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Case grammar

Case grammar is a theory of linguistic analysis proposed by Charles J. Fillmore in 1968, positing that the deep structure of sentences universally consists of a verb and one or more noun phrases, each associated with the verb through a specific case role that encodes its semantic relationship, such as agentive or objective.^[1] Unlike traditional grammars that emphasize surface-level syntactic categories like subject and object, case grammar places these semantic cases at the core of the grammar's base component, with surface forms derived via transformations.^[1] This approach aims to capture the underlying propositional meaning across languages, regardless of morphological variations.^[2] Fillmore outlined a set of deep cases to describe these roles, including the agentive (an animate instigator of the action), objective (the entity directly affected or moved by the action), dative (an animate being indirectly affected, such as a beneficiary or experiencer), instrumental (the inanimate means or force involved), locative (indicating spatial or temporal orientation), and factitive (the resulting object or outcome).^[1] For example, in the sentence "John opened the door with a key," "John" fills the agentive role, "door" the objective, and "key" the instrumental, all linked to the verb "opened" in the deep structure.^[3] These cases form a case frame for each verb, specifying the obligatory or optional participants required for grammaticality, thereby predicting syntactic structures from semantic content.^[3] Case grammar marked a shift toward semantics in generative linguistics, complementing Noam Chomsky's transformational-generative framework by integrating selectional restrictions and verb subcategorization through case roles.^[3] It influenced later developments, including Fillmore's own frame semantics, which expanded case frames into broader cognitive structures evoking background knowledge.^[4] This work also impacted computational linguistics, providing foundations for natural language processing tasks like argument structure analysis and machine translation.^[5]

History

Origins in Generative Linguistics

Case grammar emerged within the framework of generative linguistics, which was revolutionized by Noam Chomsky's Syntactic Structures in 1957. This work established transformational-generative grammar as the dominant paradigm, positing that sentences are generated from underlying syntactic structures through phrase structure rules and transformations.^[6] Although deep structure was more fully articulated in Chomsky's later Aspects of the Theory of Syntax (1965), the 1957 text laid the groundwork by emphasizing abstract syntactic representations that capture the underlying form of sentences, independent of surface variations, thereby influencing subsequent efforts to incorporate semantic relations into syntactic theory.^[6] In the mid-1960s, the generative semantics movement arose as a response to the limitations of Chomsky's interpretive semantics, which separated syntax from meaning. Led by linguists such as George Lakoff, James McCawley, Paul Postal, and John R. Ross, this approach advocated for deep structures that were inherently semantic, arguing that transformations should preserve meaning while deriving surface forms from abstract semantic representations.^[7] Proponents sought to bridge syntax and semantics more tightly, positing that grammatical relations could be derived from universal semantic primitives, setting the stage for theories that would prioritize argument roles over purely syntactic categories.^[7] Early generative linguists also drew inspiration from traditional case systems in Indo-European languages, adapting morphological markers like the Latin nominative (for subjects) and accusative (for direct objects) into abstract syntactic functions. These systems, rooted in classical grammar, highlighted how inflections encode relational roles between verbs and arguments, influencing pre-1968 syntactic models to view case as a surface realization of deeper structural relations, often via prepositions or word order in languages lacking rich morphology.^[8] This adaptation underscored the need for generative theories to account for cross-linguistic variations in expressing grammatical functions.^[8] A key precursor was Lucien Tesnière's Éléments de syntaxe structurale (1959), which developed dependency grammar as an alternative to phrase structure approaches. Tesnière emphasized the verb as the central node in syntactic trees, with dependencies linking it directly to arguments, thereby foregrounding verb-argument relations without binary constituency divisions.^[9] This focus on hierarchical word-to-word connections, illustrated through stemmas, provided a model for analyzing valency and relational structures that resonated with generative linguists exploring semantic-syntactic interfaces prior to 1968.^[9]

