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Germanic Languages and Linguistic Universals
The Development of the Anglo-Saxon Language
and Linguistic Universals (DASLU)

Volume 1
Germanic Languages and Linguistic Universals
Edited by John Ole Askedal, Ian Roberts, Tomonori Matsushita
and Hiroshi Hasegawa
Germanic Languages
and Linguistic Universals

Edited by

John Ole Askedal

University of Oslo

Ian Roberts
University of Cambridge

Tomonori Matsushita
Senshu University

Hiroshi Hasegawa
Senshu University

John Benjamins Publishing Company

Amsterdam / Philadelphia
 TM
The paper used in this publication meets the minimum requirements of
8

American National Standard for Information Sciences – Permanence of

Paper for Printed Library Materials, ansi z39.48-1984.

Library of Congress Cataloging-in-Publication Data

Germanic languages and linguistic universals / edited by John Ole Askedal, Ian Roberts,
Tomonori Matsushita, and Hiroshi Hasegawa.
       p. cm. (The Development of the Anglo-Saxon Language and Linguistic Universals,
issn 1877-3451 ; v. 1)
Includes bibliographical references and index.
1. Germanic languages--Grammar. 2. Universals (Linguistics) 3. English language--
Grammar. 4. English language--Old English, ca. 450-1100. I. Askedal, John Ole,
1942-
PD99.G47   2009
430'.045--dc22 2008054507
isbn 978 90 272 1068 5 (Hb; alk. paper)

© 2009 – Senshu University

No part of this book may be reproduced in any form, by print, photoprint, microfilm, or any
other means, without written permission from the publisher.
John Benjamins Publishing Co. · P.O. Box 36224 · 1020 me Amsterdam · The Netherlands
John Benjamins North America · P.O. Box 27519 · Philadelphia pa 19118-0519 · usa
Table of Contents

PREFACE
John Ole ASKEDAL, Ian ROBERTS, Tomonori MATSUSHITA and Hiroshi HASEGAWA ...... 1

1. Old English and Germanic Languages

Some General Evolutionary and Typological Characteristics of the Germanic Languages
John Ole ASKEDAL ...................................................................................................... 7
Characteristics of Germanic Languages
Tadao SHIMOMIYA..................................................................................................... 57
Old English Pronouns for Possession
Yasuaki FUJIWARA..................................................................................................... 69

2. Generative Grammar
Reflexive Binding as Agreement and its Locality Conditions within the Phase System
Hiroshi HASEGAWA ................................................................................................... 85
Movement in the Passive Nominal: A Morphological Analysis
Junji HAMAMATSU .................................................................................................. 107
On Tritransitive Verbs
Ryohei MITA.............................................................................................................. 121

3. Pragmatics and Corpus Linguistics

On the Cognitive Dependence Phenomena Observed in English Expressions
Shuichi TAKEDA ....................................................................................................... 145
On Pronoun Referents in English
Hiromi AZUMA ......................................................................................................... 163
Relative and Interrogative who/whom in Contemporary Professional American English
Yoko IYEIRI and Michiko YAGUCHI ........................................................................ 177
New Functions of FrameSQL for Multilingual FrameNets
Hiroaki SATO ............................................................................................................ 193

Index of Names................................................................................................................... 205

Index of Subjects ................................................................................................................ 208
Editors & Contributors........................................................................................................ 213
PREFACE

John Ole ASKEDAL, Ian ROBERTS,

Tomonori MATSUSHITA and Hiroshi HASEGAWA

The Senshu Open Research Project ‘The Development of the

Anglo-Saxon Language and Linguistic Universals’ was selected as one of the
promising unique projects in Japan by the Ministry of Education, Sports,
Culture, Science and Technology in 2005 and has been supported by Senshu
University in conjunction with the Ministry.
The main focuses of the Project lie in “How are the Germanic languages
related?”, “How is the process of language acquisition?”, “What does corpus
linguistics offer to language analysis?”, and “How can language change be
captured in linguistic theories?”
The Senshu Open Research Project has organised International
Conferences since the academic year 2005 with symposia devoted to
‘Linguistic Universals’, ‘The Universality of Language’, and ‘Introduction to
Sociolinguistics’. The following scholars have been invited: J. C. Wells
(Phonetics, University College London, emer.); Ad Neeleman (Generative
Grammar, University College London); Michael Ashby (Phonetics,
University College London); Marcel den Dikken (Generative Grammar,
CUNY); Lydia White (L2 English Acquisiton, University of McGill); Peter
Svenonius (Generative Grammar, University of Tromsø); Thomas Breuel
(Letter Recognition, University of Kaiserslautern) and Manfred Markus
(English Dialectology, University Innsbruck) in addition to the scholars who
joined as honorary editorial members of the Project: John Ole Askedal
(Germanic Languages, University of Oslo) and Ian Roberts (Diachronic
Syntax, Downing College, Cambridge University).

