LOBINA What Linguists Are Talking About When Talking About...

Language Sciences 45 (2014) 5670
Contents lists available at ScienceDirect
Language Sciences
journal homepage: www.elsevier.com/locate/langsci
What linguists are talking about when talking about.

David J. Lobina
Faculty of Philosophy, University of Oxford, Radcliffe Humanities, Radcliffe Observatory Quarter, Woodstock Road, Oxford OX2 6GG,
England, United Kingdom
a r t i c l e i n f o
a b s t r a c t
Article history:
Received 2 March 2014
Received in revised form 18 May 2014
Accepted 28 May 2014
Available online
A historical look at the manner in which recursion was introduced into linguistics,
including how it was used thereafter, shows that Chomsky, the scholar who popularised
the use of recursive techniques in linguistics, has always understood this notion to be a
central feature of generative procedures, much as it was treated in mathematical logic in
the 193050s. Recursion is the self-reference property that underlies all types of recursive
functions; recursive denitions (or denitions by induction), in addition, justify every
stage of the computations effected by computational procedures such as Post production
systems or set-operators like merge, making recursion the central feature of a generative
grammar. The contemporary literature, however, has confused this recursive property of a
grammar with other constructs, such as self-embedded sentences, self-embedding operations, or certain rewriting rules, thereby obscuring the role of recursion in the theory of
language. It is here shown that this is the result of the literature implicitly endorsing a
number of unwarranted conations, four of them analysed here. It is concluded that most
of the discussion on the centrality and uniqueness of recursion in human language and/or
general cognition has been confusing and confused for very fundamental reasons; a story
of conations, in a nutshell.
2014 Elsevier Ltd. All rights reserved.
Keywords:
Recursive procedures
Recursive rewriting rules
Embedding operations
Recursive structures
Four conations among the aforementioned
constructs
1. In the way of a justication

The world possibly doesnt need another article on the role of recursion in language. Ever since Hauser et al. (2002)
hypothesised that recursion may be the only sui generis feature of human language, a barrage of publications has made its
way into print, many of these engaging very different aspects of the hypothesis. It has been claimed by some, supposing
recursion to refer to self-embedded sentences such as the cat [the dog [the mouse bit] chased] ran away, that recursion couldnt
possibly be the central property of language on account of the apparent fact that not all languages exhibit such structures
(among others, Parker, 2006; Everett, 2012). Others, equating this recursive property with an embedding or self-embedding
operation, have pointed out that such an operation appears to be part of the grammar of all languages (e.g., Hauser, 2009 and,
to some extent, Nevins et al., 2007). Many more issues have been discussed in the literature, of course; my intention here,
however, is not to catalogue them all but to organise our knowledge of all things recursive; that is, I offer a conceptual
analysis, and high time for such an analysis it is.
Granted, similar analyses have been offered before, the most prominent perhaps being those of Tomalin (2007) and Fitch
(2010); as I will show below, however, there are some problems with these two publications (in terms of both the quality and
the quantity of what they say), not least the fact that they are not entirely compatible with each otherdindeed, they take
E-mail address: david.lobina@philosophy.ox.ac.uk.