Fillmore's 1968 Proposal

In 1968, Charles J. Fillmore presented his seminal formulation of case grammar in the paper "The Case for Case," published in the edited volume Universals in Linguistic Theory by Emmon Bach and Robert T. Harms (Holt, Rinehart and Winston, pp. 1–88).^[1] This work argued for incorporating semantic cases directly into the base component of generative grammar, positing that they serve as universal primitives to capture underlying semantic relations between verbs and their arguments.^[1] Fillmore's core innovation lay in reconfiguring the deep structure of sentences, departing from Noam Chomsky's subject-predicate model prevalent in generative linguistics at the time. Instead, he proposed a structure comprising a proposition—consisting of a verb accompanied by one or more noun phrases each labeled with a case relation—flanked by a separate modality component that handles elements like tense, mood, and negation.^[1] Formally, this is represented as a sentence (S) generated from modality (M) plus proposition (P), where P expands to a verb (V) followed by case-labeled phrases (e.g., P → V + C₁ + ... + Cₙ, with each case C appearing at most once per simple sentence).^[1] This framework emphasized that surface syntactic variations, such as word order or voice, arise from transformations applied to this semantically motivated base, rather than being inherent to the deep structure itself.^[1] To implement this, Fillmore introduced an initial inventory of six cases: Agentive (A, the typically animate instigator of the action), Objective (O, also termed Patient, the entity affected by the action), Dative (D, the beneficiary or recipient), Instrumentive (I, the means or tool used), Factitive (F, the resulting object or beneficiary of creation), and Locative (L, the spatial or temporal setting).^[1] Verbs were associated with specific case frames specifying obligatory and optional cases, enforcing co-occurrence restrictions that reflect semantic valency.^[1] The primary motivation for this proposal was to account for semantic roles that remain invariant despite syntactic alternations across languages, such as the active-passive distinction where the agent and patient retain their roles regardless of surface position.^[1] By embedding cases in the base, Fillmore aimed to provide a more universal and semantically transparent foundation for syntax, addressing limitations in earlier transformational models that prioritized formal structure over meaning.^[1] This approach highlighted the potential for case grammar to explain phenomena like subject choice rules, where the surface subject is selected from the deepest case (often Agentive) in the frame.^[1]

Developments in the 1970s

In the early 1970s, Charles Fillmore extended the application of case grammar beyond Indo-European languages, notably in his 1971 paper "Some Problems for Case Grammar," where he analyzed sentence structures in Japanese to highlight challenges in universal case assignment and the role of surface structure variations across languages.^[10] Using Japanese examples, such as those involving subject formation and particle marking, Fillmore demonstrated how case roles could account for syntactic differences without relying solely on Chomskyan transformations, thereby testing the framework's cross-linguistic viability. Throughout the decade, Fillmore refined the case inventory to address ambiguities in role definitions and verb valency, introducing distinctions such as the Experiencer case to capture semantic relations involving perception or mental states (e.g., in verbs like "see" or "fear," where the participant undergoes an experience rather than initiating action). These refinements emphasized semantic primacy while allowing for language-specific realizations and aimed to resolve overlaps, such as between Benefactive and Dative roles, to better integrate cases with lexical semantics. By the late 1970s, these developments laid the groundwork for Fillmore's transition toward frame semantics, expanding case frames into broader cognitive structures.^[4] Case grammar exerted significant influence on the generative semantics movement during the 1970s, promoting the integration of deep semantic structures like case roles with lexical decomposition to explain phenomena such as synonymy and ambiguity, in contrast to the interpretive semantics approach that deferred semantics to later interpretive rules. Proponents like George Lakoff and James McCawley drew on Fillmore's framework to argue for semantically driven syntax, fueling debates over the autonomy of syntax versus semantics in generative theory. This integration positioned case grammar as a bridge between surface syntax and underlying propositional meaning.^[11] A pivotal refinement came in Fillmore's 1977 publication "The Case for Case Reopened," which revisited the original proposal to clarify ambiguities in case assignment, such as how contextual factors determine role selection for polysemous verbs, and advocated for cases as primitive semantic units rather than derived from phrase structure rules. The paper solidified the framework's core inventory and emphasized empirical testing through cross-linguistic data, laying groundwork for later extensions into frame semantics.^[12]