The Anglo-Saxon language, well known as Old English, is one of the

languages constituting the Germanic language family and still characterized
by a number of the basic properties of Proto-Germanic. The main old and
modern members of the Germanic language family are (i) Icelandic, Faroese,
Norwegian, Swedish, and Danish, which form the group of North Germanic
languages, (ii) Gothic, an East Germanic language now extinct, and finally
(iii) the West Germanic languages English, German, Dutch, and Frisian.
2 John Ole ASKEDAL, Ian ROBERTS, Tomonori MATSUSHITA and Hiroshi HASEGAWA

These languages have developed through diverse linguistic changes and,

in consequence, exhibit characteristic differences with regard to phonology,
morphology, and syntax. However, they still show a number of salient
structural similarities, suggesting a unity underlying the diversity that may be
captured within the ‘principles and parameters’ framework of Generative
Grammar proposed by Noam Chomsky and further developed by Ian Roberts
and Mark Baker.

The project is also concerned with phonetics, corpus linguistics, and

pragmatics. The present volume contains ten articles dealing with Germanic
languages, Old English, Theoretical linguistics, Semantics, and Corpus
linguistics.

In his contribution to this volume, Askedal describes general evolutionary

and typological characteristics of the Germanic languages and discusses
various topics such as verb position and case marking, linear directionality in
verb chains, the position of the finite verb with a view to their geographical
distribution within the Germanic area.
Shimomiya also discusses characteristics of Germanic languages from a
phonological, morphological, syntactic and lexical point of view, arguing
that English is the most “entgermanisierte” (the least Germanic) language
and that Icelandic, free from foreign influence, has remained closest to
Germanic structural origins.
Fujiwara is in his paper “Old English pronouns for possession”
concerned with the behaviour of possessives and genitives in Beowulf and
Genesis A. He concludes that in these two outstanding Old English poems,
the possessive and the genitive have a common distribution in metric
patterns and make the same contribution to alliteration.
Hasegawa offers an analysis of reflexive binding in terms of agreement
within the framework of the minimalist program, which has empirical and
conceptual advantages over movement analysis. He argues for phase-based
treatment of locality conditions on reflexive binding.
Hamamatsu argues that the objecthood perceived in the passive nominal
is real and hence syntactic movement is involved in its derivation. He
examines how nouns are derived through morphology and proposes an
analysis whereby a suffix licenses a complement in the passive nominal.
Mita discusses analyses of English tritransitive verbs after examining
analyses of double object constructions and proposes that the structure of
tritransitive sentenses is right-branching and is derived from left to right in
an incremental fashion, supporting the Incrementality Hypothesis advanced
by Philips (2003).
 PREFACE 3

Takeda argues in his paper “On the Cognitive Dependence Phenomena

Observed in English Expressions” that the dependence relations among
sentence constituents are not limited to syntactic relationships but extend to a
kind of semantic relationships which he refers to as ‘cognitive dependence
phenomena’. He discusses three types of such cognitive dependence
phenomena: the cognitive relation between visual perception and awareness,
the use of idiomatic expressions, and the force of the attractor–attractee
relation.
Azuma in her paper “On Pronoun Referents in English” is concerned
with criteria for assessing the accessibility of the referents for personal and
demonstrative pronouns. She discusses this problem in terms of formal
criteria such as the form of the pronoun and the form of the antecedent, on
the one hand, and discourse criteria such as unity, distance, competition, and
saliency, on the other.
In their article “Relative and Interrogative Who/Whom in Contemporary
Professional English”, Iyeiri and Yaguchi argue that whom is best preserved
immediately after prepositions, while who is almost regular in the case of
preposition stranding. They note that in all these circumstances the decline of
interrogative whom is more advanced than the decline of relative whom.
Sato claims that FrameSQL, a web-based application proposed by Sato
(2003), possesses new functions when compared with previous applications.
He illustrates the application of the FrameSQL to the lexical data of English,
Spanish, Japanese, and German.
The papers from these various branches deal with fundamental issues in
the fields of Germanic languages and linguistic universals. They share the
common goal of contributing to the enhancement of our understanding of
these areas.

The publication of this book was supported by “Open Research Center”

Project for Private Universities: matching fund subsidy from MEXT
(Ministry of Education, Culture, Sports, Science and Technology), 2005-2009.

