishes the two systems from one another. Certain 
parallels are found both for genotypes and phenotypes, which correspond 
loosely with the Chomskyan I-language and E-language, respectively. Other 
possible parallels include the notions of replication and life cycle. Dahl 
rejects two assumptions - programmed death and conditioned iteration - 
that often accompany the application of the notion of life cycle in its strong 
sense. He argues that the notion of a life cycle is more applicable to 
linguistic patterns than to languages as wholes.

In chapter 5, Dahl focuses on certain aspects of linguistic knowledge which 
are important with respect to language acquisition and use. He separates 
functions from intentions and pays attention not to identify functions with 
the conditions of their use. He also argues that functions of grammatical 
patterns have to be described in non-intentional terms. Ritualization, 
conventions, habituation, entrenchment, and repetition are also discussed 
as to their relation to learning and linguistic knowledge. Dahl questions 
whether entrenchment is distinct from abstraction and treats grammatical 
categories analogously to fuzzy categories. At the end of the chapter, he 
discusses some aspects of acquisition and storage of linguistic information 
and argues that both language acquisition and language change take place 
on a low level and in a piecemeal fashion.

Chapter 6 introduces and discusses the notion of maturity in depth. Mature 
phenomena are those that exist as a result of specific prehistory. They 
occur at the later stages of life cycles of linguistic patterns and thus exhibit 
a non-zero evolutionary complexity. Dahl further discusses the 
development of grammatical patterns and argues that it is patterns rather 
than whole languages that undergo the stages usually assumed in 
grammaticalization (free > periphrastic > affixal > fusional). He also 
discusses the possibility of finding a language form at the earliest stages of 
grammaticalization, but considers the purported evidence problematic and 
inconclusive. The most important types of mature phenomena are listed for 
each linguistic domain. Mature phenomena are found to correlate strongly 
with non-linearity - and thus complexity - discussed in chapter 3. At the 
end of the chapter, Dahl relates maturity to markedness and discusses the 
ability of Naturalness theory and Universal Grammar in handling maturation 
processes.

In chapter 7, Dahl introduces the three main components of grammatical 
maturation processes - pattern spread, pattern regulation and pattern 
adaptation. A pattern is said to spread when it comes to be used in new 
situations. Not all pattern spread leads to grammatical maturation but it is 
argued to serve as a catalyst or a trigger to other components of maturation 
process. Patter regulation, on the other hand, occurs when a competition 
between two patterns that are used in the same situation results in a choice 
between the two. The choice may result in free variation, truce, or one 
pattern winning out the competition. Competition between patterns is 
shown to be a necessary precondition for the semantic and stylistic 
differences between them. Dahl also introduces the cyclical theory of 
grammaticalization and discusses certain problems related to it. He also 
argues that directionality and its extent, rather than unidirectionality, are of 
greater relevance to grammatical maturation. Two types of cases are further 
observed in which we can detect the initial stages of grammatical 
maturation.

Chapter 8 is devoted to pattern adaptation, which is the third component of 
grammatical maturation. Adaptive sound changes affect certain expression 
only and they are distinguished from Neo-Grammarian sound changes, 
which affect the whole lexicon. When a pattern has spread and possibly 
undergone regulation, it falls subject to reduction processes by which its 
phonetic weight is adjusted to fit its increased use and new role in 
discourse. However, the adjustment is not always applied to its logical end - 
that is, zero-marking - which the concerted scales model (e.g. Lehmann 
1985) would predict. Rather, structural complexity is preserved despite 
phonetic reduction, which is identified as the essence of maturation 
processes in general. Dahl further discusses structural change in relation to 
reanalysis and argues for its late place in the causal chain underlying 
maturational processes. In addition to reductive processes, pattern 
adaptation also involves tightening of an expression - a hierarchical 
downgrading of an expression from phrase to word level status.