Theoretical Framework

Deep vs. Surface Structure

In case grammar, the deep structure represents the underlying semantic configuration of a sentence, consisting of a verb and one or more noun phrases each assigned a specific case relationship to the verb, such as those denoting semantic roles like agency or affectedness, independent of word order, morphological markings, or syntactic positions.^[1] This structure captures the fundamental propositional meaning, where cases serve as primitive elements in the base component of the grammar, universal across languages and prior to any surface realizations.^[1] The surface structure, by contrast, is the observable syntactic form derived from the deep structure through transformational rules that convert abstract case relationships into concrete grammatical positions, such as subject, direct object, or oblique phrases marked by prepositions or inflections.^[1] These transformations include processes like subject selection, where a deep case (often agentive) is promoted to subject position, and objectivization, which assigns accusative marking to other cases, thereby neutralizing underlying distinctions in favor of surface categories.^[1] This distinction differs markedly from Noam Chomsky's 1965 generative model, in which deep structure arises from syntactic phrase structure rules and transformations operate primarily on syntactic constituents to yield surface forms, with semantics interpreted afterward.^[1] Case grammar inverts this priority, treating semantic cases as the foundational deep elements that drive syntactic derivations, rendering traditional subject-predicate divisions as mere surface reflexes rather than deep primitives.^[1] Transformations in case grammar also incorporate rules of cancellations and mergers to handle variations in surface realizations, where cancellations suppress or delete case markers (e.g., during subject choice, erasing underlying category distinctions) and mergers combine multiple deep cases into unified surface forms, such as in genitive constructions.^[13] These mechanisms ensure that the semantic integrity of the deep structure is preserved while accommodating language-specific syntactic constraints.^[13]

The Proposition and Modality

In case grammar, the proposition constitutes the central semantic unit of a sentence's deep structure, comprising a verb that denotes an action, process, or state, together with one or more noun phrases assigned to deep cases as arguments. This structure captures the tenseless relationships between the verb and its participants, independent of surface syntactic arrangements such as subject or object positions. For instance, in a sentence like "John opened the door," the proposition involves the verb open linked to an agentive case (John) and an objective case (the door).^[1] The modality component, in contrast, envelops the proposition and includes features such as tense, aspect, negation, mood, and modal operators (e.g., expressions of possibility or obligation), along with indicators of the speaker's attitude toward the proposition's truth value. These elements apply to the sentence as a whole, modifying how the propositional content is interpreted or realized. Modality is optional in some analyses but essential for conveying contextual nuances, such as in negated forms ("John did not open the door") where negation alters the proposition's assertion.^[1] The architecture of case grammar organizes these components hierarchically: modality frames the proposition, which in turn embeds the verb and its case-marked arguments, ensuring that semantic roles are defined relationally rather than through a privileged syntactic subject in deep structure. This setup highlights the verb's valency in determining obligatory or optional case slots within the proposition. Fillmore's framework asserts a universal applicability, positing that sentences in all languages decompose into a modality constituent and a propositional nucleus of verb-case relations, providing a cross-linguistic basis for semantic analysis.^[1]

Semantic Cases

Agent and Patient

In case grammar, the Agentive is defined as the semantic case denoting the typically animate instigator of the action or event described by the verb, often implying volition and sentience on the part of the participant.^[1] This role captures the entity that initiates or controls the action, such as the doer in transitive constructions where an animate being performs the verb's action.^[1] For instance, in the phrase "John broke the window," John exemplifies the Agentive as the volitional actor responsible for the event.^[1] The Objective, also referred to as the Patient case, represents the entity directly affected by the action or undergoing a change of state as a result of the verb's semantics.^[1] It is the semantically neutral participant whose role is determined by the verb's interpretation, typically involving some form of impact or alteration, and it need not possess animacy.^[1] In the same example, "the window" serves as the Objective, as it is the object that experiences the breakage.^[1] These core dynamic roles distinguish the proposition's structure, where the Agentive drives the action and the Objective receives its effects.^[1] In terms of syntactic realization, Agentives frequently map to the surface subject position in active voice constructions across languages, reflecting their prominence in the event hierarchy.^[1] Objectives, meanwhile, typically surface as direct objects in active sentences but can become subjects in passive transformations, underscoring the distinction between deep semantic roles and surface syntactic functions.^[1] This mapping highlights how case grammar prioritizes semantic relations in underlying structure while allowing flexibility in overt expression.^[1]

Other Cases: Instrument, Dative, Locative

In case grammar, the Instrumental case denotes the inanimate entity or force that serves as the means or instrument through which an action is accomplished by the Agentive.^[1] For instance, in the sentence "John broke the window with a hammer," the hammer occupies the Instrumental role, causally involved in the event without being the primary actor.^[1] This case typically appears as an optional adverbial in surface structure but is part of the deep propositional core, highlighting the mechanism of causation.^[1] The Dative case identifies the animate participant who is the recipient, beneficiary, or experiencer affected by the action or state.^[1] In examples like "John gave the book to Mary," Mary functions as the Dative, receiving the benefit or object of the verb's action.^[1] Fillmore emphasized that the Dative often involves an "interested party" in the proposition, distinguishing it from the Objective case by its focus on relational impact rather than direct endurance of the action.^[1] The Locative case specifies the spatial or temporal location where the action or state occurs, providing orientation to the proposition.^[1] For example, in "The wind blew in Chicago," Chicago serves as the Locative, anchoring the event geographically.^[1] This case can manifest as prepositional phrases in surface forms and is crucial for verbs implying position or direction, such as placement or existence predicates.^[1] Beyond these, Fillmore identified the Factitive case as the entity resulting from or created by the action, such as the product in "John baked a cake."^[1] He also incorporated an Experiential aspect within the Dative for perceivers or affected animates, though later refinements in his work treated experiencers more distinctly.^[14] Collectively, Fillmore proposed a universal set of six core cases—Agentive, Instrumental, Dative, Factitive, Locative, and Objective—to capture the semantic relations in deep structure across languages.^[1]