http://dx.doi.org/10.1016/j.langsci.2014.05.006
0388-0001/ 2014 Elsevier Ltd. All rights reserved.
D.J. Lobina / Language Sciences 45 (2014) 5670
57
recursion to be different thingsdand that is an issue that must be addressed. In any case, neither of these two papers, or any
other from the literature for that matter, seem to have had much of a positive effect; much confusion remains, as evidenced in
a recent paper that attempts to clarify what recursion is by focussing on mathematical logicdnamely, Watumull et al.
(2014)dbut which commits multiple, and very obvious, mistakes (surprisingly, neither Tomalin, 2007 nor Fitch, 2010 are
referenced).
By quoting a text of Gdels (1931) in which the noted mathematician offers a denition of what he therein calls recursive
functions (these are now known as the primitive recursive class; Davis, 1965, p. 4), Watumull et al. (2014), WEA in this
paragraph and the next, identify three criterial properties of what they call the primitive notion of recursion (p. 2): a) a
recursive function must specify a nite sequence (Turing computability, WEA claim); b) this function must be dened in
terms of preceding functions, that is, it is dened by induction, which WEA associate with strong generativity (i.e., the
generation of ever more complex structure); and c) this function may in fact just reduce to the successor function (that is,
mathematical induction, which WEA associate with the unboundedness of a generative procedure). However, Gdels text
doesnt say that at all, as the full quote demonstrably shows (the italicised words below mark the material WEA purposely
omit from their citation of Gdel (1931); Im quoting from Davis (1965), which offers a different translation from the one WEA
use, but this doesnt affect my point in the slightest):
A number theoretic function f is said to be recursive if there exists a nite sequence of number-theoretic functions
f1,f2,.,fn which ends with f and has the property that each function fk of the sequence either is dened recursively
from two of the preceding functions, or results [footnote not included] from one of the preceding functions by substitution, or, nally, is a constant or the successor function x 1 (pp. 145; underline in the original, my italics).
In this quote, Gdel is simply identifying which functions from a nite list are to be regarded as primitive recursive (cf. the
denition of this class in Kleene, 1952, pp. 2203, which is very similar indeed)1; what the text is clearly not offering is a
combination of properties subsuming the recursion conceptdand in any case, by omitting the material in italics, WEA end up
with three criterial properties by design (whatever happened to substitution or a constant?). More importantly, there are no
grounds for identifying Gdels nite sequence of functions with Turing computability (a notion that was unavailable to Gdel
at the time in any case), and it is certainly a mistake to equate a denition by induction with strong generativity, or the
successor function with mathematical induction and/or unbounded computationsdall these are related but clearly independent concepts. Having said that, WEAs focus on mathematical logic is to be welcomed, but the clear deciencies in that
paper must also be addressed.2
Given the current state of affairs, then, no-one could be faulted for wondering what it all means; or what it could all mean,
in any event. Despite the documentary density, I advance that there is some novelty to be had, especially for the philosopher,
and of some worth to the engorged literature to boot. To that end, I start this essay with a brief description of how recursion
has been understood within the formal sciences, especially in the elds of mathematical logic and computer science. I then
chronicle both the introduction of recursion into linguistic studies and how its role within generative grammar has evolved
over the ensuing decades; to this end, I will focus on Noam Chomskys writings, the scholar responsible for introducing
recursive techniques into linguistics. Rather surprisingly, given the prominence of this notion in the literature, such an exercise is yet to be done, let alone offered for reection. This type of analysis, however, brings to light a number of important
historical facts: a) recursion was rst employed in the 1950s and 60s in the same manner as it was used in mathematical logic,
a eld that exerted a great inuence on linguists at the time; and b) its application has not translated much over the years, at
least as far as Chomskys individual writings are concerned. Building upon that, I then demonstrate that the confusion surrounding this concept is not solely a matter of imprecision, as claimed by Tomalin (2011), but a story of conations: between
recursive mechanisms and recursive structures; namely, between the self-reference so typical of recursive functions and selfembedded sentences; between the recursive applications of specic rules of Post production systems and self-embedding
operations; and, lastly, between what an operation does and how it applies. As a result, I will conclude, most of the discussion in the literature as to the centrality and uniqueness of recursion in natural language has centred on issues (such as
whether all languages exhibit self-embedded sentences) that have little to do with the introduction of recursive tools into
linguistics, let alone the reasons for introducing such techniques in the rst place. As such, then, some of the strongest claims
to be found in the literature are either fallacious or quite simply misplaced.
2. What is recursion, then?
As Brainerd and Landweber (1974) put it, it is useful to dene functions using some form of induction scheme., a general
scheme.which we call recursion (p. 54). This is in fact consonant with the original interpretation of recursion within
mathematics as being part of a denition by induction, as chronicled by Soare (1996). Also known as a recursive denition, it
consists in dening a function by specifying each of its values in terms of previously dened values (Cutland, 1980, p. 32); a
1
That is, what Gdel is saying is that if we have a list of functions, any one function from this list will be dened as (primitive) recursive if it is dened by
induction from previous functions, OR is substituted by some of them, OR is the constant function, OR is the successor function.
2
In what follows, I will not discuss the ner details of WEAs mistakes, as this would take us far outeld; instead, I will offer my own narrative, which
hopefully will provide a much better grounding for the issues at stake here.
58
self-referential characteristic (Tomalin, 2006, p. 61). As an example, take the factorial class (fact(n) n n 1 n 2 .1),
which can be recursively dened in the two-equation system so common of such denitions, as follows: if n 1, then
fact(n) 1 (base case); if n > 1, then fact(n) n fact(n 1) (recursive step). Note, then, that the recursive step involves
another invocation of the factorial function. Thus, in order to calculate the factorial of, say, 4 (i.e., 4 3!), the function must
return the result of the factorial of 3, and so on until it reaches the factorial of 1, the base case, effectively terminating the
recursion.
There are a number of different types of recursive functions (the primitive, the general, the partial), and these are all
recursive for the very same reason: they are all underlain by the induction scheme, even if they encompass different input
output pairs (hence, the different classes).3 As is well-known, these functions proved to be very important in the 1930s and
beyond as a means to formalise the class of computable functions. Church (1936), in particular, identied the general
recursive functions with the computable class, but this proposal was not entirely correct (see Soare, 1996, pp. 28991; Sieg,
1997 for details). Kleene (1938) replaced the general class of recursive functions with the partial class for the purposes Church
had in mind, and this type of recursive functions was further polished by McCarthy (1963), rst, and recently by Moschovakis
(2001). From a completely different perspective, that of a generative system that lists a set of integers rather than computing a
function, Post (1943) introduced his canonical systems, a construct that directly stems from the generalisation by
postulation method of an earlier work (namely, Post, 1921). According to Post (1943), canonical, or production, systems can
be reduced to what he calls a normal form, which can be described in terms of the mapping from gP to Pg0 , where g stands
for a nite sequence of letters (the enunciations of logic) and P represents the operational variables manipulating these
enunciations (p. 199). Crucially, the whole approach naturally lends itself to the generating of sets by the method of denition
by induction (p. 201), a fact of production systems qua formalisation of a computational system that has moved Sieg (1997) to
claim that it is most natural to consider the generative procedures underlying algorithms to be nitary inductive denitions
(p. 166).4 Furthermore, Post (1944) calls the objects his production system generates either recursively enumerable sets or
(general) recursive sets, pointing to the fact that every set so constructed is a recursively-dened object (that is, every
operation of a production system is a denition by induction), thereby placing recursion at the very heart of these generative
systems.
In fact, Soare (1996) describes the spirit of the times of the 1930s and 40s as one in which recursion is taken to be at the
very centre of what a computation is, to the point that systems of recursive equations, or recursion itself, are employed as
being almost synonymous with computability and/or computable, in detriment of Turings (1936) model, which did not make
use of recursion at all.5 This state of affairs, what Soare calls the Recursion Convention, involves the following practices: a) use
the terms of the general recursive formalism to describe results of the subject, even if the proofs are based on the formalism of
Turing computability; b) use the term Churchs Thesis (in a narrow sense: the identication between general recursive
functions (or partial recursive functions) and the computable functions) to denote various theses, including the Turing Thesis
(viz., all intuitively computable functions are Turing Machine-computable.); and c) name the subject using the language of
recursion (e.g., recursion function theory). This issue will be of some importance later on, but I now move on to a description
of the manner in which computer scientists have used recursive techniques.
Naturally, the way in which computer scientists employ recursion is similar to that of mathematicians, but some differences are worth pointing out. In a programming language such as LISP, for instance, the step-by-step list of instructions for
completing a taskdthe proceduredcan contain steps that are dened in terms of previous steps, much as recursive denitions (Abelson and Sussman, 1996; SICP, from now on). In the case of the factorials, the recursive step is rather obvious in its
LISP procedure (note the Polish notation): (if ( n 1)), 1; (* n (factorial ( n 1))) (SICP, pp. 334). More importantly, procedures
such as these generate computational processes in which an operation calls itself during the course of its real-time implementation, thereby creating chains of deferred operations, the hallmark of recursive processes. The factorials, however, can be
computed non-recursively as well (that is, without self-calls and chains of deferred operations), and it is a well-established
result of the literature that any task can be solved either recursively or iteratively.6 Given that an iterative computation doesnt
carry deferred operations, it is usually a less costly way of solving a task, where cost refers to the memory load incurred by
the architecture implementing a given computation, an issue that doesnt concern the mathematician as much as the
computer scientist; that being the case, some attention has been devoted to those tasks that naturally call for a recursive
3
Having said that, though, it would be a mistake to claim that each class involves a different understanding of recursion. That is, just as the primitive
class doesnt yield a primitive notion of recursion, as WEA seem to suggest, the general or partial classes dont provide general or partial notions of what
recursion is.
4
We might, however, point out that Kleene (1952, pp. 260 et seq.) draws a distinction between denitions by induction, or recursive denitions, and
inductive denitions, the latter also known as mathematical induction. The focus here will fall on recursive denitions, and mathematical induction wont
be discussed much, if at all.
5
Note that even though Turings model was shown to be equivalent to the partial recursive functions or Posts production systems, this is an extensional
equivalence: all these formalisms converge on the same output given a specic input. However, there are intensional differences among these formalisms,
as the inputoutput pairs are achieved differently. In fact, Moschovakis and Paschalis (2008) call algorithms based on recursive denitions recursors and
those based on a Turing Machine iterators.
6
This already follows from the extensional equivalence mentioned in the previous footnote: given any inputoutput pair, such a pair can be computed
recursively by a production system as much as it can be computed iteratively by a Turing Machine. In any case, further support for this contention can be
found in Rice (1965), where it is demonstrated that all recursive relations can be reduced to iterative relations, and in Liu and Stoller (1999), who provide an
optimization technique that can automatically transform recursive computations into iterative ones.
59
solution. Roberts (2006) has drawn attention to complex tasks that can be divided into simpler instances of the overall
problem (think of the recursive denition of the factorial class, for instance), whilst Wirth (1986) has centred his attention on
a type of data structure that corresponds to recursive procedures, the [v]alues of such a recursive data type [containing] one
or more components belonging to the same type as itself (p. 172).
The postulation of recursive data structures points to a difference between mathematical logic and computer science, as
the latter eld posits such objects independently of whether they are generated or manipulated by recursive computations. In
general terms, Rodgers and Black (2004) dene a recursive data structure as an object or class that is partially composed of
smaller or simpler instances of the same data structure.7 That is, a structure that includes an abstraction of itself (an X within
an X), trees, lists and the like constituting the prototypical cases (trees inside other trees, or lists inside lists, etc.). In
contrast, mathematicians restrict the recursive property to functions or rules and never apply it to objects (I will come back to
this below).8
In any case, it is important to emphasise that every recursive construct here delineated (functions, procedures, processes,
data structures) has been shown to be recursive for the very same reason: each one of them contains a self-reference or selfcall. Having established what recursion is, I now turn to the introduction of recursive techniques into linguistic theory.
3. The historical facts

The origins of generative grammar are of course to be found in the writings of Chomsky in the 1950s and 60s, and that
stretch will be our main focus, at least to begin with. This statement doesnt obviate the fact, let it be clear, that Chomsky made
use of various contemporary ideas in the process of constructing his grammar; his great achievement, I suggest, was to put
together a very original synthesis of these ideas, and going beyond them.9 Some of these ideas might be mentioned in what
follows, but they wont be terribly important for our purposes. In any case, the two most important works of Chomskys from
the 1950s are, as far as our purposes are concerned, The logical structure of linguistic theory (LSLT), written in 19556 but
published in 1975, and a small portion of that work that was published in 1957, his Syntactic structures book. Despite their
prominence, however, it will be more instructive to look at some of the works Chomsky published in the 1960s rst, as these
provide a better grounding for the foundational underpinnings his generative grammar was to have; we will come back to
these two works soon enough.
In a series of papers in 1963 (Chomsky and Miller, 1963; Chomsky, 1963; Miller and Chomsky, 1963), we nd the rst ample
discussion of issues such as the distinction between competence and performance, the levels of description a theory must
meet, the expressive power of natural language, and many more. In particular, Chomsky and Miller (1963) outline the format
of the generative procedure underlying language, our main point of contention here. Adopting the production systems of Post,
Chomsky and Miller (1963) explicitly recognise that this computational formalism is underlain by recursion when they state
that the / relation mediating the conversion of some structure f1,.fn into some structure fn1 can be interpreted as
expressing the fact that if our process of recursive specication generates the structures f1,.fn, then it also generates the
structure fn1 (p. 284). According to Pullum (2011, p. 288), this is no more than a summary of Post production systems, and
this is certainly correct. The main point to keep in mind is that a denition by induction is a central property of production
systemsdindeed, recursion justies the very transformation from the lefthand side of the arrow to the righthand side; or in
other words, every set so generated is a recursively-dened object. As shown above, it was Post himself who drew attention to
this point, and this seems to have been acknowledged by Chomsky from the very early stages of generative grammar.
The inuence of mathematical logic on Chomskys thought was very deep indeed. In Chomsky (1965), it is stated that a
grammar must meet formal conditions that restrict it to the enumeration of recursive sets (p. 208), and similar statements
are offered in the rst edition of his Language and mind book, re-edited in 2006 but originally published in 1966: in general, a
set of rules that recursively dene an innite set of objects may be said to generate this set (p. 112); and, generative grammar
recursively enumerates structural description of sentences (p. 165). The rst quote here is a bit confusing, though, as I think
Chomsky meant to write the recursive enumeration of sets rather than the enumeration of recursive sets. Recursively
enumerable and (general) recursive sets were introduced by Post (1944) as the objects over which his production systems
rangeddthe objects produced, that is. A set is recursively enumerable if there is a mechanical procedure that can list/
enumerate all its members, while a set is (general) recursive if there is an algorithm that can determine whether a given
element is (or is not) one of its members. Given that Chomsky (1980, pp. 11926) discusses the issue of whether a grammar
The reference can be found at http://xlinux.nist.gov/dads/HTML/recursivstrc.html.

