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Editors
De Gruyter Mouton
Edited by
Gnther Grewendorf
Thomas Ede Zimmermann
De Gruyter Mouton
ISBN 978-1-61451-215-8
e-ISBN 978-1-61451-160-1
ISSN 0167-4331
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Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Gunther Grewendorf and Thomas Ede Zimmermann
11
43
69
91
Zeljko
Boskovic
Discerning Default Datives: Some Properties of the Dative Case
in German . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247
Henk van Riemsdijk
How Phase-Based Interpretations Dictate the Typology
of Nominalizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289
Leah Bauke and Tom Roeper
Scope and Verb Meanings . . . . . . . . . . . . . . . . . . . . . . . . . 321
Edwin Williams
Introduction
Gunther Grewendorf and Thomas Ede Zimmermann
a.
b.
A: John either did some of the reading or he did some of the homework.
B: John did all of the reading, but youre right, he didnt do all of
the homework.
Due to the illocutionary role of Bs utterance (1b), one of the scalar implicatures
of (1a) gets cancelled, while the other one is preserved. This suggests that implicature calculation may depend on discourse structure a hypothesis that Asher
pursues and generalizes, ultimately developing a unified account of implicatures
as defeasible implications that also captures more intricate cases of embedded
implicatures that seemingly support localist approaches of implicature calculation.
Portners contribution provides an analysis of two related properties of imperatives: (i) their variation in discourse function and (ii) their licensing of free
choice inferences. With regard to (i), it is argued that imperatives are semantically uniform, and that their wide range of interpretations is explained by two
factors: differences in the grounds for issuing a given imperative and the logical
relationship between the imperative and other commitments of the addressee.
Concerning (ii), the same ideas which are used to analyze permission, in combination with an alternatives semantics for disjunction and indefinites, are able
to explain free choice and related phenomena, such as Rosss Paradox and the
licensing of any.
Van Rooij and Franke address a puzzle concerning performative uses of
declarative sentences. As the following pair illustrates, threats may be expressed
by conditionals or corresponding disjunctions, in accordance with logically motivated paraphrase:
(2)
a.
b.
a.
b.
Using techniques from game theory to model the difference between promises
and threats, the authors provide a purely pragmatic explanation of the observed
distribution of use conditions. Retaining the logical equivalence between disjunctions and conditionals, the analysis exploits the difference in wording and,
in particular, an asymmetry created by mentioning and thus bringing to the fore,
different possibilities.
The second part of this volume deals with the question of how the constitution of sentence types can be related to properties of functional categories in the
clausal periphery. Based on a cartographic approach to sentence structure the
contributions of this part of the collection show that in left-headed languages,
the functional heads of the left clausal periphery have interpretive effects on the
interfaces that determine the semantic properties of scope-discourse configurations as well as the prosodic properties associated with information structure.
It is also shown that in a right-headed language like Japanese, the configuration
of the functional heads that are relevant to the determination of sentence types
form a right-peripheral mirror image of the left clausal periphery.
Rizzis contribution illustrates some of the results of cartographic studies
on the left clausal periphery and discusses the implications of the cartographic
approach for the study of the interfaces that connect syntax with the systems
Introduction
of sound and meaning. In particular, Rizzi shows that the functional heads assumed by the criterial approach not only have a syntactic function in attracting
elements to the periphery of the clause but also have interpretive effects on the
interfaces with meaning and sound: they signal the interpretive properties of
scope-discourse configurations and give instructions to the prosodic component
to yield the appropriate contour associated with the various discourse functions.
He then compares the cartographic approach, which assumes that complex syntactic configurations are derived by a simple computational system, with an
approach that proceeds from a simpler functional lexicon, assuming only a
single C-layer and admitting multiple adjunctions to TP. Rizzi argues that the
cartographic approach is conceptually and empirically superior to the simpler
approach in that the latter shifts crucial non-interpretive properties such as
positional and co-occurrence restrictions (including parametric variation) to the
interfaces, and is unable to deal with phenomena such as co-occurring multiple
C-particles or the distributional properties of topic and focus particles. By contrast, the cartographic approach simplifies the burden of the interface systems
by syntacticizing scope-discourse functions without enriching the computational system with specific mechanisms operative at the interfaces. Finally, Rizzi
shows that the criterial positions associated with interpretive properties such as
Force, Focus, Aboutness etc. have the effect of delimiting movement chains
(by Criterial Freezing) and thus offer new ways of approaching the classical
problem of locality.
Saito investigates the complementizer system of Japanese and claims that
this system is identical to the complementizer system of Spanish. He shows that
Japanese has three phonetically distinct complementizers the functions of which
correspond to the three (phonetically non-distinct) Spanish complementizers
posited by Plann (1982): a complementizer (to) that introduces paraphrases or
reports of direct discourse, a complementizer (ka) that selects questions, and a
complementizer (no) for embedded tensed propositions, which represent events,
states, or actions. Based on the observation that these complementizers, when
co-occurring, always appear in the order no-ka-to, Saito argues that their hierarchical organisation correlates with the functional structure that Rizzi (1997)
suggested for the Italian left clausal periphery: no represents the head of FinP,
ka is located in the head position of ForceP, and to is the head of a ReportP
that is located above ForceP and is not represented in Rizzis system. He then
shows that in Japanese, Topic heads can be (recursively) generated above Fin
and below Force, which leads him to the conclusion that the peripheral clausal
structure of Japanese can be represented as a right-peripheral mirror image of
the Italian left periphery:
4
(4)
Based on a cartographic framework, according to which different syntactic positions in the functional structure of the clause overtly express different interpretations, Belletti shows that cleft constructions display interpretive variations
that correlate with variation in their functional structure. Her crucial assumption
is that for all clefts, the sentential complement selected by the copula represents
a reduced CP that lacks the highest ForceP layer. She then points out interpretive differences between subject and non-subject clefts. While the former can
be utilized as an answer to a question of information as well as an expression
of contrastive focalization, non-subject clefts can only have the latter option.
Belletti therefore assumes that a clefted subject that is interpreted as the (noncontrastive) focus of new information moves into the low vP-peripheral focus
position of the matrix copula, passing a left-peripheral EPP-position in the reduced CP complement. By contrast, clefted constituents that are contrastively
focused (subjects as well as non-subjects) move to the left-peripheral focus
position in the reduced CP complement of the copula. The fact that only subject clefts can undergo movement to the internal focus position of the matrix
clause is shown to be a consequence of independent locality principles: in the
presence of the EPP in the left periphery of subject clefts, object movement
is excluded due to relativized minimality; in non-subject clefts, where there is
no left-peripheral EPP, long movement of non-subjects can be excluded by the
phase impenetrability condition. Since wh-extraction from the reduced CP cannot utilize the embedded left-peripheral focus position due to criterial freezing,
wh-clefts are analyzed as extraposition of the embedded FinP combined with
remnant movement of the reduced CPs entire FocP. Finally, Belletti shows that
other structures such as the sentential complement of perception verbs share
crucial properties with the configuration of clefts.
The contributions in Part III of the volume deal with the interaction of lexical
elements and clausal functional categories, each of them revealing unexpected
parallels between clause structure and the internal structure in other, particularly
lexical categories, including the role of their peripheries.
Boskovic shows that there is a surprising interplay between the internal syntax
and semantics of the traditional Noun Phrase and clause-level phenomena. He
argues that there is a fundamental structural difference between languages with
articles such as English, and article-less languages such as Serbo-Croatian. On
the basis of several new generalizations, crucially related to the role of articles,
Boskovic demonstrates that this difference can be captured by the assumption
that article-less languages lack the category DP, which yields a typological distinction between DP languages and NP languages. The new generalizations that
Introduction
a.
b.
Tisch.
Das Buch liegt
auf dem
the book is-lying on theDAT table
a.
b.
I only paid 5 dollars for it. I paid only 5 dollars for it.
/ I bought it only 5 dollars for it.
I only bought it for 5 dollars.
Williams then goes on to show how the asymmetry between verbs and prepositions is naturally accounted for within the Representation-theoretic architecture
of Williams (2003): like clauses, prepositional phrases may be subject to Level
Embedding.