Case Frames and Verb Valency

Defining Case Frames

In case grammar, a case frame constitutes the lexical entry for a verb, specifying its semantic valence by listing the semantic cases that the verb requires or permits as participants in the proposition it heads.^[1] For instance, the verb "break" is associated with a case frame that mandates an Agent and a Patient, while allowing an optional Instrument, thereby delineating the core semantic roles involved in the action.^[1] This structure captures the verb's inherent argument-taking properties, drawing on the semantic cases such as Agent, Patient, and Instrument defined within the theory.^[1] Case frames distinguish between obligatory and optional cases to reflect the verb's valency requirements. Obligatory cases, often termed core cases, must be explicitly realized in the sentence for semantic completeness, as their absence would render the proposition ill-formed; for example, both Agent and Patient are required for "break."^[1] In contrast, optional or peripheral cases, such as Instrument, can be omitted without violating the frame, or they may be inferred contextually if not surface-expressed.^[1] This distinction ensures that the semantic content aligns precisely with the verb's meaning, accommodating variations in expression while maintaining coherence.^[1] Verbs are subcategorized according to their case frame types, which classify them based on the number and nature of required semantic roles. Transitive verbs, for example, typically feature frames with Agent and Patient, as in "remove" or "hit," necessitating two core arguments.^[1] Intransitive verbs, by comparison, have simpler frames limited to a single case, such as Agent alone in "run" or Patient in certain stative constructions.^[1] This subcategorization facilitates the systematic organization of the lexicon, highlighting patterns in how verbs encode events and states through their associated cases.^[1] The primary role of case frames in the grammar is to guarantee semantic well-formedness at the deep structure level, prior to any syntactic transformations that map cases onto surface positions.^[1] By enforcing the verb's specified case array, frames prevent semantically anomalous combinations, such as assigning incompatible roles to arguments, and thus form the foundation for generating interpretable propositions.^[1] This mechanism underscores the theory's emphasis on semantic relations as the bedrock of grammaticality.^[1]

Constraints on Cases

In case grammar, a fundamental constraint is the uniqueness principle, which stipulates that each deep case role—such as Agent, Patient, or Instrument—can occur only once per proposition or simple sentence. This ensures that no two noun phrases bear the same case relation to the verb, preventing redundancy and maintaining semantic clarity in the underlying structure.^[1] For instance, a sentence cannot feature dual Agents acting on the same action without restructuring into multiple propositions. This limitation, central to Fillmore's framework, aligns with later developments like the theta-criterion in generative grammar, where each argument receives exactly one thematic role.^[13] Subject selection in surface structure is governed by a strict hierarchy of cases, prioritizing Agent over Instrument and then Patient (often termed Objective), to determine which deep case realizes as the grammatical subject. If an Agent is present in the case frame, it becomes the subject; absent an Agent, an Instrument takes precedence; otherwise, the Patient assumes the role.^[1] This hierarchy applies universally across languages, influencing transformations like passivization, where deviations from the order (e.g., promoting a Patient to subject) are morphologically marked, as in English "be" passives.^[13] The rule streamlines argument realization by providing a consistent mechanism for mapping deep semantic relations to syntactic positions, though it may extend to include Experiencer or Locative in broader applications.^[15] Deep cases are realized in surface structure through specific rules that convert abstract semantic roles into prepositional phrases, word order, or morphological markers, ensuring syntactic coherence. For example, the Instrument case typically maps to the preposition "with," as in "John cut the bread with a knife," while the Agent in non-subject positions uses "by" in passives, such as "The window was broken by the boy."^[1] Patient cases often appear as direct objects without prepositions in active voices, with word order reinforcing the hierarchy. These mappings are not arbitrary but constrained by language-specific conventions, allowing deep structures to generate varied surface forms while preserving propositional meaning.^[13] Exceptions to these constraints arise in cases of zero anaphora, where a deep case is omitted from surface realization if recoverable from context, such as implied Agents in imperatives like "Close the door" (understood as "You close the door").^[1] Ambiguities, like multiple possible case assignments for a phrase (e.g., "with the hammer" as Instrument or comitative), are resolved through contextual cues, possessive constructions, or verb-specific frames that disambiguate roles.^[13] Resolution strategies include anaphoric deletion for recoverable elements or structural adjustments, such as extraposition, to maintain uniqueness without violating the hierarchy. These mechanisms handle edge cases while upholding the core constraints of the system.^[1]