REFERENCES
Askedal, John Ole. 1995. “Geographical and Typological Description of
Verbal Constructions in the Modern Germanic Languages”. Drei
Studien zum Germanischen in alter und neuer Zeit [NOWELE
Supplement Vol. 13]. John Ole Askedal u. Harald Bjorvand (eds).
Odense: Odense University Press, 95–146.
Baker, Mark. 1996. The Polysynthesis Parameter [Oxford Studies in
Comparative Syntax]. New York: Oxford University Press.
2001. The Atoms of Language: The Mind’s Hidden Rules of
4 John Ole ASKEDAL, Ian ROBERTS, Tomonori MATSUSHITA and Hiroshi HASEGAWA

Grammar. New York: Basic Books.

Chomsky, Noam. 1982. Some Concepts and Consequences of the Theory of
Government and Binding [Linguistic Inquiry Monograph 6]. Cambridge,
Massachusetts: MIT Press.
1986. Knowledge of Language: Its Nature, Origins and Use. New
York: Praeger.
Philips, Colin. 2003. “Linear Order and Constituency”. Linguistic Inquiry 34.
37-90.
Roberts, Ian. 2007. Diachronic Syntax [Oxford Textbooks in Linguistics].
Oxford: Oxford University Press.
Sato, H. 2003. “FrameSQL: A Software Tool for FrameNet”. ASIALEX ’03
Tokyo Proceedings, 251-258, Asian Association of Lexicography, Tokyo,
Japan.
1.
Old English and Germanic Languages
Some General Evolutionary and
Typological Characteristics of
the Germanic Languages

John Ole ASKEDAL

0. INTRODUCTION
The aim of this paper is to provide a comparative, typologically and
diachronically oriented overview of certain salient structural features of
modern Germanic languages. Some of the phenomena I discuss invite
problematization in terms of grammaticalization and/or contact-linguistic
theory.
The languages dealt with are the Germanic standard languages English,
German, Dutch, West Frisian, Danish, Swedish, Norwegian with both
standard varieties Riksmål/Bokmål and Nynorsk, Faroese and Icelandic.1
From a partly historical partly geographical perspective these languages are
assigned to a North and a West Germanic group, both of which are
subdivided into a non-insular and an insular sub-group. Cf. (1):2

(1) • North Germanic (Scandinavian):

– Insular Scandinavian: Icelandic, Faroese
– Non-Insular (Mainland, Continental) Scandinavian: Norwegian with the two
standard varieties Riksmål/Bokmål and Nynorsk, Swedish, Danish
• West Germanic:
– Non-Insular (Continental) Germanic: German, Dutch, West Frisian
– Insular West Germanic: English.

1
The following abbreviations are used: Eng. = English, Ger. = German, Du. = Dutch, WFr.
= West Frisian, Da. = Danish, Swed. = Swedish, Norw. = Norwegian, RM/BM =
Riksmål/Bokmål, NN = Nynorsk, Far. = Faroese, Icel. = Icelandic, and Germ. = Germanic.
– For reasons of space, I shall have to omit Luxembourgish and the vast range of dialects
as well as the Germanic diaspora consisting of Yiddish, Pennsylvania German and
Afrikaans.
2
Synchronically, in particular in view of present-day mutual intelligibility relationships,
the division into Insular and Mainland Scandinavian is more adequate than the traditional
historical bipartition into West Scandinavian, comprising Icelandic, Faroese and
Norwegian, and East Scandinavian, consisting of Swedish and Danish (cf. Harbert 2007:
19).
8 John Ole ASKEDAL

Concerning contact relationships, Braunmüller (2000) proposes the

following:

Through different kinds of language contact, the West Germanic languages have
become more or less Latinized or Romanized. For this reason we are in the case of
these languages today dealing with European rather than specifically Germanic
languages. (Braunmüller 2000: 271; my translation, J.O.A.)

Braunmüller (2000: 286, 292) refers to the following to support this

position:

(2) Latin and Romance features of Germanic languages (according to Braunmüller

2000)
1. A complex tense and mood system of a Latin/Indo-European kind
2. Penultima stress in loan words
3. Complex prenominal adjectival and participial modifiers
4. Various ‘embraciation’ structures (“Klammerkonstruktionen”)
5. Finite verb in final position in subordinate clauses in German