Cf. Gersting (1982, p. 131), who lists four different constructs to which recursion can be applied within computer science: a recursive sequence (wherein
the rst one or two values in a sequence are known, and subsequent items are dened in terms of earlier ones); a recursive set (wherein a few specic items
are known to be in a set and the other items are built from combinations of items already in the set); a recursive operation (wherein a small case of an
operation gives a specic value and the other instances of the operation are dened in terms of the smaller cases); and nally, a recursive algorithm
(wherein the behaviour of an algorithm is known for the smallest values of an argument, while for larger values of an argument, the algorithm invokes itself
with smaller argument values).
9
I thank Mark Brenchley for drawing my attention to this issue.
8
60
ought to seen as a device that generates recursive sets (that is, as an algorithm that determines whether a given sentence is
grammatical or not) and dismisses it, I take it that in retrospect the attention in his 1965 book was on recursively enumerable
sets rather than on the enumeration of recursive sets.10 As such, then, a generative grammar is no more than a recursive
denition of a specic set, as Pullum (2007, p. 1) puts it.
The general recursive property of the grammar is also outlined in LSLT, I believe, especially in pages 1945, but in the
Syntactic structures book we encounter confusing talk of recursive devices in terms of the closed loops of nite-state
machines (Chomsky, 1957, p. 24). Be that as it may, there is a more prominent application of recursion within production
systems in LSLT and later publications, and it is very important that we are very clear as to what this is, including what role it
plays in the grammar. Naturally, production systems had to be adapted for linguistic practice, and thus the strings Post
manipulated were replaced with linguistic symbols (such as N, for nouns, NP for noun phrases, V for verbs, etc.), giving rise to
a particular and internal application of recursion within specic rules. Namely, in those cases in which the same symbol
appeared on both sides of the arrow, such as in the rule NP / N NP, capable of generating structures in which NPs are
embedded inside other NPs, as in Johns [brothers [teachers book]].
It is important to emphasise that this internal application of recursion within specic rulesdcall them recursive (rewrite)
rulesdis very different from the general recursive property of production systemsdcall the latter recursive specication (of a
generative procedure). Indeed, the latter is quite simply a central feature of Posts production systems qua nite, mechanical
proceduredevery set, recall, is a recursively generated onedand a wide-ranging look at Chomskys writings clearly shows
that his main interest has always laid on the general recursive property of the grammar and not on the internal application.
As stated, the internal application of recursion has been more prominent in the generative grammar literature overall.
On one front, there has been some discussion regarding where in the grammar should one nd recursive rules. In the early
years, the generative procedure was divided into two components: the base (composed of rewriting rules that returned
strings with associated phrase markers) and the transformational system (a component that would convert phrase markers
into other phrase markers, preserving structure). In LSLT, Chomsky goes to great lengths to rid the rst component of
recursive statements, as recursive rules are called there. He codied this as a non-recursion requirement for the base
component (pp. 51718), which he vigorously defended at length. In Chomsky (1957), consequently, the recursive property
of certain rules is unsurprisingly ascribed to the transformational system, but Chomsky (1965) assigns it to the base
component instead.11
On another front, the focus on the internal application of recursion within specic rules was to produce rather important
results for what came to be known as the eld of formal language theory. Chomsky (1956) showed that production systems
could be employed to characterise different collections (classes) of formal grammars and the sequences of symbols (also called
strings; these sequences constitute the corresponding formal languages) that these grammars are said to generate/produce. A
ranking can then be so devised as to classify these grammars in terms of their expressive power; that is, in terms of the sort of
strings a specic formal grammar can generate. Some of the most important classes include the context-free (with rules such
as A / a and exemplars of the following type: an bn) and the context-sensitive grammars (with rules like fAj/faj that can
generate an bn cn strings), both of which make use of recursive rules (the word context refers to the material that appears on
either side of the arrows). Chomsky (1956) also showed that certain linguistic expressions could not be generated by some of
the grammars he identied; in particular, it was claimed that natural language could not be accounted for by a grammar
below the context-free class, as recursive rules like S / aSb were necessary in order to generate self-embedded sentences.
Given this rather specic point regarding a grammars expressive power, it is perhaps not surprising, as I will show, that the
literature sees such a close connection between recursion and self-embedded sentencesdmistakenly so, as I will argue
below.12
I wont be much concerned with either of these two fronts here. For now I just wish to point out that in Chomskys
aforementioned Language and mind book, wherein the recursive enumeration of a grammar was highlighted, we also nd
comments that are hard to square with recursively-specied procedures. Indeed, in two different parts of that book the
recursive property of language is actually identied with an embedding operation that forms [S.]s within other structures
(p. 27), as in derivations in which an NP is rewritten into (DETerminer) N (that S), where S(entence) is reintroduced from an
early stage of the derivation (p. 128). Note, rst of all, that what the recursive specication of a procedure does is no more
than recursively dene every stage of a derivationdthat is, every object that a production system generates is a recursivelydened setdand this bears no relation to an embedding operation. Note, also, that all a production system does, at least as
conceptualised by Post, is rewrite a string of elements into another string, making the whole approach a string substitution
system. It is therefore not obvious how one can relate an embedding operation with a rewrite rule, be the latter recursive or
10
I should point out that the 1965 quote comes from a footnote that accompanies some speculation as to whether language is Turing-complete or no;
however, as there is no obvious direct relation between the generation of recursive sets and Turing-completeness, I stick to my interpretation as to what
Chomsky had in mind with that choice of words.
11
As late as the 1970s, Chomsky was adamant that the base component was neither structure-dependent nor structure-independent (see his comments
in Piattelli-Palmarini, 1980, p. 314), the suggestion being, I believe, that the base component is a string-rewriting system through and throughdit is the
transformational component that is structure-dependent.
12
Note that this front involves the issue of the expressive power of a grammar, what has come to be known as the weak generative capacity (i.e., the
generation of strings); the linguist, however, is interested in strong generative capacity (the generation of structure), a notion that still awaits
formalisation.
61
not, unless it is done by stipulation or conation. After all, we described a rule-rewriting grammar above as a formalism in
which the rewriting rules of the base component return strings for which a phrase marker (a syntactic tree, that is) is
associated, the latter then further operated upon by the transformation component, and this is a pretty standard
description of a rewriting grammar. Such a take on things is very different indeed from a formalism in which an embedding
operation is explicitly outlined. As a case in point, a tree-adjoining grammar, a formalism in which tree-rewriting operations are in fact postulated (see Frank, 2004 for a brief description), exhibits very different properties and features from a
production system.
In any case, by the 1970s and 80s, most of the rewriting rules were in fact being eliminated from the theory, perhaps
completely so by the time Chomsky (1986) was published. With the advent of so-called government and binding theory, the
emphasis was placed on structural congurations and constraints, as it was then argued that rewriting rules were merely
recasting lexical properties, and therefore were redundant (Chomsky, 1986, p. 83). Some of these lexical properties have to do
with the discovery that all syntactic phrases appear to respect the same geometry, a specierheadcomplement(s)
conguration,13 and this information could be placed in the lexicon instead of having rewriting rules generate this basic type
of geometry for each phrase. This result appears to apply cross-linguistically, with the further corollary that from a specic
point of view a sentence is nothing more than a complex of such specierheadcomplement(s) phrases, which suggests a
very general type of recursive structure indeed (Moro, 2008; Lobina, 2011b).
Even though the emphasis translated from the generative procedure to the structural constraints of phrases during the
government and binding years, one global computational operation was retained: move-alpha. In fact, even during this
period Chomsky was still claiming that a generative grammar had to provide a recursive enumeration of linguistic objects
(Chomsky, 1981, pp. 113), and one can only assume that he had move-alpha in mind for such a jobdafter all, if there isnt a
computational operator, there wont be an enumeration of any kind. In the 1990s, though, the minimalist program redirected
linguistic theory to the study of the mapping function from lexical items to the interfaces, and one single mechanism was
identied for this purpose: merge (Chomsky, 1995b). Moreover, Chomsky has been rather clear that recursion underlies
merge, as it is a procedure that recursively constructs syntactic objects from [lexical] items.and syntactic objects already
formed (Chomsky, 1995b, p. 226).14
A recent description delineates merge in very general terms as a set-theoretic operation in which repeated applications
over one element yield a potentially innite set of structures, drawing an analogy between the way merge applies and the
successor function (Chomsky, 2008; cf. Kleene, 1952, p. 21). The successor function also underlies what is known as the
iterative conception of set (Boolos, 1971; Forster, 2008), a process in which sets are recursively generated at each stage
(Boolos, 1971, p. 223), which has moved Forster (2008) to state that what mathematicians really mean by the iterative
conception of set is, in the terminology of modern computer science at least, the recursive conception of set (p. 97). Strictly
speaking, this is incorrect; for a process to be recursive, according to the terminology of computer science, it must contain
chains of deferred operations, the result of an operation calling itself, but this is not the case here. Rather, by recursively
generated at each stage we understand the repeated application of the successor function, drawing our attention to the
analogy between the way sets are inductively generated.and the way the natural numbers.are inductively generated from
0 (Boolos, 1971, p. 223). The process really is iterative, it just happens that every stage of the iteration is recursively generatedda subtle distinction between process and generation. In fact, Chomsky (2000), to bring this historical account to an
end, clearly states that the language faculty is a recursive denition of a set of expressions (p. 98).15
Note, then, that the place of recursion within the minimalist program is exactly the same as it was at the very beginning of