Examples

Basic Sentence Analysis

In case grammar, basic sentence analysis begins by decomposing a declarative sentence into its modality and proposition components, where the modality encompasses elements such as tense, mood, and negation, while the proposition consists of a verb and its associated deep cases linked to noun phrases.^[1] This approach highlights the semantic roles, or cases, that nouns play relative to the verb, providing a framework for understanding sentence meaning independent of surface structure variations.^[1] Consider the active transitive sentence "The boy kicked the ball." The step-by-step decomposition proceeds as follows: first, identify the modality, here the past tense; second, isolate the proposition, which includes the verb "kick" and its case frame requiring an Agent (the instigator of the action) and an Objective (the entity affected by the action); third, assign cases to the noun phrases, with "the boy" as Agent and "the ball" as Objective.^[1] Thus, the underlying structure is [Past] [Agent: the boy, Verb: kick, Objective: the ball], illustrating how the verb "kick" selects these core cases to form a complete proposition.^[1] For an intransitive sentence like "The girl slept," the analysis simplifies due to the verb's requirement for only one case. The modality is present tense; the proposition features the verb "sleep," which frames a single Agent (the participant performing the action), assigned to "the girl."^[1] The decomposition yields [Present] [Agent: the girl, Verb: sleep], demonstrating that not all verbs demand multiple cases, yet the Agent role remains central for actions attributed to an instigator.^[1] Copular sentences, such as "The cat is black," further adapt this framework to equative or attributive relations. The modality is present tense; the proposition involves the verb "be black," with "the cat" functioning as Objective (the entity described).^[1] Decomposing it step by step: extract the tense as modality; identify the verb and its frame, which applies the attribute to the Objective; assign roles accordingly, resulting in [Present] [Objective: the cat, Verb: be black]. This analysis underscores how case grammar accommodates linking verbs by incorporating attributes into the verb meaning rather than assigning separate cases for states.^[1]

Passive Constructions

In case grammar, passive constructions are analyzed as transformations that alter the surface structure while preserving the underlying deep cases, ensuring semantic invariance across active and passive forms. For instance, in the active sentence "The boy kicked the ball," the deep structure assigns the Agent case to "the boy" and the Objective case to "the ball." The corresponding passive "The ball was kicked by the boy" maintains these same deep case assignments, with the Objective promoted to surface subject position and the Agent demoted to an oblique "by"-phrase. This approach highlights how syntactic changes in passives do not affect the core propositional meaning encoded by the cases.^[1] Agent suppression is a common feature in passive constructions, where the Agent is omitted from the surface form but remains semantically present in the deep structure. Consider "The ball was kicked," derived from the same deep structure as the active example above; here, the Agent is not expressed, allowing focus on the Objective without altering the underlying semantic roles. This suppression mechanism explains the flexibility of passives in emphasizing affected entities while retaining the full semantic content implicitly. Fillmore notes that such optionality underscores the distinction between deep semantic relations and surface realizations.^[1] Passive constructions also accommodate other cases, such as the Dative, through processes like dative promotion, where the Dative role ascends to surface subject. In the active "John gave Mary a book," the deep cases include Agent (John), Dative (Mary), and Objective (a book). The passive "Mary was given a book by John" promotes the Dative to subject, demotes the Agent to "by"-phrase, and keeps the Objective as direct object, thus preserving the semantic proposition. This invariance in deep cases across voices demonstrates case grammar's ability to account for meaning preservation in ditransitive passives.^[1] One key advantage of this framework is its explanation of why passive sentences retain the original meaning despite syntactic rearrangements: the deep cases provide a stable semantic anchor independent of surface word order or grammatical functions. By focusing on these invariant roles, case grammar unifies active and passive analyses under a single propositional structure, avoiding the need for separate semantic representations.^[1]