(2.1) cannot be upheld in the way it is stated here. The ancient

Germanic mood opposition between indicative and subjunctive (or optative)
represents a lesser degree of morphological differentiation than the
Indo-European and Latin system and has only survived in Icelandic and
German (cf. Harbert 2007: 272–274, 278–284). With regard to the tense
system, the innovations of Germanic have resulted in periphrastic
constructions (Harbert 2007: 292 f.), whereas in Romance synthetic verb
morphology has been retained to a greater degree.
(2.2) concerns the more general fact that lexical borrowing has led to a
number of new and widespread accentuation patterns in most Germanic
languages (Harbert 2007: 81–84) but no wholesale transformation of
Germanic accentuation. The positional phenomena in (2.3–2.5) belong in the
typological context of modifier–head vs. head–modifier linearization. The
predominantly German and comparatively late left-branching complex
prenominal adjectival and participal modifiers (2.3) cannot possibly be the
result of Romance, French influence; but Latin may have been a contributing
factor (Weber 1971: 75 f., 141–148, 220 f.; Andersen 2007: 215–233, 236).
However, from a system-internal point of view, the left-directionality
represented by such complex prenominal modifiers can be seen as a parallel
to the basic left-directionality in German verb chains (cf. Weber 1971: 147,
Lehmann 1971; and see section 1.2).
Concerning the “embraciation” constructions particularly characteristic
 General Evolutionary and Typological Characteristics 9

of modern German (2.4), one would like to know what specific Latin
parallels there are. The assumption in (2.5) refers to a traditional but overly
simplified view of what was a very complex process in the history of
German word order (cf. Scaglione 1981: 109–117); later and final position of
the finite verb in subordinate clauses were by no means dependent on Latin
influence for their occurrence but their frequency of use may have been
reinforced by it (cf. Andersen 2007: 74–88, Prell & Andersen 2004: 165–169,
177 f.).
Braunmüller proposes a similar relationship between Mainland
Scandinavian and ‘West Germanic’:

Since Hanseatic times, Mainland Scandinavian has assumed so many West Germanic
genetic and typological characteristics that the West Germanic languages have
moulded the character of the modern Germanic languages in their entirety.
(Braunmüller 2000: 271; my translation, J.O.A.)

Logically, Braunmüller’s theses might be taken to imply that Mainland

Scandinavian has become more or less Latinized or Romanized. However,
Braunmüller does not specify which languages he has in mind when using
the terms ‘West Germanic’ and ‘Romanization’. He also discusses a large
number of properties of modern Germanic languages from phonology and
intonation, morphology and syntax (ibid.: 281–290), which do not in general
seem to support the West-Germanization, Latinization or Romanization
theses referred to above.

1. TOWARDS A TYPOLOGICAL DESCRIPTION OF MODERN

GERMANIC LANGUAGES
1.1 Verb position and case marking
In his “Universal 41”, Greenberg (1966: 96) posits a general
implicational relationship between the (unmarked) position of the finite verb
on the one hand and presence of morphological case marking on the other:
“If in a language the verb follows both the nominal subject and nominal
object as the dominant order, the language almost always has a case system”.
The values “+/– preverbal object” (or OV vs. VO) of the verb position
parameter and the values “+/– case marking” of the case marking parameter
yield the four combinations in (3), of which only Type II is unexpected
according to Universal 41:
10 John Ole ASKEDAL

(3) Universal verb order–case correlations (according to Greenberg’s Universal 41)

Type I: + preverbal O, + case marking
*Type II: + preverbal O, – case marking
Type III: – preverbal O, – case marking
Type IV: – preverbal O, + case marking

Classification according to (3) yields different results for old and

modern Germanic languages. Old Germanic languages and dialects have four
or five morphological cases and, disregarding for the moment the
main–subordinate clause distinction, both pre- and postverbal objects. Type
IV was common in the entire Germanic area well into the Middle Ages. Type
I may have been more frequent in Proto-Germanic. Early Germanic appears
to have vacillated between Types IV and I (cf. for instance Harbert 2007: 353
f., 360).
With regard to modern Germanic, leaving out of consideration the
main–subordinate distinction and the word-class difference between
pronouns and full NPs leads to typologically misleading results. All modern
Germanic languages have V-2 in main clauses. In subordinate clauses,
however, German, Dutch and Frisian have verb-final structures lacking in the
other languages. (There are also good syntactic reasons for considering
verb-finality to be ‘basic’ in this group of languages, cf. Harbert 2007:
350–352.) All the languages have at least a subject–oblique opposition in
personal pronouns, but only Icelandic, Faroese and German have in principle
four morphological cases in pronominal as well as non-pronominal NPs (cf.
Harbert 2007: 105, 175–178), in (4) ordered in accordance with common
conceptions of markedness relationships (cf. e.g. Zifonun et al. 1997: 1327
f.):3