generative grammar: the central part of the grammar is a recursively-specied generative procedure. Surprisingly, very few
scholars have recognised this aspect of Chomskys theory, even while tracing the history of how production systems were
replaced by merge, as is the case with Bickerton (2009). As it happens, Bickerton fails to recognise the general recursive
property of either production systems or merge. Failing to spot the latter is perhaps the result of not understanding what the
iterative conception of set entails, while the former can only be put down to an unawareness of the relevant facts concerning
Posts systems. As a result, Bickerton is left wondering why Chomsky keeps insisting on this recursive property, given that he
cannot see it anywhere.
An exception is to be found in the works of Tomalins (2006, 2007, 2011), albeit with some discrepancies to what I have
attempted here. According to Tomalin (2007), the term recursion is best avoided in linguistics and replaced by inductive
denition, its original meaning in any case, given that recursion is taken to mean very different things by different people. I
am certainly in agreement with Tomalins contention that denition by induction (what he calls, confusingly, an inductive
denition; see supra) is the original meaning of recursion, and whilst the narrative he offers regarding its place in linguistics is
similar to what I have offered here, I also believe that it is not quite right (let alone as detailed as what I am trying to do here).
13
This is the result of so-called X-bar theory; see Moro (2008) for relevant comments.
Note, nevertheless, that the aforementioned result regarding the general structure of linguistic objects remains. If so, then, all merge does is generate
structures of the following, skeletal kind: [.head.[.head.[.head.[.head.]]]]; it is only logical to suppose that all human languages do in fact
exhibit such structures.
15
To keep with the analogy to the natural numbers, we may follow Benacerraf (1965) and ascribe to syntactic objects the same properties he ascribes to
the natural numbers. Thus, we can advance that the set of grammatical sentences forms a recursive progression, as manifested in the overall structure
which the members of the sequence jointly exhibit (Benacerraf, 1965, p. 69). In this sense, linguistics, like arithmetic, may well just be the science that
elaborates the abstract structure of a specic type of progression; namely, a recursively-specied, linguistic progression of objects.
14
62
In particular, Tomalin (2007) identies two relevant excerpts from Chomsky (1995a), both of them used in the present essay,
that he takes to be highly illustrative of the locus of recursion within the minimalist program; on page 226 of that work,
Chomsky states that merge recursively constructs syntactic objects, and given that a syntactic object is in turn recursively
dened (that is, it is dened by induction) on page 243, Tomalin (2007) concludes that merge should be viewed as a procedure that utilises inductive denitions (p. 1799). Note, then, that the inductive denition merge is said to use refers to the
recursive denition of a syntactic object, whereas what I have defended here is that the correct place of recursion within the
theory of language Chomsky has constructed lies in the recursively-dened steps of a computation instead, making the
transition from production systems to merge a much smoother one.
That being said, however, Tomalin proceeds to list a number of theoretical constructs, most of them from computability
theory (some of which include l-denable functions and Turing computability; more are added in Tomalin, 2011), which he
claims are treated in the (linguistics?) literature as being synonymous with recursion, and I nd this aspect of his discussion
very unconvincing indeed. First of all, in both Tomalin (2007) and Tomalin (2011) recursion is portrayed as having different
senses in relation to different classes of recursive functions, but this is an odd position to hold, for these classes of functions
are all recursive in the same sense: they are all dened by induction. Of course, the different recursive functions effect
different input-output relations, but it doesnt follow from that that recursion means something different in each case.
Secondly, it is one thing to state that, say, l-denable functions are equivalent to partial recursive functions (or to a Turing
Machine), it is another thing completely to claim that anyone is using the term recursion to mean a Turing Machine or the l
calculus, as Tomalin suggests. In any case, Tomalin has certainly not provided enough compelling evidence to prove that such
a state of affairs holds in linguistics (some of his claims are based upon one single citation, more often than not in the absence
of any context), let alone that this is the main problem regarding how linguists employ the term recursion. As such, then, I see
no reason to support his call to replace the term recursion with an inductive denition; the problems, as I will show below, lie
elsewhere.16
In any case, if what I have described in this section is indeed a correct assessment of the history of generative
grammar, what on earth is there to disagree about? What indeed. Before moving on to that, though, let us briey
comment upon a question that is lurking in the background of this discussion: why the need for recursion in the rst
place? Ever since the advent of generative grammar, Chomsky has insisted that a theory of language must account for
what he calls the discrete innity of language, a property he claims to be reected in the behavior of speaker[s]
who.can produce and understand an indenite number of new sentences (Chomsky, 1957, p. 15).17 Moreover, he has
been adamant that recursion constitutes an explanation for this phenomenon; indeed, it is claimed in LSLT that it is the
recursive character of phrase structure rules that allows for the generation of innitely many sentences (pp. 1712). The
connection between recursion and innity has been maintained ever since; a recent statement of his has it that all
recursion means is discrete innity, the need to enumerate the potentially innite number of expressions (in PiattelliPalmarini et al., 2009, p. 387).
There has been a lot discussion in the literature regarding whether the set of grammatical sentences of a language is
really innite, and whether such a thing can even be proven with the tools of linguistics and mathematics (Langendoen and
Postal, 1984; Langendoen, 2010; Pullum and Scholz, 2010). Theres also been some discussion on whether recursion and
innity are necessary constructs of a theory of language, some arguing that these are either unwarranted idealisations or
simply unsupported assumptions (Luuk and Luuk, 2011; Tiede and Stout, 2010). It seems to me, however, that the issues at
hand have not been treated appropriately; in particular, these publications have failed to look at the aims and motivations
that moved Chomsky to introduce recursion into linguistics. In one sense, whether one can prove the actual innitude of a
language is by the by, for Chomskys main point has always been that linguistic productivity clearly exceeds human
memory, and thus that a derivational account of linguistic knowledge must be provided. According to Chomsky, it will not
do to provide a list of constructions or structural constraints that sentences must t into, a computational system must be
delineated instead.
Given that this was the main motivation, it is not at all surprising that Chomsky looked to recursion function theory for a
mechanical procedure that would take the nite amount of information the brain holds and generates therefrom the very
many sentences we can produce and understand. After all, the results achieved in the 1930s and 40s by mathematicians and
logicians must have been rather inuential in the world and milieu in which Chomsky found himself in the 1950s; indeed, for
many years Kleene (1952) was the main textbook on those topics, and as Soare (1996) has shown, the terms recursion and
recursive came to be regarded as being synonymous with computation and computable within the eld, a state of affairs to
which Kleenes book greatly contributed and that must have inuenced Chomsky and many others signicantly. I shant stop
to consider whether these factors make the employment of recursion for the purposes Chomsky had in mind a less secure
one, though. Whilst a valid point (one could imagine a non-recursive computational system, after all), I will assume that the
16
In addition, Tomalin does a bad job of chronicling both the introduction of recursion into linguistics and the subsequent developments this concept
undertook. His 2006 book analyses the inuence the formal sciences had on Chomsky, but his focus there lies on work Chomsky did before Syntactic
structures, published in 1957. Surprisingly, the very last chapter of Tomalins book, republished as the 2007 paper, travels all the way into the future to
Chomsky (1995a), so no historical narrative is in fact on offer (it is as a result surprising that Tomalin calls this paper a reconsideration of recursion in
linguistic theory). As for his 2011 publication, his worries there are exclusively centred on Chomsky (1957), which is not the best place to look for what
Chomsky took recursion to be.
17
I think the word indenite has it right in this quote, as I will explain in a bit.
63
place of recursion in linguistics, at least as conceptualised by Chomsky, is justied and proper and proceed with the sort of
analysis I advertised at the beginning of this essay.18,19
The following section will provide a rather rapid description of the work of many scholars, and I will certainly not
discuss the ner details of any of the publications I will citedthats really not that important here. Instead, I aim to
highlight what it is that these scholars are talking about, rather than what it is that they are saying about what they are
talking about. That is, I want to lay out the actual topics these scholars are engaged with, an exercise that hasnt so far
been carried out in the literature, despite the main publications on the topic. In particular, I will show that even though all
these authors purport to be talking about recursion, that is not quite right; nor could it be said that these scholars are
discussing different aspects of recursion, for in most cases these papers equate recursion with a phenomenon that has
little to do with it.
4. A story of conations
What on earth to disagree about, I asked towards the end of the previous section. As a matter of fact, and as far as the
recursive property of language goes, none of the publications I have cited so far gave rise to much criticism or even commentary, even though Chomsky was rather specic on this topic therein.20 It is not until the publication of Hauser et al. (2002)
(HCF) that we nd much disagreement in the literature, and this is perhaps unfortunate, for a number of reasons. First of all,
recursion didnt actually feature extensively in that article; rather, HCF constitutes an evolutionary and comparative
conjecture regarding the possibility that the language faculty may be the result of various systems and principles. Indeed,
recursion is therein dened in very general terms as a neurally implemented (p. 1574) computational mechanism (p. 1573)
that yields a potentially innite array of discrete expressions (p. 1574) from a nite set of elements (p. 1571). Secondly, it
appears that both Hauser and Fitch hold a different idea from Chomskys regarding what recursion actually is. As is clear in
Hauser (2009) and Fitch (2010), for example, these authors identify recursion with an embedding operation (an operation
that puts an object inside another, bigger object), whereas Chomskys focus has always lied on the recursive generation at the
heart of the language faculty. Indeed, a self-embedding operation is unrelated and unrelatable to recursive denitions.
Moreover, it seems to me that it is easier to connect HCFs vague characterisation of recursion to Chomskys interpretation
than to what appears in either Hauser (2009) or Fitch (2010).
Be that as it may, an early commentary on HCF, Pinker and Jackendoff (2005), has it that recursion refers to a procedure