The papers collected in this volume were selected from the contributions to
the conference 10 Years After, which took place in Frankfurt in June 2009, organized by the members of the Graduiertenkolleg Satzarten (Research Training
Group on Sentence Types), a temporary doctoral program supporting students
in theoretical and descriptive linguistics and specializing on the particular problems surrounding the distinction between the major clause types. The conference, which marked the end of the program, brought together a number of international experts who have advised and supported our students over a period of
Introduction
roughly 10 years (thence the title). In the name of our current and former students
and colleagues, we would like to take the opportunity to thank our advisors for
continuous support and encouragement, as well as the Deutsche Forschungsgemeinschaft (German Research Foundation) for their generous funding. Finally,
we would like to thank Benjamin Hubner, Jonas Metzler, Jacob Schmidkunz,
Christian Stidronski and Dina Voloshina for helping us with the preparation of
the manuscript.
It was our decision not to include any indices in this volume.
Frankfurt, November 2012
GG & TEZ
Part I.
Semantic and Pragmatic Properties
of Sentence Types
Implicatures in Discourse
Nicholas Asher
1.
Introduction
Implicatures are an interesting case study for the role of discourse in interpretation and in grammar generally. Scalar implicatures are the result of a defeasible
inference.
(1)
a.
b.
(1a) has the implicature that John didnt have all the cookies, this implicature
can be defeated by additional information, as in (1b). Nevertheless, scalar implicatures seem closely tied to lexical choice or structural factors, which has
led some authors, most notably Chierchia (2004) but also Fox (2007) and others to incorporate the generation of implicatures within the syntax-semantics
interface i.e., clearly at the core of grammar. However, scalar implicatures
share the characteristic of defeasiblility with inferences that result in the presence of discourse relations that link discourse segments together into a discourse
structure for a coherent text or dialogue call these implicatures discourse or
D-implicatures. I have studied these inferences about discourse structure, their
effects on content and how they are computed in the theory known Segmented
Discourse Representation Theory or SDRT.
This paper argues for the centrality of discourse structure in linguistic interpretation by detailing how discourse structure provides an important source of
information to computing scalar implicatures. Scalar implicatures have typically
received a Gricean treatment based on reasoning about the content of sentences
in isolation since the work of Larry Horn (1972). I show here how the Gricean
tradition has missed an important, indeed decisive, component in the calculation
of implicatures. This has general implications for the way discourse structure is
treated within grammar. I argue that discourse structure affects scalar implicature and that much the same procedures are operative in both. So if implicatures
are part of the grammar discourse structure is too. By integrating discourse and
implicature together, we get some nice consequences: at the theoretical level, we
12
Nicholas Asher
have a unified and relatively simple framework for computing all implicatures;
second, we have a clear account of the interaction of D-implicatures and scalar
implicatures in many cases; finally, we can capture the intuitions of so called
localist views about scalar implicatures, while making this compatible with a
broadly Neo Gricean framework; finally, since in my view discourse structure
triggers scalar implicatures, this goes some way towards explaining the variability of embedded implicatures noted recently (e.g., Geurts and Pouscolous
2009).
2.
D-implicatures
a.
b.
c.
d.
Implicatures in Discourse
13
a.
b.
c.
d.
If it was late, John took off his shoes and went to bed.
If it was late, John went to bed and took off his shoes.
If John drank and drove, he put his passengers in danger.
The CEO of Widgets & Co. doubts that the company will make a
profit this year and that (as a result) there will be much in the way
of dividends for shareholders this year.
In both (3a) and (3b), the D-implicature that there is a narrative sequence between
the two clauses in the consequent of the conditional survives under embedding,
and (3c) shows that this holds in the antecedent of a conditional as well. (3d)
shows that the causal relation of result holds when embedded under a downward entailing attitude verb. Discourse relations like explanation occur between
clauses under modals and other elements of discourse in a sort of quantifying
in way as in (4a) and (4d). Note that the paraphrase of (4a) is (4c) not (4b).
(4)
a.
John broke his leg. Sam told me (I think, Its likely) he slipped on
the ice.
b. #John broke his arm because [Sam told me (I think, its likely) he
slipped on the ice.]
c. John broke his arm. Sam told me (I think, its likely) its because he
slipped on the ice.
14
Nicholas Asher
3.
1
2
3
4
5
(5)
A = {0 , 1 , 2 , 3 , 4 , 5 , 6 , 7 }
F (0 ) = Elaboration(1 , 6 )
F (6 ) = Narration(2 , 5 ) Elaboration(2 , 7 )
F (7 ) = Narration(3 , 4 )
Last = 5
In SDRT we can abstract away from the details of the structure to get a
graph representation, which is relevant to computing discourse accessibility for
Implicatures in Discourse
15
Elaboration
7
3
Narration
Notice that some discourse relations are represented as vertical arrows in the
graph whereas others are horizontal arrows; these correspond to two different
types of relations subordinating and coordinating relations, and these two
types of relations affect anaphoric and attachment possibilities differently.2 The
non-arrow lines show which discourse units are parts of more complex discourse
units.
3.1. Inferring D-implicatures
Inferring D-implicatures is a matter of defeasible and uncertain inference. Many
of the features used to infer discourse relations are only good indications of a
particular discourse relation or particular discourse structure; very few are in
and of themselves sufficient to deductively infer the relation or structure. Many
discourse connectives are for example ambiguous. In addition, many segments
may bear discourse relations to other segments despite the lack of discourse
connectives or known structural or lexical cues, as in (2a), (2b) or (5). To solve
this problem, my colleagues and I developed a non-monotonic logic, a logic for
defeasible inference, tailored to inferring D-implicatures.
The task of building such a logic is not completely trivial. Integrating nonmonotonicity in discourse interpretation is problematic, especially if this integration occurs at the level of contents or what is said. Reasoning over contents
non-monotonically requires finding a class P of preferred models, those with
the intended discourse relations, and computing validity or logical consequence
2. For a discussion, see for example Asher 2008; Asher and Lascarides 2003.
16
Nicholas Asher
Implicatures in Discourse
17
is available at logical form, but not at the level of semantic content, which is
described in terms of sets of possible worlds. This brings the calculation of
implicatures into an area closer to the syntax-semantics interface, as well see.
GL uses axioms exploiting various resources to get the intended discourse relations to hold between discourse constituents. The general form of such axioms
is this:
General Form: (?( , , ) some stuff) > R( , , )
> is a weak conditional; some stuff is information about , and thats
transferred into the glue language from more expressive languages for other information sources like: compositional semantics, lexical semantics, pragmatic
maxims of conversation, generalizations about agent behavior in conversation,
and domain knowledge. The semantics of > was developed by Asher and Morreau (1991) in a first order non-monotonic logic known as common sense entailment. This is a logic for non-monotonic or defeasible reasoning based on a
weak conditional >. Originally devised to treat generics, I have used a version
of it restricted to a quantifier free description language, the glue language, to
calculate D-implicatures, and it is a relatively adaptable non-monotonic logic. It
has two parts: a basic, monotonic, conditional logic with a standard proof theory
and consequence relation |=, and then a defeasible inference relation | and
a non-monotonic consequence relation | that make use of the basic logic. I
will use the glue logic version of common sense entailment to model both Dand S-implicatures.
Let me briefly recapitulate the basics of common sense entailment restricted
to a propositional language.
A modal generic frame F = W , where W is a non empty set of worlds and
: W P(W ) P(W ) is a selection function. A model A is constructed by
adding a valuation function.
A, w |= A > B iff (w, ||A||) ||B||
the standard clauses for the quantifiers and connectives, though the glue
language itself has quantifier free logical structure.
This semantics for > will be familiar to those accustomed to conditional logics,
and has a complete axiomatization.3
How do we pass from a notion of monotonic consequence to a non-monotonic
one? The idea of the non-monotonic consequence relation is to assume that
matters are as normal as possible given the information in the premises and
3. The axiomatization for the first order language can be found in Asher and Morreau
(1991).
18
Nicholas Asher
to then see what follows. Assuming matters are as normal as possible means
making > as much like the material conditional as possible moving from
if p then normally q to if p then q. There is both a proof theoretic method
for defining nonmonotonic consequence ( |) and a model theoretic method
( | ) for which a correspondence theorem is given in Asher (1995). The proof
theoretic method is less involved, and I briefly sketch it here. First, we define a
A extension of :
{A : A > }, if consistent.