Applications

In Natural Language Processing

Case grammar, originally proposed by Charles Fillmore, has significantly influenced natural language processing (NLP) by providing a framework for semantic role labeling (SRL), where case frames help identify and assign roles such as agent, patient, or instrument to sentence constituents relative to predicates.^[16] In modern NLP tools, this approach underpins resources like PropBank, which annotates the Penn Treebank corpus with verb-specific semantic roles to support tasks like parsing and argument structure analysis, and FrameNet, a lexical database built on Frame Semantics that extends case grammar principles to frame-based role assignment for broader predicate types.^[17]^[18] These systems enable parsers to map syntactic structures to semantic representations, facilitating deeper text understanding beyond surface syntax.^[5] In the 1970s and 1980s, case grammar informed early AI systems for question answering, such as Robert Simmons' conceptual analyzer, which used case relations to parse sentences into semantic networks for querying relational databases, and Roger Schank's MARGIE (Memory, Analysis, Response Generation, and Inference on English), which applied case frames to conceptualize actions and generate inferences from natural language inputs.^[19] These implementations extended ideas from systems like SHRDLU by incorporating case-based semantics to handle limited domains, such as medical or narrative texts, demonstrating how deep cases could resolve ambiguities in user queries.^[19] Contemporary applications integrate case-inspired semantic roles into machine translation, where SRL enhances neural models by aligning argument structures across languages, improving translation accuracy for complex predicates as shown in systems that incorporate PropBank annotations to predict role mappings.^[20] In dialogue systems, semantic role labeling guides multi-turn response generation by rewriting utterances to clarify roles, enabling more coherent interactions in task-oriented chatbots that process user intents and arguments.^[21] A key advantage of case grammar in NLP is its ability to address syntactic ambiguity through semantic focus; for instance, in sentences like "The man saw the eagle with the telescope," case frames distinguish whether the instrument role attaches to seeing or the eagle, aiding robust parsing in ambiguous contexts.^[16] This semantic prioritization has made it foundational for downstream tasks, reducing reliance on purely syntactic rules.^[5]

Influence on Theta Theory

Case grammar, introduced by Charles Fillmore in the late 1960s, profoundly shaped the evolution of syntactic theories in generative linguistics, particularly through its integration into Noam Chomsky's Government and Binding (GB) framework in the 1980s.^[22] In this transition, Chomsky's theta theory formalized semantic roles—such as agent, theme, and goal—as theta roles assigned by predicates to their arguments at deep structure levels, directly drawing from Fillmore's deep cases that encoded similar semantic relationships between verbs and participants. This adaptation shifted the focus from Fillmore's deep cases to abstract theta-grid representations in the lexicon, enabling a principled account of argument structure within GB theory. A central parallel between the two frameworks lies in their constraints on role assignment. The theta criterion, as articulated by Chomsky, mandates that each argument bear exactly one theta role and that each theta role be uniquely assigned to one argument, echoing the uniqueness and obligatoriness principles in case grammar where cases like agent or patient are distinctly and exhaustively linked to sentence constituents. This criterion ensured bi-unique mapping between semantic interpretations and syntactic positions, much like Fillmore's case frames restricted possible argument configurations for verbs.^[22] Subsequent developments extended these ideas into more nuanced lexical analyses. In their 2005 work Argument Realization, Beth Levin and Malka Rappaport Hovav built on case frames by delineating verb classes according to their theta role projections and alternation behaviors, such as causative-inchoative patterns, thereby refining how semantic roles influence syntactic realization across verb types.^[23] Their approach emphasized the verb's inherent event structure, inheriting Fillmore's valency concepts while integrating them with theta-theoretic mechanisms to predict argument linking.^[24] The enduring legacy of case grammar in theta theory culminated in the Minimalist Program, where the emphasis moved from deep cases as structural primitives to lexical semantics, with theta roles encoded directly in verbal entries to minimize computational complexity.^[25] This shift streamlined argument licensing under bare phrase structure, preserving the semantic insights of case grammar within a more austere syntactic architecture.^[26]