that calls itself, or to a constituent that contains a constituent of the same kind (p. 203), the accompanying footnote suggesting that the or in that sentence is not to be understood as exclusive disjunction. Therein, indeed, we are told that
computer scientists usually distinguish between true recursion and tail recursion, the latter being a procedure [that] invokes
another instance of itself as a nal step (or, in the context of language, a constituent [withdDJL] an identical kind of constituent at its periphery) (Pinker and Jackendoff, 2005). No references are offered in this footnote, so we cant know what
practice of computer scientists they are actually referring to; in any case, I take true recursion to simply mean recursion, and
point out that the distinction computer scientists usually draw in descriptions of recurrent computational processes is between recursion and iteration. In fact, tail recursion is a subtype of recursion and bears a rather subtle relation to iteration, one
that is in some ways dependent upon the programming language being used.21
In any case, it is not clear why Pinker & Jackendoff summon computer science rather than mathematical logic, given that
there are some differences in the manner in which these two disciplines treat the notion of recursion and Chomsky was
clearly inuenced by the latter and not the former. As mentioned earlier, mathematicians have mainly focused on recursive
functions and the sets these generate, whilst computer scientists have focused on recursive procedures, recursive processes,
and recursive data structures. More importantly, the highlighted quote jumps from a property of a computational procedure
18
Contra Tiede and Stout (2010), then, it is not the case that innity and recursion are interconnected notions that one of them must be assumed and the
other derived from it. Rather, the unbounded and novel linguistic behaviour is the observationdthe explanandumdand a recursively-specied computational system is the explanans. Contra Mukherji (2010, p. 213), in turn, self-embedded sentences are not the evidential basis for recursion, novel linguistic
behaviour is.
19
As mentioned earlier, Sieg (1997) believes that it is most natural to regard generative procedures as nitary inductive denitions (p. 166), which may
be taken as a suggestion that recursion is central to what a computation is. As Soare (2009) has pointed out, though, there is a difference between Posts
systems, which are meant to generate (list) a set of integers, and the formalisms of Church or Kleene (general recursive and partial recursive functions,
respectively), which aimed to identify the class of computable functions. The apparent equivocation between recursion and computation, the result, recall,
of what Soare (1996) calls the Recursion Convention, may be the key to understanding Chomskys insistence upon recursion, but I will not pursue that
conation here. We might also add that what used to be called the recursion function theory eld is now most properly referred to as computability theory; in
addition, what Post used to call recursively enumerated sets and recursive sets are nowadays known as computably enumerated sets and computable sets. I
will just state that in a recent set of interviews, Chomsky points out that innite systems (such as language) were only properly understood once
mathematicians had formalised notions such as nite axioms, algorithms, and recursive procedures (his terms, in Chomsky, 2012, p. 64), and that statement
tells us a great deal about where Chomsky was coming from, I believe.
20
As an exception, Corcoran (1972) argues that Chomskys use of recursion wasnt a great deal in itself, given that logicians had already mastered
recursive techniques by then. An interesting comment, I think, but one that centres on denitions by induction and their role in mathematical logic;
certainly not a remark that meddles with the number of conations to be listed here.
21
Technically, a tail-recursive process is one in which the self-call takes place at the end of the computation, constituting the exit operation. However, the
issues are a bit more complicated than that, as discussed in SICP, pp. 33 et seq. Therein, SICP point out that in LISP a tail-recursive process is one in which a
recursive procedure produces an iterative process.
64
(a tail recursive one) to a property of structures (complex constituents and the like, the linguistic context Pinker & Jackendoff
allude to), but the transfer from one to the other is wholly unwarranted, as I will show below.
In more general terms, though, a large number of scholars within cognitive science seem to hold the belief that recursive
procedures only generate recursive structures; or to go in the opposite direction, that recursive structures can only be
generated (or processed, in the case of real-time behaviour) recursively. This is the rst conation I aim to air out, and then
shoot down:
Conation I: Confusing recursive mechanisms with its products.
Perhaps the clearest culprits are Corballis (2011) and Jackendoff (2011), but a few others are mentioned and discussed in
Lobina (2011b), a review of a book on recursion and language, and in Lobina (2011a), a critique of the manner in which
articial grammar learning experiments have probed recursion (some of the scholars there treated will be discussed below).
In Corballis (2011), we nd that recursive rewriting rules are employed to dene the resultant structures as recursive; a sort of
denitional technique, that is. This is not only unnecessary, but its likely to confuse rather than clarify. It is unnecessary
because rewriting rules are not in fact needed to so dene the structures Corballis has in mind. After all, Corballis also
considers the possibility of recursive structures in general cognition, but with no attempt whatsoever to delineate the underlying systems that would generate them. Indeed, all he does is describe mental structures that are structurally similar to
self-embedded expressions, and no more is in fact needed to drive his point. Moreover, in one of the early footnotes in his
2011 book (ft. 7, p. 229), Corballis notes that even though he has been told that rewriting rules are an old-fashioned way of
showing the structure of sentences, he doesnt think that this is a problem for his exposition. Actually, rewriting rules were
employed in order to generate sentences rather than to show their structure (even if they could be so employed), and Corballis
couldnt carry out the same strategy with merge, as this mechanism proceeds in the same manner for both embedded and
self-embedded structures alike, and yet self-embedded sentences are different from embedded sentences.22
Jackendoff (2011) offers an even clearer example of this conation. After drawing a distinction between what he calls
formal recursion (a set of rules that can apply to its own output) and structural recursion, the usual allusions to the formal
sciences included, but without referencing anything at all, he tells us that evidence for the former relies on the latter (pp. 592
3). I dont doubt the usefulness of such a distinction (even though the denition of formal recursion is partly mistaken), but
the last statement would certainly have surprised a 1950s Noam Chomsky, for the noted linguist was at the time keen to use
recursive techniques in order to account for the constant, novel linguistic behaviour he thought was the normdrecursive
structures were certainly not the evidential basis for formal recursion.
In any case, the obvious point to make here is that the existence of recursive structures in a given cognitive domain does
not necessarily mean that they were, or indeed, that they must be, generated recursively. This was already alluded to above in
the context of the extensional equivalence of various computational formalisms, but a more specic example will clarify.
Supposedly self-embedded an bn strings can be generated by both recursive rules such as S / a(S)b and by non-recursive
chains of rules like the following: A / aB, B / aC, C / aD, D / bE, E / bF and F / b.
The main problem, in any case, is that by accepting this conation one ends up holding the mistaken belief that if recursive
mechanisms are the only specic part of the language faculty, then this should be reected in the presence of self-embedded
sentences in every language of the world. This is of course the main point of contention in the literature, but its hard to
understand why so many scholars hold this view. Take van der Hulst (2010), the aforementioned collection of papers on the
role of recursion in language. As Lobina (2011b) has chronicled, many of the papers in that collection start by quoting HCFs
recursion hypothesis, whatever they take this hypothesis to actually involve, and then move on to the issue of the universality
of self-embedded sentences. However, given the way in which the actual hypothesis reads, it is hard to understand the interpretations it has given rise to; to quote in full:
We propose in this hypothesis that FLN [the faculty of language in the narrow sensedDJL] comprises only the core
computational mechanisms of recursion as they appear in narrow syntax and the mappings to the interfaces (p. 1573)
Given what this quote actually says, why would anyone, rst of all, identify the phrase computational mechanisms with
self-embedded sentences? And further, why would the combination of self-embedded sentences, if this is what is to be
understood by the expression the core computational mechanisms of recursion, and interface mappings constitute the unique
and central part of the language faculty? Admittedly, the core computational mechanisms of recursion is a somewhat
infelicitous choice of words, but surely HCF dont hold the beliefs these two questions point to. Such is the state of the eld,
and this is perhaps clearest in the case of Dan Everetts study of the Pirah language (2005, 2008, 2009, 2010).
Everetts work, however, fails to properly engage with Chomskys introduction and use of recursive techniques. Everett
(2010), in particular, starts with the important book-keeping matter of dening recursion, and he offers two interpretations, one that characterises recursion as an operation that applies over its own output, and another that is basically a
denition of a recursive set (p. 1). Ten pages later we are told that these denitions are what computer scientists mean by
22
Corballis (2011), it has to be said, contains a barrage of errors: p. 7 conates recursive generation and embedding; on p. 23, I-language is described as a
language of thought; and on ft. 12, p. 229 Corballis offers his peculiar take on the history of generative grammar: deep structure gave way to Universal
Grammar, and this in turn to I-language; and the latter, by implication, to the language of thought.
65
recursion, but no references are offereddperhaps unsurprisingly so. In any case, after stating that he will keep to the rst
denition, he moves on to a study of self-embedded sentences within Pirah, but nowhere are we shown that there is a direct
connection between an operation that applies over its own output and self-embedded sentences. Be that as it may, his
conclusion, as is well-known, is that the Pirah language lacks all types of self-embedded structures, and therefore this
constitutes, for him at least, a clear refutation of not only HCFs hypothesis, but of Chomskys paradigm in toto (Everett, 2008,
p. 229). Based on what was chronicled in the previous section, however, this cannot be the case, for recursion was introduced
into linguistics as a general feature of the underlying generative procedure, and it certainly doesnt depend upon the presence
of self-embedded sentences. Thus, I can only be in agreement with Tomalin (2011), for whom Everetts claims are fallacious.
As a result, Everett is reduced to a rather precarious situation in order to salvage his claims. Tellingly, none of the publications of his that I have cited here quote or discuss any of the sources I used in the previous section, his focus exclusively lying
on HCF instead, and all this accompanied with rather unsubstantiated claims regarding the history of recursion in linguistic