, if not.
For each antecedent A of a > conditional derivable from , define a A
extension of inductively relative to an ordering over antecedents of > statements derivable from the previous stage in the sequence with ,0 = . Every
such sequence has a fix point. We now have the definition:
Definition 1.
| iff for all orderings the fixpoint of each
extension sequence is such that .
4.
With this sketch of commonsense entailment, let us now turn to Grices picture
about implicatures. Grices view of implicatures is that they are calculated after
compositional semantics has finished its job via his famous general maxims of
conversation, quality, quantity and relevance. In principle the Gricean picture
tells the beginning of an attractive story for computing scalar implicatures (Horn
1972, Schulz and van Rooij 2004, Schulz 2007, Spector 2006). Lets take a look
at how the story is supposed to go for the following example (the implicature is
indicated by the ).
(6)
John or Susan came to the party John and Susan didnt both come to
the party.
The derivation of the implicature in (6) uses Grices maxims of quality and
quantity via the following steps.
a. The speaker has said j or s, so she believes that j or s (quality).
b. It follows from the maxim of quantity that that the speaker does not
believe more than this relative to what she could have said (j, s, j
and s): in other words, she only believes j or s, i.e. she does not have
the belief that j, she does not have the belief that s and she does not
have the belief that j and s.
Implicatures in Discourse
19
B(j s) B(j s)
20
Nicholas Asher
4. In particular Sauerlands (2004) restriction is not needed. This is desirable, since this
allows for a straightforward cancellation of the implicatures if the explicit semantic
content contains for example an explicit denial of one of the implicatures.
Implicatures in Discourse
21
Even though the problem of the specification of alternatives remains unresolved, we can still comment on the role of GL in the grammar. GL reasons over
logical forms and so has access to the structure of the predication and of lexical
choice. But more generally, reasoning over logical forms as GL does is preferable to approaches that reason directly over preferred models of information
content (Van Rooij and Schulz 2004, 2006), because it leaves the semantics of
the alternatives intact. Van Rooij and Schulz use a set of alternatives to induce
a partial order on worlds, Information update with will pick those worlds
that are minimal with respect to the ordering. Intuitively, these worlds are just
those that make true but not any more informative response to the question
under discussion.5
The problem with the model minimization technique is its side effects. Minimization tells us that only one person came to the party given this question, and
that seems unwarranted. The mechanism of minimization is too powerful. Here
are some other untoward consequences.
(8)
(9)
a.
b.
Who did John kiss at the party? (Alternatively: Did John kiss all of
the girls at the party?)
John kissed some of the girls at the party John kissed two girls
at the party.
5. More technically, we define the ordering as follows. Let be some sentence and P a
partition.
w, w p P (w, w |= ((w p w p) w w))
The minimization of (6) generates a natural ordering on worlds. The worlds that are
minimal w.r.t the ordering are those where just John comes to the party and no one
else or where just Susan and no one else comes to the party.
22
Nicholas Asher
That is, implicatures result from structural properties of the grammar, not from
any pragmatic inferences based on Gricean maxims. This leads to a recalibration
of the vision of pragmatics within the grammar, putting it much closer to the
core. But as we will see, the notion of structure that is required for generating
implicatures goes far beyond that of sentential syntax.
6. There is another technical problem with minimization. These updates need to be defined relative to very particular models that contain the relevant worlds. They must
not bring any information extraneous to the question at hand all the unmentioned
background facts stay as they were. In the model minimization framework, without
constraints on the sentences for which the models are provided, this constraint cannot
be satisfied in general, and the minimization problem is unsolvable.
Implicatures in Discourse
23
The principal motivation for the localist approach is the presence of embedded implicatures, which can present problems for Neo-Gricean approaches.
(10)
This implicates John didnt do the reading and some of the homework. It also
implicates that he didnt do all of the homework. But it doesnt implicate that
(John did the reading or all of the homework). Since Griceans compute implicatures only on whole utterances or full sentences, its not clear how to get the
second implicature.
While Chierchias example has impressed some linguists as decisive (for
example Danny Fox), the difficulty for Griceans with (10) depends once again
entirely on the set of alternatives chosen. If one of the given alternatives to (10)
is in fact John did the reading or all of the homework, we have trouble using the
Gricean strategy, but if we rule out somehow this alternative and have instead
the set of alternatives consisting just of
(11)
(12)
we would end up with the right predictions. A Gricean could adopt instead a
localists computation of alternatives, while nevertheless maintaining a broadly
pragmatic approach to the derivation of implicatures.
Inspired by Chierchias localist meaning clauses, I define in the Appendix
sets of alternatives using the recursive structure of the logical form and lexically
stipulated alternatives. We can then use Common Sense Entailment to formalize
the broadly Gricean reasoning to derive implicatures of the sort that Chierchia
claims to hold. Moreover, it is an account that is compatible that Griceans can
accept, as weve seen that the computation of the relevant set of alternatives for
implicatures is not something that is forthcoming from Gricean principles alone
but is rather extraneous to it.
The main problem, however, is the Chierchia inspired calculation yields us
implicatures that dont fit the facts. Consider first the exhaustivity implicature
based on disjunction. The epistemic reading of the disjunction is often prominent.
(13)
For many interpreters (13) just conveys that the speaker doesnt know which
of these two alternatives is correct, but in fact both could be. The disjointness
24
Nicholas Asher
If you take cheese or dessert, you pay $ 20 ; but if you take both there
is a surcharge.
(17)
If you take only a cheese dish or only a dessert, the menu is 20 euros;
but if you take both there is a surcharge.
or
(18)
If John owns two cars, then the third one outside his house must be his
girlfriends.
(19)
(20)
If you want more food, you can order either the biryani or the stuffed
naan.
(21)
? If you want more food, you can only order, either the biryani or the
stuffed naan.
7. The Chierchia inspired computation of alternatives isnt convincing either on its own
for other downward entailing operators, even for the example with doubt or not
believe. Prosody here I think is essential to getting the implicature:
(14)
(15)
I dont believe that JOHN has read many philosophy books. (implicature less
strong)
Implicatures in Discourse
(22)
(23)
25
Finally the embedded implicatures which motivate the localist approach are
acknowledged to be less clear cut than originally supposed. Consider
(24)
Every student read some of the books. Every student didnt read all
of the books. (No students read all of the books)
(26)
Every student may take an apple or a pear. Every student may take
an apple and every student may take a pear.
(27)
John slipped on the snow and fell. (Implicature is that the falling is the
result of the slipping.)
(28)
Every student slipped on the snow and fell. (Implicature is that the
falling is the result of the slipping.)
6.
As Larry Horn made clear many years ago, scalar implicatures depend, at least
in part, on scales associated with lexical items. The challenge is to determine
how these scales create a manageable ordered set of alternatives for sentences
that contain them. But while there are, most likely, scales lexically associated
with determiners like some and all and modals like can and most, experimental
research is less clear that adjectives like full, bald also support alternatives in
arbitrary contexts. For open class words, the actual values and perhaps even the
presence or the activation of the scale for the purposes of calculating implicatures
is dependent on discourse context.
26
(29)
Nicholas Asher
a.
b.
c.
d.
In the first question-answer pair with a yes/no question, the lexical scale associated with like isnt really operative or needed to understand the exchange to
an alternative question where the scale is explicitly invoked.
The dependence of implicatures on discourse contexts surfaces in other
places too. Consider, the defeasibility of implicatures and their relation to ordinary semantic entailments. What a localist grammar produces is a pair of
contents, the first element of which is the narrow semantic content of the
discourse, the content given by lexical and compositional semantics, and the
second element of which is the strengthened meaning containing both the narrow content and the implicature. Ordinary semantic entailments are understood
as product entailments of the pair, while implicatures are understood as entailments of the second element. According to localists, the defeasibility of the
implicature is done externally to the meaning computation. Those implicatures
that arent inconsistent with established facts in the common ground or the
narrow semantic content continue to be operative as the discourse content is
computed.
This view of implicatures gives us the wrong results. Consider the following
example of a sentence (30a) generating the embedded implicature in (30b).
(30)
a.
b.
John either did some of the reading or he did some of the homework.
John didnt do all of the reading; John didnt do all of the homework; and he didnt do some of the homework and some of the
reading.
a.
b.