Chapter 9 introduces a process called featurization, a special kind of 
development of non-linear structures in morphology and phonology. 
Featurization concerns the genesis of higher-level, especially word-level 
features. These non-linear structures typically arise from linear structures. 
They increase abstractness, since they make the mapping between output 
complexity and structural complexity less straightforward. The Word and 
Paradigm model is discussed as a suitable morphological model for treating 
structures such as fusion, distributed realization, portmonteau morphemes, 
suppletion, syncretism, and zero marking. The model does not, however, 
apply equally well to all kinds of morphology in a language. Dahl further 
considers agreement as an example of a mature system that may operate 
on abstract features. He rejects the view that gender would be mere 
historical "junk" and suggests it functions as an error checking mechanism 
analogous to checksum digits in banking. Yet, he also rejects the "content-
requirement" of Cognitive Grammar as unfalsifiable. Finally some parallels 
are drawn between non-linear features in phonology and morphology.

Chapter 10 is an overview of incorporating patterns. These patterns include 
traditional noun incorporation as well as noun compounding, which in 
many respects behave similarly to mature patterns. After treating traditional 
noun incorporation, Dahl focuses on interesting borderline cases which he 
calls quasi-incorporated patterns. Subsequently, Dahl indulges in lengthy 
discussion on NP-internal incorporations which range from classical noun 
incorporation to the combination of titles with proper names. Further 
possible incorporating patterns include the incorporation of locational or 
directional adverbs, e.g. phrasal verbs and complex adpositions. The 
incorporability of items is determined to depend partly on the degree of 
referentiality of an expression. Some examples, such as the English 
expression 'an easy to read book' are analyzed as the early stages of 
possible incorporating patterns. Finally, Dahl searches for some 
explanations for the nature of incorporating patterns and their place in 
maturation processes. Unit accentuation seems to be a precondition for 
incorporation, but only a subset of such patterns is lexicalized, possibly 
through gradual accretion of certain properties.

Chapter 11 raises the question of the stability of mature features in 
languages. Some possible ways of measuring stability are first discussed. 
The notion of half-life - the time required for a quantity to be reduced to 
half of its value - is applied from natural sciences as a measure for 
estimating the stability of lexical items. This in turn serves as a basis for 
estimating the probabilities of the genesis and the disappearance of 
grammatical phenomena. Dahl further argues that the traditional 
explanations behind grammaticalization are too favorable for the genesis 
and change of grammatical patterns. The probability that an item 
disappears seems to be the greatest at the early stages of 
grammaticalization, not at later stages. In fact, mature phenomena, such as 
the Germanic ablaut system of strong verbs and the Afro-Asiatic ablaut 
system of transfixes, are astonishingly stable. When considering the causes 
of language change, Dahl puts more weight on suboptimal transfer and 
language contact than on regularization and internal change. There is some 
evidence that complexifying events are more probable than simplifying 
events and therefore languages seem to become more complex over time. 
Little evidence supports the theory that languages would undergo cyclic 
increase and decrease periods of grammatical complexity. Finally, Dahl 
discusses whether children or adults are responsible for language change. 
Rather than trying to warrant either as the sole agent of change, he tries to 
see what kinds of stages of maturation processes may be attributed to 
acquisition and use.

Chapter 12 closes the book with final discussion on some aspects of 
maturation processes. Maturation processes are not reducible to preference 
relations between possible language states such as advocated in 
Naturalness theory. Different parts of maturation process also seem to be 
favored by different ecological conditions: grammatical maturation is most 
likely when there has been high contact but it is decreasing. Finally, Dahl 
discusses the possibility for a special acquisition mechanism for mature 
features in language.