theory. The actual line of his argument goes something like this in his Dont sleep, there are snakes book. Computer scientists,
linguists, psychologists, and philosophers identify recursion with a matryoshka-doll characteristic (things inside other
structurally-equivalent things, that is; pp. 2278). Recursion was introduced into linguistics as a way to account for the innite
use of nite means, even though no linguist could really provide a coherent story of what that expression really means in
scientic terms (p. 228). Even though recursion has traditionally always meant the ability to put one item inside another of the
same type (Everett, 2008), a curious thing has happened since his work was published, Everett continues, as the denition of
recursion has mutated among Chomskys followers, now simply meaning some form of compositionality (p. 229).
The whole argumentative thread is clearly incorrect. The recursive algorithms of computer scientists, or the recursive
functions of mathematicians and philosophers, dont exhibit any sort of self-embedding, but a self-referential feature instead;
that is, these algorithms and functions compute values that have been computed by earlier applications of the same algorithms
and functions, but there are no functions embedded into other functions. Also, the mathematicians of the 1930s and 40s quite
clearly showed how nite axioms could compute/generate innite sets, be in terms of partial recursive functions, production
systems or a Turing machine. Taking his heed from these results, Chomsky introduced recursion into linguistics in the very
sense of these now-famous studies from the formal sciences; its traditional connotation in linguistics if anything is. Whats
more, the denition of recursion hasnt really changed recently, at least not in the case of Chomskys writings, as I have shown
here (as mentioned, Everett doesnt actually discuss any individual publication of Chomskys). In the end, in his 2010 paper, and
despite his protestation as to the lack of clarity vis--vis recursion in HCF (p. 1), he is reduced to selectively extracting those
quotes from HCF that can be used to make his case (6 lengthy citations in the space of a couple of pages, as it happens), ignoring
most of the history of generative grammar, and that is a practice that doesnt strike one as particularly good scholarship.
Be that as it may, whether Pirah exhibits self-embedded sentences or not is an interesting topic in itself, and this issue can
certainly be approached independently of the recursive generations merge effects. As mentioned, treating objects themselves
as recursive is very common in computer science but unheard of in mathematical logic, but I fail to see why that ought to have
any import into linguistics. It is true that mathematical logic only allows recursive objects (such as recursive sets) if they are
the output of recursively-dened functions, and this practice of mathematicians seems to have blinded some, such as Collins
(2008), into believing that a linguistic object cant be described as recursive unless it is generated by a recursive function (pp.
1601). Collins discusses this very issue in the context of the arrays of asterisks that Pinker & Jackendoff have used in various
publications to make a point about recursive data structures in domains other than language; therein, Collins argues that the
collection of asterisks cant be regarded as recursive independently of the function that generates it, but it seems to me that
this criticism is unpersuasive.23 Linguistics, after all, is not mathematical logic, so why should linguistic theory be so constrained? In any case, the distinction between recursive mechanisms and recursive structures is, it seems to me, a useful one,
and one that has featured in the literature extensively.24
As mentioned, according to Pinker and Jackendoff (2005) a recursive structure results when a constituent.contains a
constituent of the same kind (p. 203), which is a more particular denition to the general one I provided supra. Naturally, it is
rather important to establish what the X within an X of my denition stands for. In the case of the denition employed by
Pinker and Jackendoff (2005), kind refers to the category of the element that heads a constituent. Accordingly, an XP within an
XP would be a case of recursion whereas an XP inside an YP would not be. As stated earlier, however, the language faculty
appears to generate recursive structures of a very general type in terms of specierheadcomplement(s) (SHC) phrases. As
such, I venture to say, merge recursively constructs Pirah objects as much as it constructs the syntactic objects of any other
language: they are nothing but bundles of SHC phrases.
Before moving on to the next conation, there is a subtler version of conation number one that is worth discussing, one
that doesnt centre on recursive computational mechanisms, but on the very recursively-dened functions mathematical
logic intensively studied in the 1930s and 40s. One example is to be found in Arsenijevi
c and Hinzen (2010), a rather
23
Mind you, the point made in, e.g. Jackendoff and Pinker (2005, p. 218), seems a banal one. Therein, they present an array of asterisks organised in
columns and rows to make the point that for, say, a grouping of ve asterisks, the ones in the middle could be interpreted as being embedded into the
bigger series. There is no obvious internal hierarchy among the asterisks, however, apart from Jackendoff & Pinker telling us that we could entertain such an
interpretation.
24
This paragraph supersedes the conclusion in Lobina and Garca-Albea (2009), where it was suggested that recursion should only be applied to
computational mechanisms and not to objects.
66
unexpected occurrence, as one of the authors has elsewhere correctly characterised merge as being underlain by the successor
function (namely, in Hinzen, 2009). In fact, Arsenijevi
c and Hinzen (2010) start by appropriately describing merge as a
recursive function (p. 166), but immediately after, in a blink-and-you-miss-it sort of moment (that is to say, within brackets),
they further state that this is reected in the observation that linguistic expressions may exhibit structure in which a category
becomes a part of a bigger category of the same kind.
Crucially, however, recursive functions and self-embedded sentences are not comparable in nature or structure. The latter,
but not the former, exhibits a containment relation between two elements of the same category; recursive functions, on the
other hand, are dened with a two-equation system in which the recursive step computes values in terms of previously
dened values, but there is no self-embedding of any kind. The self-calls merely point to the values a simpliciter function
calculates, but there is no hierarchy of functions (think of the factorial of 4, which becomes 4 (factorial 3), and then the
factorial of 3 turns into 3 (factorial 2), and so on until reaching the base case).
Similarly, MacWhinney (2009), right after stating that he will identify recursion with an inductive analysisdreferencing
Tomalin (2007) and Bar-Hillel (1953)dprovides examples for the syntactic effects of recursion, namely relative clauses (p.
406), apparently oblivious to the fact that self-embedded sentences and inductive denitions bear no relation whatsoever.25
This is the second type of conation I will list here, a rather puzzling one, I must admit.
Conation II: Conating recursively-dened functions and self-embedded sentences.
If scholars have confused the self-reference so typical of recursively-dened functions with self-embedded sentences,
others couldnt perhaps be faulted for conating the recursiveness of some rewriting rules and self-embedding operations.
This blending, at least, doesnt go from a property of a computational mechanism to a property of structures; it simply fuses
two different computational operations into one. Fitch (2010) is a case in point. After announcing that he will be discussing
key distinctions in the understanding of recursion for the biolinguistic enterprise, he proceeds to describe how this term is
understood (or ought to be understood) in computer science, metamathematics, and linguistics. I will focus on Fitchs
treatment of recursion within linguistics only, for his discussion there bears no relation to what he has to say about the place
of recursion in computer science and metamathematics. Indeed, after offering a more or less adequate outline of recursion in
the formal sciences, Fitch stipulates, rst of all, that in linguistics a recursive rewriting rule has the property of self-embedding
(p. 78); then, he claims, it has been a long-standing linguistic stipulation that a self-embedding rule generates a selfembedded structure (p. 80). As a consequence, Fitch equates recursion with a self-embedding operation, a connotation he
does not connect with what he has outlined before in the formal sciences.
As a matter of fact, it is erroneous to equate a recursive rewriting rule with a self-embedding operation, for a rewriting rule
is recursive on account of the self-call it effectsdit knows nothing about embedding (or self-embedding) structures into other
structures. As a result, Fitch (2010) is in actual fact interested in the study of self-embedded structures, as evidenced in his
belief that constructing the right interpretation of a self-embedded structure constitutes an empirical indicator for
recursion (pp. 8081), wilfully unaware, it seems, that a self-embedded structure bears no relation to a denition by recursion
(i.e., to the property that makes merge a recursive generator). This is clearly an unfortunate lapse into semantics for a notion
that is intrinsically syntactic; that is, a notion that only refers to the nature of the generative or processing mechanism,
independently of the interpretation the resultant structure receives. More importantly, we are owed an explanation as to why
this could tell us anything about recursive generation (competence) or processing (performance), as opposed to the nature of
self-embedded structures only. Let us state conation number three thus:
Conation III: Conating recursive rules and self-embedding operations.
There is something more at stake here, however. It is certainly true that the replacement of production systems with merge
involves the further postulation of an operation that embeds (an object) within some construction.already formed
(Chomsky, 1995b, p. 248). However, the last point should not be confused with the aforementioned denition of merge as a
procedure that recursively constructs syntactic objects. That is, embedding objects into other objects is an aspect of what
merge does, the recursive generation that takes place at each stage of a derivation being another. To complicate things further,
there is also the question of how precisely merge proceeds; how one stage of a derivation is followed by another is yet another
aspect of computational systems. Consequently, it is important to stress that recursion and (self-)embedding are two different
things, as (for that matter) are (self-)embedded structures and (self-)embedding operations. To believe otherwise is to
confuse, among other things, what an operation does with how it proceeds. This is the last and perhaps more widespread of
the conations I am calling out.
25
Its not clear how the sources this scholar cites connect with an inductive analysis, though. I have already discussed Tomalins work supra; as for BarHillel (1953), this paper suggests that the social sciences might benet from employing recursive denitions. Presumably, Bar-Hillel was interested in a
more precise denitional technique for theoretical constructsdor as he put it, recursive denitions are a perfectly legitimate means of concept formation
(p. 162)d, but this employment of recursion does not relate to either the recursive specication of generative procedures or recursive rewriting rules.
Interestingly, Chomsky (1955, p. 45) manifests his agreement in spirit, while two years later sees success along these lines unlikely (Chomsky, 1957, p.
58)din any case, Chomsky (1995b, p. 243) provides a recursive denition of syntactic objects.
67
Conation IV: Confusing what an operation does with how it applies.