Implicatures in Discourse
27
a.
b.
c.
A Gricean or a localist like Chierchia should predict that (33a)(33c) are OK,
since the implicature to the stronger, exactly meaning of three should be
blocked. However, it is not, and (33b) is infelicitous. Once again, I believe
this stems from an interaction of discourse structure and implicatures: there is
a particular sort of elaborative move going on in the second clauses of (33),
which accounts for the freezing of the implicature. Only a framework like GL
even has a hope of handling such examples.
A final indication that something is amiss with current accounts of implicatures is their fragility. As Chemla (2009) notes, localist theories predict that
8. We can continue this pattern with more complex embedded examples.
(32)
a.
b.
A: Some of the students did some of the reading or some of the homework.
B: At least one student did all of the reading, but otherwise youre right.
It would seem that Bs correction still leaves many of the implicatures of his original
statement intact; hes still committed to the implicature that Some of the students
didnt do all of the homework and that some of the students didnt do all of the
reading and some of the reading. We need a more finegrained notion of implicature
revision in the face of corrections. Contrast also (32b) with (32c):
(32)
c.
28
Nicholas Asher
(34b) should not have the implicature below, making a stark contrast between
(34a) and (34b).
(34)
a.
b.
John didnt read all of the books. John read some of the books.
No student read all of the books. ? All of the students read some
of the books.
For localists, the predicted implicature of (34b) is No student read some book
or some students read some of the books, which is weaker than the implicature
tested by Chemla. However, (34b) is equivalent to:
(34)
c.
and this intuitively (and on a localist theory) implicates that all the students read
some of the books. So equivalent meanings seem to yield distinct implicatures!
This seems to indicate strongly that implicatures depend not only on semantic
content but of something else in addition.
Interestingly, D-implicatures are not closed under arbitrary first order equivalences either. Consider the logical equivalence in (35a). If D-implicatures were
computed on deep semantic content and hence closed under first order equivalences, we would predict no difference between (35b) and (35c) since (35b),
where the relation of Explanation linking the two clauses is inferred, is perfectly
coherent in contrast to (35c), where no discourse relation is inferred:
(35)
Implicatures in Discourse
7.
29
9. Fox (2007), Kratzer and Shimoyama (2002) and Alonso-Ovalle (2005) argue that free
choice implcatures should be treated with the mechanism for scalar implicatures. I
have a rather different take on free choice implicatures, but that would take us too
far afield here. See Asher and Bonevac (2005).
10. See Geurts (2009, 2010) for more support on this point.
30
Nicholas Asher
and in some cases the implicatures are required to maintain the discourse relation
established.11
Lets look at a class of examples in Chierchia, Fox and Spector (2008) that
involve the discourse relation of Correction.
(36)
a.
b.
c.
Joe didnt see Mary or Sue; he saw both. (only a clear exhaustive
interpretation of the disjunction).
It is not just that you can write a reply. You must.
I dont expect that some students will do well, I expect that all
students will.
(36a)(36c) all are only felicitous as corrections of assertions that are echoed
under the scope of the negation. The observation is that the echoic use of correction in (36) makes the embedded implicatures happen. For instance, because we
take the correction move in (36a) to correct the exhaustively interpreted assertion Joe saw Mary or Sue, we have to interpret the embedded clause exhaustively
as well. And then voil`a: we have an embedded implicature.
Asher (2002) (written a decade earlier) provides an analysis of discourse
relations in terms of a map from the source (the constituent to be linked to
the discourse structure) to a target (a discourse constituent that serves as an
attachment point). This map exploits prosodic cues and the logical structure of
the constituents, which can be displayed in a modified embedding or ME graph,
which extends the SDRS graphs I introduced in Section 3 with sentence internal
logical structure (see Asher (2002) for the details, which arent relevant here).
Such maps can also be made to serve an account of discourse triggered scalar
implicatures.12
My account of Correction involves the following constraint:
Correction( , ) only if K entails K and there is a map : such
that there is at least some element x of K ( (x)
x ) > K . The element x is
said to be the correcting element.
Lets look at how such a constraint works. In (36a), we assume an earlier constituent K of the form John saw Mary or Sue that is the target of the Correction
move. As is often the case with Corrections, the second clause in (36a) elaborates on the first. But the Correction move and its elaboration are coherent
only if we assume that an exhaustivity implicature is added to the content of the
assumed, antecedent constituent. That is, K is in this case John saw Mary or
11. For a discussion of more of their data, see Asher (forthcoming).
12. Cf. Schwarzschild (1998) for similar ideas about the interpretation of focus.
Implicatures in Discourse
31
Sue but not both, and the exhaustivity implicature is the target of the Correction.
Without the addition of the implicature, there would be nothing for (36a) to correct. The presumption of discourse coherence, and the interpretation of (36a)
as a correction move triggers, indeed requires, the presence of the embedded
implicature.
Notice that the implicature calculated is relative to the map . The set of
alternatives can be calculated as in the Appendix or simply using the map
itself. Furthermore, the inference of the S-implicature is triggered by the need
to establish the coherence of the discourse move, in this case Correction. Thus,
D- and S-implicatures are codependent; the need to calculate a D-implicature
triggers the calculation of the S-implicature, and it is the S-implicature that
supports the D-implicature. Relations of Parallel and Contrast work similarly
(Asher, forthcoming).
Recall the example I gave above of a non-cancellable implicature.
(33)
a.
32
Nicholas Asher
The same observation of non-cancellability holds in fact for all the implicatures triggered by discourse structure. Consider once again (37) or (38); it would
be completely incoherent to cancel the implicature of the first clause given the
discourse environment provided by the second clause:
(37)
(38)
#If most (in fact all) of the students do well, I am happy; if all of them
do well, I am even happier.
a.
b.
(40)
a.
b.
a.
b.
Given the topic established by (41a), the topic constraint on Alternation is met
and so we get the embedded implicature.
Question-answer pairs also trigger S-implicatures. A question induces a partition on the information state (Asher 2007; Groenendijk 2008). A complete answer picks out one cell in the partition; indirect answers (which stand in the IQAP
relation to the question they address) require reasoning or additional premises
to infer a complete answer. Sometimes the additional information comes from
Implicatures in Discourse
33
a.
b.
(42b) is an overanswer to (42a). By itself (42b) doesnt provide enough information to compute an answer to the question. But the prosodic marking gives
rise to a structure preserving map, an ME graph in the language of Asher (1993)
or Asher (2002), from the response to the question. In this case the prosodically
marked some is mapped to all, and provides the relevant alternative set. The lack
of a full answer also triggers the S-implicature, and including the implicature
that John didnt eat all of the cookies together with (42b) provides a complete
answer to (42a). But (42b) also gives more information than just a simple no
would have.
A response that on its own fails to give a complete answer to a question can
also trigger embedded implicatures and ones that wouldnt be calculated from
standard lexical alternatives for some. Consider, for instance, the S-implicature
of (43b), which is that John believes that not many of the students passed the
exam, or the implicature of (44b) which is that everyone didnt read most of the
books. These implicatures follow given the mappings on ME graphs that map
some to many in (43b) and some to most in (44b).
(43)
a.
b.
Does John believe that many of the students passed the exam?
John believes that SOME of the students passed the exam.
(44)
a.
b.
Notice that once again the addition of the implicatures in these responses gives
us complete answer to the questions they are paired with.
My approach makes predictions about when the implicatures should not
arise, even if the implicature is consistent with the information in the discourse
context.
(45)
(46)
34
Nicholas Asher
a.
b.
This example follows the treatment of polar questions, except there are two
prosodically prominent elements in the response. It is the second that under the
ME graph mapping generates the implicature.
The interaction between questions and answers for generating implicatures
has an effect on how evidence for implicatures has often been gathered. As
argued by Geurts (2009), introspection is a biased method for implicatures. If
youre given
(48)
A question is suggested:
(50)
You now get an overanswer or an indirect answer: IQAP (50), (48). Given the
suggested question, we predict the implicature to hold in this inference task.
The moral of this, however, is that these implicatures need not, and indeed are
predicted not to hold outside of this discourse context.
So how do implicatures arise in the absence of an inference task or in out
of the blue contexts? Sometimes simple prosody suggests something about the
discourse context. Roberts (1996) and Kadmon (2009) argue that prosodic information can tell us something about the question under discussion.