Criticisms and Limitations

Theoretical Challenges

Case grammar faces significant theoretical challenges concerning the ambiguity inherent in assigning cases to noun phrases, as a single nominal element can plausibly fill multiple roles depending on contextual interpretation. A classic illustration is the sentence "John opened the door with the key," where "the key" might be classified as an Instrument (facilitating the action) or, under alternative readings, as a Patient (affected by the action), complicating the determination of unique deep cases and potentially leading to inconsistent analyses across similar constructions. This ambiguity undermines the theory's goal of providing a clear, universal framework for semantic roles, as noted in critiques of Fillmore's original formulation. Another issue is overgeneration, where the proposal of universal cases generates structures that fail to account for language-specific semantic nuances, necessitating ad hoc adjustments to the system. Proponents of case grammar aim for a small set of primitive cases applicable across languages, but this universality often produces overly broad predictions that do not align with observed syntactic behaviors, requiring supplementary rules that dilute the theory's elegance and predictive power. Such overgeneration highlights the tension between semantic universality and syntactic particularity in grammatical theorizing.^[27] The theory has also sparked debate with deep structure approaches in generative grammar, particularly from the perspective of interpretive semantics, which prioritizes syntactic primacy over semantic case relations. Jackendoff (1972), in critiquing generative semantics models like case grammar, argues that semantic interpretation should derive from syntactic structures rather than cases serving as the base, asserting that case roles are not primitive but emergent from broader semantic rules, thus challenging the foundational assumption that cases form the deep structure of sentences.^[28] Finally, expansions of the localist hypothesis, as in Anderson (1971), have been criticized for excessively reducing diverse case relations to origins in spatial concepts, such as location and direction, which limits the theory's explanatory scope for non-spatial semantic roles like causation or benefaction. This localist reductionism, while attempting to unify cases under a geometric metaphor, overlooks the independent semantic motivations of certain roles and leads to strained derivations that do not adequately capture the full range of grammatical phenomena.^[11]

Empirical Issues

Empirical evidence from diverse languages has highlighted significant challenges to the universality of case grammar's deep case assignments, particularly in ergative-absolutive systems where surface marking does not align straightforwardly with proposed semantic roles like Agent and Patient. Such patterns suggest that case grammar's predictions of invariant deep-to-surface mappings falter in non-accusative languages, where grammatical relations are organized differently from English-centric models. A related issue arises with noun phrases (NPs) that appear to bear multiple case relations within a single construction, undermining the theory's assumption of unique deep case per argument. For instance, in the English sentence "John loaded hay onto the truck," the NP "hay" functions semantically as both the patient affected by the loading and the locative entity moved toward the goal, defying assignment to a single deep case like Patient or Locative.^[29] This locative alternation, observed across verbs like "load" and "spray," reveals variability in case labeling that case grammar struggles to resolve without ad hoc adjustments, as the same semantic content shifts roles without clear syntactic triggers.^[30] Fillmore himself acknowledged such ambiguities as problems for strict case assignments, proposing extensions like frame semantics to handle them, but empirical cases persist in showing inconsistent role predictions.^[31] Language acquisition studies question case grammar's viability by demonstrating that children's syntactic errors align more closely with innate universal principles than with learned semantic case frames, as children rapidly converge on language-specific syntax without explicit case instruction. These errors prioritize hierarchical phrase structure and movement rules over semantic role memorization, suggesting that case grammar's reliance on deep cases as learnable units underestimates the role of innate syntactic biases in guiding acquisition. Corpus-based analyses reveal additional empirical weaknesses in the predictability of case frames, especially for idiomatic expressions and light verb constructions, where semantic roles deviate from prototypical assignments. In large-scale corpora like the British National Corpus, idiomatic uses such as "take a bath" (with "bath" as a non-literal goal) exhibit low predictability for standard case frames, as light verbs like "take" or "make" pair with complements in ways that override expected Agent-Patient dynamics.^[32] Studies of frame-evoking verbs in FrameNet-derived data indicate variability in real-world usage, underscoring the theory's limited empirical coverage for non-literal language, where frames are contextually fluid rather than rigidly predictable.^[33]