The main problem with this conation is that the literature seems to be confusing a recursive step in a computation with
an operation that embeds elements into other elements. As far as computer scientists are concerned, recursion is a property of
how an operation proceeds, and not of what an operation does; indeed, a great number of computations can be specied
recursivelydthe factorials, the Fibonacci series, etc.dbut they all exhibit different combinatorial operations.26
Unfortunately, the conation between these two different things is rather common in the literature. Many examples can
be found in van der Hulst (2010), some of which I will discuss in what follows. I will only provide the full reference of the
contributions I treat more extensively, otherwise I will just state the last name of the authors (for a review of the overall
collection, see Lobina, 2011a).
Some of the contributions to this book (namely, those of Karlsson, Verhagen, Kinsella, Harder, Hunyadi) discuss various
constructs and it is necessary to clarify what they stand for; these include centre-embedding rules, tail-recursive rules, the
sort of structures these generate, their relationship, etc. A centre embedding rule is supposed to generate nested structures in
which a sentence is embedded in the middle of a bigger sentence, like those which were called self-embedded expressions
supra: [the mouse [the cat [the dog bit] chased] ran away]. A tail-recursive rule, on the other hand, embeds elements at the edge
of sentences, either on the left-hand side (Johns [brothers [teachers book]]) or on the right-hand side (the man [that wrote the
book [that Pat read in the cafe [that Mary owns]]]). These terms, however, while constituting a redundant excess in terminology,
have absolutely nothing to do with the recursive character of the rules themselves, only to the type of embedding the
resultant expression manifests.27
A centre-embedding rule, after all, is not a rule in which the reexive call occurs, literally, in the middle of a derivationdno
linguistic theory actually derives centre-embedded sentences in such a manner. The employment of the term tail-recursive is
perhaps more unfortunate, as the self-call of these processes, recall, is not an instance of a (self-)embedding operation; the
recursive call of tail-recursive algorithms is one that takes place at the very end of a computation, but what operation exactly
it carries out depends upon the precise computation that is being implemented. In any case, a nested structure on the lefthand side of a sentence cannot be the result of a tail-recursive rule as these scholars understand it if the derivation process
undergoes the left-to-right applications of rewriting rules, and this is even more true in the case of the bottom-up derivations
merge carries out. In a nutshell, these terms refer to specic properties of structures, not of operations. If anything, these
scholars are guilty of supposing that the structure of a computational process manifests itself in a transparent manner in the
object so constructed, but that is a rather puzzling belief to hold.
A particular case of this conation is to be found in Parker (2006) and Kinsella (2009).28 Curiously, this author denes
recursion in terms of what sort of operation it carries out, whilst iteration is dened instead in terms of how it proceeds,
thereby disentangling these recurrent operations into two very different classes. As such, iteration involves, Kinsella tells us,
repeating an action an arbitrary number of times (Kinsella, 2009, pp. 1159), while recursion implicates embedding an object
within another instance of itself (Kinsella, 2009). She claims to derive these denitions from the computer science literature
(Kinsella, 2009), but once more not a single reference is provided. In the end, it is quite clear that she is focused on recursive
structures and not on computational mechanisms, as she quite explicitly states that recursion inherently involves semantics
(p. 127), this being exemplied in two constructions only: possessives and subordinate clauses (p. 150). As a result, Kinsella
has been unable to identify the recursive quality of merge, which she confusingly denies by stating that merge is a procedure,
while recursion is a characteristic (ft. 20, p. 129).
Going back to van der Hulst (2010), some of its contributors seem to have a much stronger claim in mind. Karlsson, following
Parker (2006), contends that nested recursion rules (what others call centre-embedding rules) cannot be reduced to iterations (while tail-recursion supposedly can), a claim that is repeated by Harder (p. 239) and, with qualications, in Zimmerer &
Varleys contribution (p. 397). They could not possibly mean this as a general point about computability theory, however. In
fact, one of the references we used above is indirectly mentioned in van der Hulst (2010, p. 347)dnamely, Liu and Stoller
(1999)dwhich, it will be recalled, offers a framework that provides automatic transformations of any type of recursion into
iteration, an optimization technique that can cope with the most complex of recursive relations, such as multiple base cases
or multiple recursive steps, of which Fibonacci sequences are an example (contrary to what Fitch, 2010, p. 78 seems to think).
If this point does not hold for mechanisms, one may still wonder if it holds for structures.29 Some of the papers just
mentioned seem to believe that self-embedded sentences cannot be converted into other types of phrases, but this is explicitly
denied in Kinsellas contribution (p. 188). As she makes clear, even if languages like Pirah were shown to fully do without self-
26
SICP offer recursive and iterative computations for both the factorial class (pp. 334) and Fibonacci sequences (pp. 39 et seq.).
These denitions are redundant because these structures had already been dened long ago, and in clearer terms to boot. Chomsky (1965) drew a
distinction between nested constructionsdnamely, phrases A and B form a nested construction if A falls totally within B, with some nonnull element to its
left within B and some nonnull element to its right within B (p. 12)dand self-embedded structuresdthat is, a phrase A is self-embedded in B if A is nested
in B and, furthermore, A is a phrase of the same type as B (Chomsky, 1965)d, whilst Chomsky and Miller (1963) discuss left- and right-recursive structures.
If anything, these denitions demonstrate that structures have been dened as recursive from the very beginning of generative grammar, and unproblematically so, I may add.
28
Both papers belong to the same author; a version of the former appears under the authors married namedKinselladin van der Hulst (2010).
29
In fact, the claim that recursion cannot be reduced to iteration, whilst typically framed in terms of computational mechanisms, is usually actually
exemplied in terms of structures, a very different claim indeed; as a case in point, see Uriagerekas contribution in Piattelli-Palmarini et al. (2009).
27
68
embedded sentences, this would not translate into an expressive loss to their speakers. That is, there is no reason to believe that
Pirah cannot express [similar] concepts using alternative means (Kinsella, 2009). Indeed, a self-embedded sentence such as
the mouse the cat the dog chased bit ran away seems to be easily convertible into either the dog chased the cat that bit the mouse
that ran away (which I would call a right-branching structure) or the dog chased the cat and the cat bit the mouse and the mouse
ran away (conjunction). This is an old point, actually. Langendoen (1975, p. 199) mentions that English extraposition allows the
conversion of centre-embedded structures into right-branching ones; and of left- and right-branching sentences into coordination. This aspect of the discussion is perhaps the clearest sign that there is a conation at heart: even though most of the
claims here treated are framed in terms of computational operations, they actually only refer to the structural features of
sentencesdwhats more, this diagnostic applies, mutatis mutandis, to all the other conations.
I should end this section by briey discussing two further issues. One of these was alluded to earlier: some scholars talk of
recursive generation very loosely as a process that applies over its own output (e.g., Boeckx, 2009; Hornstein, 2009; Everett,
2009). That a recursive process involves an operation that applies over its own output is of course trivially true, but it does not
differentiate it from iteration, both processes being cases of recurrencesdthus, both processes apply over their own outputs.
What distinguishes one from the other is that a recursive process involves a self-call; thus, a recursive operation applies over a
part of its own output, the rest typically being operations and structures that are kept in memory (in a stack) as the internal,
recursive applications proceed to resolve each sub-task. This is rather clear in the recursive computation of the factorials; the
very rst output of the computation of the factorial of 4 is (4 factorial 3), and the next operation takes only (factorial 3) as its
input, not the entire output (the bit (4 ) is kept in memory, to be completed later on).
The other issue has to do with whether syntactic derivations proceed recursively in the technical sense of computer
science. I dont know of any evidence suggesting that linguistic derivations proceed recursively in this sense, though. It seems
to me that there are no chains of deferred operations in syntactic derivations, and that merge recursively constructs syntactic
objects successively instead. There is no contradiction here, but the point is likely to confuse and confound. Both Bickerton
(2009) and Luuk and Luuk (2011), for instance, cant recognise the recursive nature of linguistic generation because all
they see is that merge reapplies its embedding operation in an iterative manner; what they fail to realise is that every stage of
a derivation, much as every stage of a production system, is postulated to be recursively dened. This is exactly the same point
I made earlier regarding the iterative conception of set in relation to Forsters confusion as to why it is called the iterative
rather than the recursive conception. If so, then, a syntactic derivation is an iterative succession of recursive generations. As a
matter of fact, Chomsky (2004) talks of merge being both a recursive system and iterable (p. 108), which certainly points to the
distinction I am drawing in this paragraph, but perhaps not as explicitly as I am drawing it. Let us then end this section here
and restate, reorganise, and rephrase the main points to bring home in the conclusion.30
5. What recursion could not be
As stated above, Chomsky introduced recursion into linguistics in order to account for discrete innity, a central property
of language and of what he calls the creative use of language; the latter, to wit, refers to the ability to understand and produce
an unbounded number of sentences in appropriate circumstances and relatively free of external stimuli (see, for instance,
Chomsky, 2006). This unbounded number of sentences need not be innite in any precise sense; what the phrase is meant to
exemplify, in my opinion, is simply the observation that the number of sentences we can produce and understand goes way
beyond the nite memory we possess, and that therefore a generative procedure must be provided if we are to account for our
linguistic knowledge. For this very purpose, Chomsky made use of the tools that were at hand at the momentdnamely, those
of recursion function theoryd, given that mathematicians had managed to formally explain how innite systems could be
modelled in nite means. Even though Chomsky initially adopted Posts production systems, his take on what recursion
actually consists of appears to go beyond this particular formalism, taking this property to be central to what a computation in
general is. As Soare (1996) has chronicled, this was certainly the spirit of the times, perhaps still extant in some quarters
today; whether the beliefs and practices surrounding Soares Recursion Convention are well-founded, and whether, derivatively, it is still proper to centre on recursion in our theories of language, I have not and will not discuss here. What I can say,
what I have said, with most certainty is what recursion is supposed to stand for within the theory Chomsky has constructeddwith remarkable consistency, I should add.
The recursive property of language, such as Chomsky has understood it, is a central feature of both production systems and
a set-operator like merge; it is the denition by induction that justies every stage these generative procedures produce,
independently of what operation exactly a given formalism effects. Production systems are strictly speaking string-substitution
systems (structure being subsequently associated to the strings), while merge has been postulated to combine two syntactic
objects into a compound, and then carrying on by merging syntactic objects into an ever more complex unit. There are,
therefore, two different aspects, or perspectives if you wish, to what these generative procedures do; on the one hand, they
recursively generate objects (strings or sets), while on the other, they effect a precise combinatorial operation (string-substitution in one case, embedding in the other). There is of course still the issue of how these procedures proceed, that is, of how
30
These last paragraphs supersede the material in Lobina and Garca-Albea (2009), where merge is correctly described as proceeding iteratively but the
recursive generation it carries out at every stage is missed. Everett (2012) uses this source to argue that a syntactic derivation need not proceed recursively
at all, but his point is undercut by the distinction between an aspect of what merge does (in this case, recursive generation) and how it proceeds.
69
the computational processes these procedures generate shape updthe structure of a derivation as opposed to the structure of
an object. Given that both production systems and merge apply one single operation in successionda recurrencedthe derivation may be recursive or iterative, in the technical sense in which these two are understood within computer science. It is not
clear, however, that there are any grounds for believing that a linguistic derivation proceeds recursively in this sense.
Be that as it may, the literature here surveyed has been found to be rather wanting. In particular, most of the scholars I have
discussed have been unable or unwilling to track the history and application of recursion in linguistics, at least as exemplied
in Chomskys writings, and it is hard to understand this aspect of the literature; Chomsky has been rather clear, and in
numerous publications to boot. As a result, most studies have focused on the nature of self-embedded sentences (or on the
nature of self-embedding operations), and on whether this type of sentences is present in all languages of the world. As I have
tried to show, those issues, whilst important and interesting in themselves, have little to do with recursion as this concept has
been understood within mathematical logic, the connotation Chomsky has always employed, it seems. As such, there is a bit
of a disconnect between what Chomsky is talking about when talking about recursion and what other linguists are talking
about when talking about recursion. As a result, rather incompatible claims are being put forward in the literature; indeed, to
defend that what is universal in linguistics is the recursively-dened operations of a computational system (clearly Chomskys
take) is very different from the claim that all languages must exhibit self-embedded sentences if recursion is to be accepted as
such a central concept (Everett is probably the most prominent example of this line of thought). In any case, by devoting so
much space to the listing and exposition of the number of conations one can nd in the literature, I have been able to be
more specic regarding the different aspects of generative procedures (what they are, what they do, how they proceed, their
independence from the structures they generate, etc.), and that could be of some use to the eld.
In order to end this paper, I should say that it is not my intention to offer any advice or suggestions; conceptual analysis and
not semantic hygiene was my aim here. In particular, I have wanted to nd out what the presumed centrality and importance
of recursion actually amounts to, not to mention its hypothesised uniqueness and universality. So what does it all mean, then?
To repeat and recap. Recursion is a property of the computational system underlying the faculty of language, a feature of the
theory linguists construct and thereby part of any human language insofar as a generative procedure is to be prescribed for
what has been called knowledge of language, the subject matter of linguistics. In addition and independently, this system
generates recursive structures of a very general kinddbundles of specierheadcomplement(s) phrasesda geometry so
basic and principal that no language could possibly do without. The recursive property of the generative procedure appears to
be a necessity, whereas the general recursive structure of linguistic expressions a contingency; nevertheless, both properties
are part of the language faculty in toto, and derivatively of every natural languagednot the other way around.31
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LOBINA What Linguists Are Talking About When Talking About...