Robertss constraint: the focus semantic value of = the question under
discussion addressed by .
So
(51)
(52)
(53)
(54)
Implicatures in Discourse
35
Robertss constraint doesnt get us the desired implicatures. But we might imagine that something similar holds for certain lexical stressed elements.
A focussed scalar item x in an assertion can give rise to a QUD for which
there exists a structure preserving map : such that for some scale
S, (x) S x.
Using our constraint,
(55)
a.
b.
c.
I predict that the implicatures will be much vaguer without specifying a particular discourse context.
Finally lets go back to implicatures within downward entailing contexts.
Recall that these were a problem for the more finegrained account of the set of
alternatives motivated by the localists.
(56)
does not seem to have, at least in an out of the blue context, the implicature:
(57)
(58) appears to have the predicted implicature, at least in the right discourse
context. For instance, if (58) is part of a Correction, the implicature seems to be
fine:
(59)
a.
b.
36
Nicholas Asher
8.
Conclusions
Implicatures in Discourse
37
38
Nicholas Asher
(60)
This account straightforwardly yields the implicature that John didnt do both
the reading and some of the homework, and he didnt do all of the homework
for (10). Given the scales for quantifiers, no implicatures for the disjuncts are
predicted; the only implicature for (60) is that John didnt do both all of the
reading and all of the homework, as desired.
Multiple implicatures are in principle also not a problem.
(61)
a.
b.
Lets consider (61a). Since the disjunction has wide scope, we deal with that
first using the recursion, we get
s d > (s d) S-alt(s) S-alt(d)
Since this is consistent with the context, we infer using DMP:
(s d) S-alt(s) S-alt(d)
S-alt(s) = Everyone at the party will be smoking and
S-alt(d) = Everyone at the party will be smoking
We predict the desired implicatures. Similarly an example like (62) can be shown
to have the implicature in (63):
(62)
(63)
Implicatures in Discourse
39
I doubt that John has read many philosophy books. I believe that he
has read some philosophy books.
Suppose we simply calculate the bits inside the doubt context via the DE rule
as Chierchia suggests:
(65)
I doubt John read some philosophy books. |= I doubt John read many
philosophy books.
So we get as an implicature
(66)
(67)
References
Alonso-Ovalle, Luis
2005
Distributing the disjuncts over the modal space. In: Leah Bateman and
Cherlon Ussery (eds.), North east linguistics society, vol. 35. Amherst,
MA.
Asher, Nicholas
1993
Reference to Abstract Objects in Discourse. Dordrecht: Kluwer Academic Press.
Asher, Nicholas
1995
Commonsense Entailment: A Logic for Some Conditionals. In:
Gabriella Crocco, Luis Farinas del Cerro and Andreas Herzig (eds.),
Conditionals: From philosophy to computer science, 103147. New
York: Oxford University Press.
Asher, Nicholas
2002
From Discourse Micro-structure to Macro-structure and back again:
The Interpretation of Focus. In: Hans Kamp and Barbara Partee (eds.),
Current Research in the Semantics/Pragmatics Interface, Vol. 11:
Context Dependence in the Analysis of Linguistic Meaning. Amsterdam: Elsevier Science Ltd.
Asher, Nicholas
2007
Dynamic Discourse Semantics for Embedded Speech Acts. In: Savas
Tsohatzidis (ed.), John Searles Philosophy of Language, 211244.
Cambridge: Cambridge University Press.
40
Nicholas Asher
Asher, Nicholas
2008
Troubles on the Right Frontier. In: Peter Kuhnlein and Anton Benz
(eds.), Proceedings of Constraints in Discourse 2005. Amsterdam:
John Benjamins.
Asher, Nicholas
2012
Implicatures and Discourse Structure. Forthcoming in Lingua.
Asher, Nicholas and Daniel Bonevac
2005
Free Choice Permission is Strong Permission. Synthese 145(3): 303
323.
Asher, Nicholas and Alex Lascarides
1998
The Semantics and Pragmatics of Presupposition. Journal of Semantics 15: 239299.
Asher, Nicholas and Alex Lascarides
2003
Logics of Conversation. Cambridge: Cambridge University Press.
Asher, Nicholas and Michael Morreau
1991
Commonsense Entailment: A Modal Theory of Nonmonotonic Reasoning. On: Proceedings of the 12th International Joint Conference
on Artificial Intelligence. San Francisco: Morgan Kaufmann.
Asher, Nicholas and Sylvain Pogodalla
2010
SDRT and Continuation Semantics. LENLS 2010, Tokyo, Japan.
Block, Eliza
2009
Gricean Implicature. Paper presented at the Michigan Pragmatics
Workshop.
Chemla, Emmanuel
2009
Universal Implicatures and Free Choice Effects: Experimental Data.
Semantics and Pragmatics 2(2): 133.
Chierchia, Gennaro
2004
Scalar Implicatures, Polarity Phenomena and the Syntax/Pragmatics
Interface. In: Adriana Belletti (ed.), Structures and Beyond. Oxford:
Oxford University Press.
Chierchia, Gennaro, Danny Fox, and Benjamin Spector
2008
The Grammatical View of Scalar Implicatures and the Relationship
between Semantics and Pragmatics, draft.
Fox, Danny
2007
Free Choice Disjunction and the Theory of Scalar Implicatures. In: Uli
Sauerland and Penka Stateva (eds.), Presupposition and Implicature
in Compositional Semantics, 71120. NewYork: Palgrave Macmillan.
Fox, Danny and Roni Katzir
2011
On the characterization of alternatives. Natural Language Semantics
19(1): 87107.
Geurts, Bart
2009
Scalar Implicature and Local Pragmatics. Mind and Language 24(1):
5179.
Implicatures in Discourse
41
Geurts, Bart
2010
Quantity Implicatures. Cambridge: Cambridge University Press.
Geurts, Bart and Nausicaa Pouscoulous
2009
Embedded Implicatures?!? Semantics and Pragmatics 2(4): 134.
Groenendijk, Jeroen
2008
Inquisitive Semantics. Proceedings of SALT XVIII The University of
Massachusetts at Amherst: Amherst, MA.
Horn, Laurence
1972
The semantics of logical operators in English. PhD thesis, UCLA.
Horn, Laurence
2006
The Border Wars: a neo-Gricean perspective. In: Ken Turner and Klaus
von Heusinger Where Semantics meets Pragmatics. Dordrecht: Elsevier.
Jasinskaja, Katja
2002
Relevance and Other Constraints on the Quantification Domain of
only. Proceedings of the Workshop on Information Structure in Context, IMS Stuttgart.
Kadmou, Nirit
2009
Contrastive topics and the focal structure of quations. Semantics
archive. URL: semanticsarchive.net/Archive/jMzOTczN/Kadmonms-2009-TOPIC-FOCUS.pdf.
Kratzer, Angelika and Junko Shimoyama
2002
Indeterminate pronouns:The view from Japanese. In:Yukio Otsu (ed.),
The Proceedings of the Third Tokyo Conference on Psycholinguistics,
125. Tokyo: Hituzi,
Kroch, Anthony
1972
Lexical and inferred meanings for some time adverbs. Quarterly
Progress Report of the Research Laboratory of Electronics 104: 260
267.
Roberts, Craige
1996
Information Structure in Discourse: Towards an Integrated Formal
Theory of Pragmatics. In: Jae Hak Yoon and Andreas Kathol (eds.),
OSU Working Papers in Linguistics 49: Papers in Semantics, 91136.
The Ohio State University Department of Linguistics.
Sauerland, Uli
2004
On Embedded Implicatures. Journal of Cognitive Science 5: 107137.
Schulz, Katrin and Robert van Rooij
2006
Pragmatic Meaning and Non-Monotonic Reasoning: The Case of Exhaustive Interpretation. Linguistics and Philosophy 29(2): 205250.
Schwarzschild, Roger
1998
GIVENness, AvoidF and other Constraints on the Placement of Accent. Natural Language Semantics 7(2): 141177.
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Spector, Benjamin
2006
Aspects de la pragmatique des operateurs logiques. PhD dissertation,
Universite Paris 7.
van Rooij, Robert and Katrin Schulz
2004
Exhaustive Interpretation of Complex Sentences. Journal of Logic,
Language and Information 13(4): 491519.