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Nov 28, 2008 · Fillmore, C. J. (1971). Some problems for case grammar. In O'Brien, R. J. (ed.), Report of the twenty-second annual round table meeting on ...
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The case for case reopened - Semantic Scholar
Dec 20, 1977 · This paper uses its hybrid logic extension in order to incorporate quantification and thereby allow for inference and reasoning in frames, ...Missing: Revisited | Show results with:Revisited
[14]
[PDF] Concepts and consequences of case grammar
Similarly the experiencer is the source of the existence of the experience denoted by the verb: without an E there is no experience. What these have in ...
[15]
[PDF] Semantic Role Labeling - Stanford University
Dec 28, 2021 · AGENT role; most cases of AGENTS are animate, volitional, sentient, causal, but any individual noun phrase might not exhibit all of these ...
[16]
[PDF] Fillmore.Case.pdf
If it is true that the omissibility of subjects is what convinced Tesnière that they are subordinated to verbs, and if the nonomissibility in any language of ...
[17]
[PDF] PhD Course in Syntactic Theories - Case Grammar - Tagmemic ...
3-Fillmore's Case Grammar. Case grammar was developed in the late 1960s by ... with presented experience, a device that converts experience into a system of.<|control11|><|separator|>
[18]
[PDF] Semantic Role Labeling - Stanford University
The idea that semantic roles could provide an intermediate level of semantic representation that could help map from syntactic parse structures to deeper, more.
[19]
[PDF] The Proposition Bank: An Annotated Corpus of Semantic Roles
The Proposition Bank project takes a practical approach to semantic representation, adding a layer of predicate-argument information, or semantic role ...
[20]
FrameNet at 25 | International Journal of Lexicography
Jul 5, 2024 · The FrameNet project has been working on creating a lexicographic database of English based on the principles of Frame Semantics.
[21]
[PDF] Natural Language Understanding Systems Within the AH Paradigm
The paper surveys the major projects on the understanding of natural language that fall within what may now be called the artificial intelligence paradigm ...
[22]
[PDF] Using Semantic Role Labeling to Improve Neural Machine Translation
Sep 20, 2022 · In the current research we aim to take a small step into this direction. Assuming that semantic role labeling (SRL) grasps some of the relevant ...
[23]
[PDF] Semantic Role Labeling Guided Multi-turn Dialogue ReWriter
For multi-turn dialogue rewriting, the capacity of effectively modeling the linguistic knowl- edge in dialog context and getting rid of the.
[24]
[PDF] fillmore's case theory and thematic roles in gb theory - GUPEA
(1971) Some Problems for Case Grammar. In: R. J. O'Brien (ed): Report of the. 22nd Annual Round Table Meeting on Linguistics end Language Studies. Georgetown ...<|control11|><|separator|>
[25]
Argument Realization - Cambridge University Press & Assessment
The relationship between verbs and their arguments is a widely debated topic in linguistics. This comprehensive 2005 survey provides an overview of this ...
[26]
[PDF] Verb classes within and across languages - Stanford University
Further insight into how best to determine a verb's classification can be found in Levin. & Rappaport Hovav (2013, in press). These papers present case studies ...
[27]
[PDF] The Minimalist Program - 20th Anniversary Edition Noam Chomsky
It is important to recognize that the Minimalist Program (MP) under devel- opment in this work, and since, is a program, not a theory, a fact that has often.
[28]
[PDF] The Minimalist Program
In the Introduction, Chomsky points out how 'the leading questions that guide the minimalist program came into focus as the principles-and- parameters (…) model ...
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[30]
Semantic interpretation in generative grammar : Jackendoff, Ray S
May 6, 2019 · by: Jackendoff, Ray S. Publication date: 1972. Topics: Generative grammar, Semantics. Publisher: Cambridge, Mass. : MIT Press.
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[PDF] 1 Anderson's Case Grammar and the history of localism ... - HAL
Localism is defined by Anderson as “a hypothesis about semantic structure: the hypothesis that semantic domains (lexical fields, morphological paradigms, ...
[32]
Variation in the production of Basque ergativity: Change or stable ...
Apr 19, 2024 · This study examines the extent to which the Basque ergative -k marker is undergoing change in the Basque Autonomous Community.
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[PDF] Construction Grammar and the Blending Theory - Linguistics
between two syntactic realizations of the same verb, which are called the locative variant (e.g. John loaded hay onto the truck) and the with variant (eg.
[34]
A return to the spray paint issue - ScienceDirect.com
A brief against case grammar. Foundations of Language, 11 (1974), pp. 39-76. Google Scholar. Sgall, 1980. P. Sgall. Case and meaning. Journal of Pragmatics, 4 ...
[35]
Publication Details - ICSI Berkeley
Title: Some Problems for Case Grammar ; Author: C. J. Fillmore ; Bibliographic Information: Report of the 22nd Annual Roundtable Meeting on Linguistics and ...
[36]
Phraseology (Chapter 7) - The Cambridge Handbook of English ...
In contrast, most frames that have a low predictability score ... Corpus-based studies begin with lexical expressions (e.g. idioms or discontinuous frames) ...<|control11|><|separator|>
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[PDF] Expanding VerbNet with Sketch Engine - ACL Anthology
This research describes efforts to expand the lexical resource VerbNet with additional class members and completely new verb classes.