(4) The Germanic case hierarchy

nominative > accusative > dative > genitive

According to a typological classification based on case marking in

personal pronouns and the position of the finite verb in main clauses, all
modern Germanic languages would belong to Type IV, i.e., be typologically
on a par with Old Norse and Modern Icelandic. When, however, the
linearization parameter is specified as “+/–Verb-Final in subordinate clauses”
(for short: +/–V-Final) and “–NP case” is taken to mean ‘no case opposition
apart from genitive marking in non-pronominal NPs’, the two parameters

3
> = comparatively unmarked. In Faroese, the genitive is of marginal importance only (cf.
Thráinsson et al. 2004: 433 f.).
 General Evolutionary and Typological Characteristics 11

provide a more appropriate tool for describing typological variation in

modern Germanic (cf. Harbert 2007: 353 f.).
The criteria “+/–Verb-final” 4 and “+/–NP case” give rise to the
typological classification of the modern Germanic languages in (5). The
corresponding areal distribution is given in (6):5

(5) Verb order–case marking correlations in Modern Germanic

Type I, Mod. Germ., Ger.: +V-Final, +NP case
Type II, Mod. Germ., Du., WFr.: +V-Final, –NP case
Type III, Mod. Germ., Eng., Dan., Norw., Swed.: –V-Final, –NP case
Type IV, Mod. Germ., Icel., Far.: –V-Final, +NP case

(6) The geographical distribution of verb order–case marking correlations in

Modern Germanic

IV. Icel., Far.:

–V-Final
+NP case

III. Norw., Dan., Swed., Eng.:

–V-Final
–NP case
W E
II. WFr., Du.:
+V-Final
–NP case

I. Ger.:
+V-Final
+NP case

A number of researchers consider Mainland Scandinavian case

neutralization to have been influenced or even caused by contact with
Middle Low German but this conclusion is not necessitated by the structural
facts (Askedal 2005). In modern Mainland Scandinavian, verb-final order is
only found as a marginal relic in poetry.
The frequent claims to the effect that German syntax, in particular verb

4
The feature value “+Verb-Final” has to be further specified. Cf. section 1.2.
5
All following “maps” of the same kind as (6) are based on the classification in (5).
12 John Ole ASKEDAL

order, has been “Latinized” and that present-day Type IV has been
influenced or even caused by Latin influence are not supported by recent
investigations (cf. e.g. Prell & Andersen 2004, Andersen 2007). Equally
spurious is the contention that the West Germanic languages have been
“Romanized”; together the three West Germanic languages represent the
three different Types I, II and III. No Romance language is +V-Final.
Notable differences exist between modern Germanic and Romance with
regard to case marking. The only Romance language with case marking of
non-pronominal NPs is Rumanian, displaying a nominative/accusative–dative/
genitive opposition in nouns, adjectives and possessive pronouns and a
nominative–accusative–dative oppposition in personal pronouns (Harris &
Vincent, eds. 1988: 398–400). The Rumanian system is isolated within
Romance and has no parallels in Germanic. Like the Germanic –NP case
languages, French, Italian and Spanish have case oppositions in personal
pronouns but in contrast to their Germanic equivalents, French and Italian
have dative forms in addition to accusative forms.6 The Germanic case
neutralization represented by Type II and Type III languages presumably
form part of a European morphosyntactical restructuring drift towards
‘positional syntax’ (cf. e.g. Kiparsky 1997, Harbert 2007: 108, 118) that in
addition to Romance also encompasses the Celtic languages (cf. Ball & Fife,
eds. 1993: 114 f., 122, 172, 182 f., 311 f., 315–319, 364, 369–372).

1.2 Linear directionality of verb forms in verb chains

“Verb chains” are defined in terms of internal dependency and
morphological government relationships (cf. Bech 1955: 25–30). The term
‘verb complex’ is related to clause topology and refers to what is called the
‘clause-final verb field’ by Bech (1955: 60–67). In the examples (7)–(8) the
italicized verb forms make up a verb chain but only the sequences V3 V2 and
V1 V3 V2 in (8) are verb complexes:7

(7) Eng. He had1 never had2 to fight3 for his life before.
(8) a. Ger. Er hatte1 nie zuvor für sein Leben kämpfen3 müssen2.
he had never before for his life fight-INFINITIVE must-SUBSTITUTE
INFINITIVE ‘= (7)’
b. Ger. weil er nie zuvor für sein Leben hatte1 kämpfen3 müssen2.
… because he never before for his life had fight-INFINITIVE must-
SUBSTITUTE INFINITIVE
“… because he had never had to fight for his life before”.

6
The only Germanic parallel to these Romance pronominal datives appears to be the
Dutch dative plural hun (cf. Haeseryn et al. 1997: 247 f.).
7
In the following, all examples in other languages than English are translated into English.
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