Schulz, Katrin
2007
Minimal Models in Semantics and Pragmatics: Free Choice, Exhaustivity, and Conditionals. Ph.D. Dissertation, University of Amsterdam.
Txurruka, Isabel and Nicholas Asher
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A discourse-based approach to Natural Language Disjunction (revisited). In: Michel Aurnague, Kepa Korta and Jesus Mari Larrazabal
(eds.) Language, Representation and Reasoning. University of the
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Locating adverbials in discourse. Journal of French Language Studies
15(2): 173193.
1.
Introduction
Functions of imperatives
Imperatives can be used to perform a variety of intuitively distinct speech acts,
for example ordering, advising, requesting, and permitting (Schmerling 1982;
Davies 1986; Han 1998; Schwager 2005a; Portner 2007; among many others):
(1)
a.
b.
c.
d.
a.
You need to eat well, so you can grow up to be big and strong.
(Advice)
M`ange-l ma!
eat-it
ma
* I have presented versions of this paper at the conference 10 Years After at the
University of Frankfurt, the University of Chicago, the Ohio State University, the
University of Pennsylvania, MIT, and the third conference Semantics and Philosophy
in Europe in Paris. I am thankful for the input Ive had from many people, at these
venues and elsewhere, including Chris Barker, Nate Charlow, Kai von Fintel, Irene
Heim, Chris Kennedy, Tony Kroch, Jason Merchant, Peter Pagin, Miok Pak, Craige
Roberts, Magdalena Schwager, and Raffaella Zanuttini.
44
(3)
Paul Portner
b.
We cant let the food go to waste. You have to finish it, even if you
dont want to. (Order)
M`ange-l mo!
eat-it
mo
a.
b.
One basic issue is whether any of these differences are semantic in nature. It
is tempting to analyze the permission imperative in (1d) as different from the
others, as it can be paraphrased with a possibility modal:
(4)
a.
b.
c.
d.
(5)
45
Related is Rosss paradox, the lack of licit inference from a permission sentence to disjunction:
(6)
Rosss paradox
a. You may take an apple. You may take an apple or an orange.
b. Take an apple! Take an apple or an orange!
The paradoxical aspect can be seen from the comparison with declaratives,
where p entails (p q). I lump all this together under the label choice phenomena. A key testing ground for analyses of permission sentences will be how
well they fit into our understanding of choice phenomena.
There has been a great deal of research on free choice in modal sentences.
We may classify it into several major approaches:
1. Traditional assumptions
Choice phenomena come about on the basis of fairly traditional semantic
values and Gricean reasoning (Aloni and van Rooij 2004; Schulz 2005).
2. Alternatives
Choice phenomena come about because the semantics introduces each alternative separately, one way (Zimmermann 2000; Geurts 2005) or another
(Kratzer and Shimoyama 2002; Simons 2005; Menendez-Benito 2005; Alonso-Ovalle 2006; Fox 2007; Aloni 2007).
3. The Andersonian reduction
Choice phenomena come about because permission is defined, in the tradition
of Anderson (1956), as something like If p, then things are ok (Asher and
Bonevac 2005, Barker 2010).
4. Dynamic semantics
Choice phenomena come about because of the dynamic semantics associated with particular elements, for example deontic may (van Rooij 2008) or
epistemic might (Ciardelli et al. 2009).
We also have a divide between those who think that free choice with disjunction
is a conversational implicature (Kratzer and Shimoyama; Menendez-Benito;
Alonso-Ovalle; Aloni and van Rooij; Schulz), a matter of semantics (Geurts; Simons; Aloni; Barker; Ciardelli et al.), both (Fox), or something else (van Rooij).
46
Paul Portner
There are two main approaches to the semantics of imperatives: the modal
theory and the dynamic theory.
1. The modal theory proposes that imperatives contain a modal operator, so that
an imperative is very close in meaning to certain sentences containing must
or should. (Han 1999, to appear; Schwager 2005a; Aloni 2007; Grosz 2009a).
Within the overall modal approach, various authors may treat the so-called
modal element proposed as more or less similar to regular modals, and at
some point we might better call this the modaloid theory, a less attractive
term to be sure, but perhaps appropriately so.1
1. If you want to treat the imperative modal as a purely dynamic modal, similarly to
the treatment of epistemic modals in Groenendijk et al. (1996) and the treatment of
expressions of expectation in Veltman (1996), Id consider that an implementation
of the dynamic theory. See Rooij (2008) and Portner (2009) for discussion of how
this might be done. The adherents of what I call the modal theory assume that the
modal in question falls under a standard (static) analysis of modals, such as Kratzers
(1981, 1991, 2012).
47
2. The dynamic theory claims that the meaning of imperatives consists (entirely, or virtually so) in the way they affect the discourse context (Portner
2004, 2007; Mastop 2005; in a sense Lewis 1979). The dynamic theory of
imperatives is really a part of the dynamic theory of clause types (or of sentence mood, if you prefer that terminology). Imperatives are one of the three
major clause types, alongside declaratives and interrogatives (Sadock and
Zwicky 1985), and we should aim for an explanation for why these three
are universal (Portner 2004). Assertion is commonly analyzed in terms of
Stalnakers concept of common ground (Stalnaker 1974, 1978), and asking a
question has been analyzed in terms of a second discourse component, what
Ginzburg calls the Question Under Discussion Stack (Ginzburg 1995a, b;
Roberts 1996). Parallel to these, Portner (2004) proposes that imperatives are
interpreted as contributing to the addressees To-Do List.
The central theoretical claim of this paper is that the dynamic approach can
explain, in a simple and natural way, both the variation in function among imperatives and choice phenomena.
Outline of the dynamic analysis of imperatives
Portner (2004, 2007) argues that the meaning of imperatives can be given within
a dynamic framework as follows:
(7)
The To-do List is similar to ideas in Lewis (1979), Han (1998), Roberts (2004),
and Mastop (2005). Whats different is the Ordering pragmatics for imperatives. In particular, the To-Do List functions to impose an ordering on the worlds
compatible with the Common Ground, and this ordering determines what actions
an agent is committed to taking (Portner 2004):
48
(8)
Paul Portner
Given the above dynamic analysis of imperative meaning, we can turn to the
variation in function of imperatives. Note that (7) applies to all imperatives, so
the variation cannot be because some imperatives contribute to the To-do List,
while others do not. Rather, in what follows, Ill argue that variation in function
should be explained as follows:
1. Subtypes of requirement imperatives are characterized by the grounds which
justify issuing the imperative.
2. Some imperatives which are intuitively described as giving permission are
actually requirement imperatives, also characterized by the grounds which
justify their being issued.
3. True permission imperatives are characterized by the fact that they contradict
something else in the To-do List; permission readings may be encoded via a
presuppositional element.
3.1. The Grounds for Issuing an Imperative
The kinds of illocuationary acts performed by requirement imperatives differ in
characteristic ways in terms of the grounds which the speaker has for issuing
them.
(9)
a.
b.
c.
d.
e.
49
The above descriptions of each speech act are just suggestive, and firm definitions
may be impossible. But they show the point: types of requirement imperative
differ in the grounds on which they are offered, notably in the presence or absence
of speakers authority, the identity of the individual whose priorities are being
advanced, and the nature of the priorities being advanced.
(10)
a.
b.
(12)
a.
b.
(13)
a.
b.
And third, one imperative or modal will constrain the meanings which are possible for subsequent imperatives or modals. Portners (2007, p. 356) psycho
boss provides one example:
(14)
50
Paul Portner
2. Note that this treatment is in the same spirit as Kamps (1973) analysis of permission
as removing a prohibition. However, it does more than this: it removes the prohibition by adding a contradictory requirement. Well return to Kamps insights about
permission in Section 3.2. below.
51
You are allowed to have an apple, but you are not required to.
(16)
In contrast to explicit performatives and may, its not so easy to use imperatives
this way. In (17)(18), if you dont want the apple, you usually have to refuse.
(17)
(18)
The refusal here points to an analysis of the kind sketched for (9c) above.