EVALUATION

Dahl's contribution to the study of linguistic complexity is unprecedented. 
He offers valuable theoretical insights into how the notion of complexity 
may be applied fruitfully in linguistics. Chapter 3 is probably the most 
important contribution of the book to the general discussion of linguistic 
complexity. Dahl connects diachronic processes with sociolinguistic realities 
in a promising way and simultaneously sheds light on long-lasting debates 
about the cause of phonetic changes in diachronic processes. The concept 
of linguistic maturity offers an interesting perspective on 
grammaticalization. The number of languages cited (117) is high for a 
study of language change, reflecting the breadth of the book. The language 
index with Ethnologue codes and the approximate periods of use for 
extinct languages is a particular plus. The book is, however, not for a snack 
while sitting in the underground, but demands one's full concentration 
every second of reading it. The topic is very challenging by its very nature 
and thus makes a difficult reading at times. However, I appreciate Dahl for 
managing to present this difficult topic in an understandable way. In 
addition, he escapes making complexity a buzz-word or an empty catch-all 
concept.

There are a few drawbacks in the book. First, the title of the book is not fully 
satisfying. It entitles a reading that the book treats the growth and 
maintenance of linguistic complexity in roughly equal proportions. 
However, only ten percent of the main text directly focuses on the aspects 
of maintaining linguistic complexity. Secondly, although there were only a 
handful of typographic errors, the number of errors in the indexes for 
language and person is rather unfortunate. A quick inspection revealed that 
many page numbers in these indexes should be n-2 (i.e. two less than the 
given number). Thirdly, chapters 4 and 5 felt somewhat detached from the 
main line of argumentation. Whereas chapter 10 presents a good overview 
of compounding and incorporating patterns, the author could have 
enhanced their relationship to the overall theme of the book. Fourthly, 
although Dahl connects linguistic maturity to complexity in chapter six, this 
connection could have been underlined in a stronger way throughout the 
book. Fifthly, a question arises concerning the definition of verbosity as 
cross-linguistic dispensability: are there any markers or categories that 
would exist in all languages? If not, a language with zero verbosity would 
be a language with no "surface" grammar. It is possible that such a system 
could not live long and would exhibit tremendous selective disadvantages. 
Finally, the view of complexity in the present volume is potentially 
problematic. Measure of complexity as the length of its shortest description 
comes surprisingly close to the definition of Chomsky's (1965) evaluation 
measure that was refuted already in the 1960s. However, the problem may 
be smaller than it seems since Dahl is not claiming that languages strive or 
should strive for simplicity but is merely introducing a way of determining 
zero complexity and how to measure deviations from it.

This book is worth reading now that the research for linguistic complexity 
has increased substantially since the turn of the millennium (see for 
instance McWhorter 2001, Kusters 2003, and Hawkins 2005). If further 
developed, Dahl's methodology may be ground-breaking for the research 
of complexity in language diachrony. On the whole the book merits a high 
recommendation to scholars working on historical linguistics and especially 
to anyone seriously interested in the study of linguistic complexity.

REFERENCES

Chomsky, Noam 1965. Aspects of the Theory of Syntax. Cambridge, Mass.: 
MIT Press.

Hawkins, John A. 2005. Efficiency and Complexity in Grammars. Oxford: 
Oxford University Press.

Keller, Rudi 1994. On language change: the invisible hand in language. 
London: Routledge.

Kusters, Wouter 2003. Linguistic complexity. The Influence of Social Change 
on Verbal Inflection. LOT Dissertation Series 77. Utrecht: LOT.

Lehmann, Christian 1985. Grammaticalization: synchronic variation and 
diachronic change. Lingua e Stile 20: 203-218.

McWhorter, John H. 2001. The world's simplest grammars are creole 
grammars. Linguistic Typology 5 (2-3): 125-156.

Shannon, Claude E. 1949. The mathematical theory of communication. The 
Bell System Technical Journal, 27: 379-423, 623-656. 

ABOUT THE REVIEWER

Kaius Sinnemäki is currently a first year PhD student and a part-time 
teacher at the Department of General Linguistics, University of Helsinki, 
Finland. His previous research (MA thesis) dealt with overly complex 
sentences in Finnish. Currently, he is working as a researcher in a project 
on structural complexity of languages. His precise research topic is the 
cross-linguistic marking of primary verbal roles and the possible 
compensatory processes among these marking strategies. His research 
interests include inflection and word order, system dependencies, and 
complexity in language.





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