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Language Sciences 45 (2014) 5670

Contents lists available at ScienceDirect

What linguists are talking about when talking about.

1. In the way of a justication

E-mail address: david.lobina@philosophy.ox.ac.uk.

D.J. Lobina / Language Sciences 45 (2014) 5670

D.J. Lobina / Language Sciences 45 (2014) 5670

D.J. Lobina / Language Sciences 45 (2014) 5670

3. The historical facts

The reference can be found at http://xlinux.nist.gov/dads/HTML/recursivstrc.html.

D.J. Lobina / Language Sciences 45 (2014) 5670

D.J. Lobina / Language Sciences 45 (2014) 5670

D.J. Lobina / Language Sciences 45 (2014) 5670

D.J. Lobina / Language Sciences 45 (2014) 5670

D.J. Lobina / Language Sciences 45 (2014) 5670

D.J. Lobina / Language Sciences 45 (2014) 5670

D.J. Lobina / Language Sciences 45 (2014) 5670

D.J. Lobina / Language Sciences 45 (2014) 5670

Conation IV: Confusing what an operation does with how it applies.

D.J. Lobina / Language Sciences 45 (2014) 5670

D.J. Lobina / Language Sciences 45 (2014) 5670

D.J. Lobina / Language Sciences 45 (2014) 5670

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