A conditional can work better in creating permission:
(19)
(20)
(22)
A:
B:
Here, having an apple is not required. But even then, the overall disjunction
gives a requirement:
52
(23)
(24)
Paul Portner
The right context can also produce a permission reading in the strict sense. If B
ends up bringing beer and no wine, she has not failed to do as requested:
(25)
The bottom line is that permission imperatives are severely restricted, and only
come about in specific constructions and contexts.
Permission via an inconsistent To-do List
Let us work with the following Lewis-style example (Lewis, 1979):
(26)
Monday carry rocks! Tuesday carry rocks! And Wednesday carry rocks!
[. . . Tuesday comes along.] Take tomorrow off!
After the Master utters the first three imperatives, the Slaves To-do List becomes
{K(x,m), C(x, mo), C(x, tu), C(x, we)}.3 This To-do List implies that the Slave
must not kill the Master (not explicitly stated, but surely assumed) and must
carry rocks each of the three days.
Then on Tuesday, the Master gives permission to take Wednesday off. Thus,
the To-do List becomes {K(x, m), C(x, mo), C(x, tu), C(x, we), C(x, we)}.
This To-do List is inconsistent. Given (8a), it implies that the Slave does as
well as he can: he either carries rocks Wednesday, or he doesnt. Either way,
he can make four of the five propositions in the To-do List true. See Figure 1.
(More accurately, after having worked Monday and Tuesday, and not killing the
Master, either working on Wednesday or taking the day off makes it the case that
there is no better-ranked world.) Intuitively, the inconsistency of the To-do List
represents the fact that carrying rocks on Wednesday was formerly required, but
3. On the analysis of Portner (2004, 2007), the variable x should be abstracted
over, to produce a property, and should be restricted to the addressee: [ x : x =
addressee(c) . C(x, mo)]. The restriction to the addressee is responsible for the fact
that the property is added to the addressees To-do List, as opposed to someone elses.
I dont insert the x or restriction, both for simplicity, and to indicate the fact that
the points under discussion here dont depend on the decision to treat imperatives as
properties, as opposed to sets of worlds.
K(x,m),C(x,mo),C(x,tu),C(x,we)
K(x,m),C(x,mo),C(x,tu),C(x,we)
K(x,m),C(x,mo),C(x,tu),C(x,we)
53
is no longer required. Crucially, killing the Master is still not an option, because
K(x, m) is consistent with both options; the ordering pragmatics thus solves
the problem of permission raised by Lewis (1979).4,5
This analysis of permission has some similarity to that of Kamp (1973).
Kamp proposes that permission is the removal of a standing prohibition. In the
present treatment, the previous requirement (in this case, Carry rocks Wednesday!, though it could be stated as a prohibition, Dont take Wednesday off!)
is not removed, but it no longer has the effect of producing a requirement, once
it is contradicted by another entry on the To-do List. At that point, it simply
corresponds to one permitted option. (Please note, though, that I do not mean
to imply that requirements are never removed from a To-do List. As well see
below, such retraction does occur, but it is not necessary to produce permission.)
Whats on the To-do List?
Example (27) poses a minor problem.
(27)
Carry rocks every day! [. . . Weeks pass . . . ] Tomorrow, take the day off!
It seems that after the first imperative is uttered, the To-do List is
{K(x, m), d[C(x, d)]}. Adding C(x, we) to this set leads to a situation where never working again is permitted. The solution to this problem is to expand the To-do List from {K(x, m), d[C(x, d)]} to one more
like like {K(x, m), d[C(x, d)], C(x, mo), C(x, tu), C(x, we), C(x, th), C(x, fr)}.
4. Mastops (2005) dissertation is suggestive of an analysis of choice phenomena in
imperatives similar to the one offered here, but because his views on permission
imperatives are unclear, it is difficult to say whether he endorses the same perspective.
5. It has been suggested to me (Peter Pagin, p.c.) that the analysis cannot account for the
cruel dictator who purposefully imposes a contradictory set of laws, so that everyone
is always susceptible to punishment. Im not certain that such a use of imperatives
would be considered pragmatically competent, but if it is, this kind of dictator would
be defining the pragmatics of imperatives differently from (7). The alternative would
be that an agent takes actions in world w which tend to make it that case that, for every
world compatible with the common ground, w is at least as highly ranked. Doing so
is impossible when the To-do List is contradictory.
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Paul Portner
There might be interesting ways to implement this, for example by giving the
quantifier scope over a force operator. But I prefer an uninteresting way: the
Slave knows that he is to work on Monday, on Tuesday, on Wednesday, etc. So
the To-do List is expanded by inference. Once C(x, we) is added to this set,
we represent permission to take Wednesday off (or not), but still require work
on the other days. Note that this solution is essentially the one Kratzer (1977)
applies to the pros and cons of striding and flying; van Rooij (2000) draws on
relevant entailments for a similar purpose.
Definitions of permission and requirement
In Figure 1, we can say that not carrying rocks Wednesday is permitted, because
some best-ranked worlds are ones in which C(x, we) is satisfied.
(28)
We can say not killing the Master is required, because all best-ranked worlds are
ones in which K(x, m) is satisfied.
(29)
These descriptions make the limit assumption, for simplicity. A more precise and
general version of (28) would say that S is a permission sentence iff [[ S ]] is a
good possibility, with respect to CG and T (addressee), in the terms of Kratzer
(1981, 1991). Likewise, (29) would say that S is a requirement sentence iff [[ S ]]
is a weak necessity, with respect to CG and T (addressee). This way of thinking
about things lets us consider the status of propositions which meet the criteria for
other grades of modality in Kratzers system. For example, (simple) possibility
would describe a situation where S-worlds and S-worlds alternate endlessly
in the ordering, as in a case where theres too much uncertainty concerning the
effects of ones actions.According to (8), an agent doesnt have the right to pursue
a possibility which is not a good possibility. (If you think that this is wrong, and
that an agent can rationally and cooperatively pursue a simple possibility of this
kind, the prediction can be changed by modifying (8b)). These points exemplify
55
nicely how the theory of modality can be brought to bear within the dynamic
approach to imperatives, even though no modal is syntactically present.
Permissibility is a gradable concept, as illustrated in (30):
(30)
The ordering pragmatics based on the To-do List allows us to use Kratzers
definition of comparative possibility to analyze graded permissibility. If the Todo List contains Dont take an apple and Dont take a pear, (30) will be
true. Ultimately, however, well need to integrate our analysis of the gradability
of modal expressions into the general theory of gradability, perhaps based on
degrees, so there is much more work to be done.
Permission vs. retraction
The analysis as developed so far captures those cases in which an addition to
the To-do List in conflict with an existing directive results in permission. But as
noted above, it takes a specific context for real imperatives to do this. Heres a
case where it doesnt work:
(31)
If the second imperative merely gives permission, we would expect that its ok
for the addressee to bring beer and no wine. However, we would say that the
addressee did not comply with what was requested if he brings beer. We can
describe this as the retraction of an existing requirement, and the imposition of
a new one.
Of course, retraction also happens with declaratives:
(32)
56
Paul Portner
a.
b.
We may say that JA and blo may only be used in requirement sentences, as
defined above, and ruhig only in permission sentences. Grosz (2009b) admits
that this analysis captures the relevant facts with imperatives and modals.7
These German data show that it is possible to explicitly mark an imperative
as introducing a requirement or a permission. I would like to suggest that English affords itself of this possibility as well. Specifically, the absence of any
marking indicates that the imperative should be a requirement sentence, while
the presence of any of a number of expressions, for example initial or, please,
go ahead, by all means, and if you like, as well as intonation or contextual evidence, may indicate that it is a permission sentence. We can make this proposal
more explicit by proposing phonologically null particles analogous to JA and
ruhig:
(34)
a.
b.
57
contains REQ, presupposing that the context is one in which the the addressee is
being placed under a requirement to bring wine.Assuming that the addressee will
bring just one kind of drink, the only way for this presupposition to be satisfied
is for bring beer to be retracted. In this way, the presupposition provides a
motivation for retraction similar to that observed with the declarative in (32).
In contrast to (31), an example like As second imperative in (25), repeated
here, would contain PERM:
(35)
The presupposition of PERM is straightforwardly satisfied in this context (assuming that B will not bring both wine and beer). Thus, after this sequence, B
would be in compliance with As request whether he brings beer or wine.
A third situation worth considering occurs when the PERM is present, but
the context is one in which the imperative would impose a requirement. The
following is modeled on Groszs (2009a) example (18):
(36)
A:
B:
58
Paul Portner
4.
Choice Phenomena
a.
b.
(38)
a.
b.
Take an apple!
Take an apple or a pear!
(ii)
Employing (ii) would require transferring the analysis of imperatives into situation
semantics, as needs to be done anyway, if you believe in situation semantics.
59
Because the alternatives are exclusive, an utterance of (37) results in an inconsistent To-do List which gives the (minimal) ordering of worlds illustrated in
Figure 2. In this setting, the addressee will behave correctly by taking either an
apple or a pear.
T(x,a),T(x,p)
T(x,a),T(x,p)
(Of course if K(x, host) is already on the To-do List, none of this will permit
killing the host, but I leave this out of the figure for simplicity.)
In many contexts, it will be ok to take neither an apple nor a pear. A natural
situation of this kind occurs when the imperative is designed to overcome the
politness-based reluctance of addressee to impose on the speaker (Wilson and
Sperber 1988). That is, we assume an initial To-do List {T (x, a) T (x, p)}.
In this context, (37) leads to the To-do List {T (x, a) T (x, p), T (x, a)
T (x, p), T (x, a) T (x, p)} and to the order in Figure 3.11
T(x,a),T(x,p)
T(x,a),T(x,p)
T(x,a),T(x,p)
Negation
Negative imperatives do not involve exclusive alternatives:
(41)
11. In German, this type of reading seems to be marked by ruhig plus disjunction, as
opposed to JA in the case illustrated by Figure 2. Accounting for these cases will
require extending the definitions of permission and requirement to sentences which
express multiple alternatives, and then getting the scope relations right. Thanks to
Elena Herburger for discussing this contrast.
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Paul Portner
This case can be handled in either of two ways. If exclusivity is a scalar implicature, then we would expect it not to be generated in this environment (following
Alonso-Ovalle 2006). In the present framework, the denotation will then be:
(42)
Adding both alternatives to the To-do List results in best-ranked worlds being
ones in which the addressee takes neither. Moreover, on this approach worlds
in which the addressee takes just an apple are automatically ranked as better
than ones in which he takes both an apple and a pear, a point which proves an
advantage in the case of the addressee who cant help eating an apple at the
beginning of the party.
If exclusivity is introduced in the semantics, negation must prevent it by
collapsing alternatives before exclusivity is applied:12
(43)
In that case, (41) denotes the set (containing the set) of worlds in which the
addressee takes neither an apple nor a pear, also resulting in the right prohibition.
Rosss paradox
Intuitively, the solution to Rosss paradox comes from the observation that a
master who says (38a) would not necessarily endorse (38b), since the latter would
permit an action not permitted by the former. But a master who says (38b) would
have no problem endorsing (38a). We want to say that an imperative warrants
another imperative iff adding the latter to a To-do List which already contains
the former never changes the ordering of worlds. A more general statement, in
which regular entailment falls out as a special case, is the following:
(44)
When we say that (38a) does not entail (38b), what we mean is that the former
doesnt warrant the latter. It doesnt warrant it because the disjunction gives the
12. Aloni (2007, fn.12) identifies the need to collapse alternatives in this context. Note that
Alonis approach involves a modaloid imperative operator, and predicts that disjunctive imperatives are ambiguous between choice-offering and alternative-presenting
readings. As she notes, the latter are marginal (at best), a fact which does not seem
amenable to her pragmatic explanation (a pragmatic preference for stronger interpretations, p. 88).
61
a.
b.
Pick a card!
{P(x, c) : c card}
Figure 4 gives the ordering, with choices taken to be exclusive. (This is some
kind of trick where the addressee can see the cardss faces.)
P(x,A)
P(x,2)
P(x,3)
P(x,4)
P(x,5)
P(x,6) . . .
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Paul Portner
5.
You may pillage city X or city Y . But first take counsel with my secretary.
However, Im not convinced that this sentence is performative in the required sense.
On its own, (i) does not permit any action before consulting with the secretary,
the vassal had better not pillage either city. (Of course, in a different sense, it is
performative, in that it is guaranteed to be true on the basis of the fact that the
speaker is the King.) Only once the secretary is consulted can the vassal add the legal
kind of pillaging to his To-do List.
63
diction is correct. While many modal sentences show choice readings, none
of the following do:
(47)
a.
b.
c.
At the top of the mountain, you can find snow or ice to make
drinking water.
At the top of the mountain, you can find snow to make drinking
water, and you can find ice to make drinking water.
A: Can any of the students speak Chinese or Japanese?
B: Chou Wei-han can. 14
Chou Wei-han can speak Chinese and Chou Wei-han can speak
Japanese.
All of our students should take logic or stats.
All of our students may take logic and all of our students may
take stats. (The syntax and semantics students should take logic,
while the phonology and socio students should take stats. The
former should not take stats, and the latter should not take logic.)
As far as I can tell, these are not examples in which choice interpretations
are cancelled or dispreferred; they simply do not have them. Previous work
has either assumed that all modal sentences will show choice readings, or has
focused on particular modal elements (e.g., van Rooij 2008; Ciardelli et al.
2009), not aiming to cover other cases. We do not have much understanding at
all of when choice readings occur and when they do not. Regardless of whether
the suggestion to relate choice phenomena to performativity is correct, in order
to develop a general theory which covers both the cases which show choice
phenomena and those which do not, more empirical work will be needed.
References
Aloni, Maria
2007
14. Compare the non-elliptical reply, B: Chou Wei-han can speak Chinese or Japanese,
which does license the choice inference.
64
Paul Portner
Alonso-Ovalle, Luis
2006
Disjunction in alternative semantics. Doctoral dissertation, University
of Massachusetts, Amherst.
Alonso-Ovalle, Luis
2008
Innocent exclusion in an alternative semantics. Natural Language Semantics 16: 115128.
Anderson, Alan Ross
1956
The formal analysis of normative concepts. Technical Report 2, U.S.
Office of Naval Research.
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2005
Free choice permission is strong permission. Synthese 145: 303323.
URL http://www.jstor.org/stable/20118599.
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1982
Purpose clauses and control. In: Pauline Jacobson and Geoffrey K.
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Publishing Co.
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2010
Free choice permission as resource-sensitive reasoning. Semantics and
Pragmatics 3(10): 138.
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1987
Politeness: Some universals in language usage. Cambridge: Cambridge University Press.
Ciardelli, Ivano, Jeroen Groenendijk and Floris Roelofsen
2009
Attention! Might in inquisitive semantics. The proceedings of SALT
19. CLC Publications.
Davies, Eirlys
1986
The English imperative. London: Croom Helm.
Fox, Danny
2007
Free choice disjunction and the theory of scalar implicatures. In: Uli
Sauerland and Penka Stateva (eds.), Presupposition and implicature
in compositional semantics, 71120. Palgrave-Macmillan. Ms., MIT.
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Entertaining alternatives: Disjunctions as modals. Natural Language
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Ginzburg, Jonathan
1995a
Resolving questions, part I. Linguistics and Philosophy 18: 459527.
Ginzburg, Jonathan
1995b
Resolving questions, part II. Linguistics and Philosophy 18: 567609.
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contemporary semantic theory, 179213. Oxford: Blackwell Publishers. URL citeseer.ist.psu.edu/article/groenendijk96coreference.html.
Grosz, Patrick
2009b
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Han, Chung-Hye
1998
The structure and interpretation of imperatives: mood and force in
Universal Grammar. Doctoral dissertation, University of Pennsylvania.
Han, Chung-Hye
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Deontic modality, lexical aspect and the semantics of imperatives.
Linguistics in morning calm 4. Seoul: Hanshin Publications.
Han, Chung-Hye
to appear
Imperatives. In: Claudia Maienborn, Klaus von Heusinger and Paul
Portner (eds.), Semantics: An international handbook of natural language meaning. Mouton de Gruyter.
Isaacs, James and Kyle Rawlins
2008
Conditional questions. Journal of Semantics 25: 269 319.
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1999
A syntax and semantics for purposive adjuncts in HPSG. In: Robert
Levine and Georgia Green (eds.), Studies in contemporary phrase
structure grammar, 80118. Cambridge: Cambridge University Press.
Jones, Charles
1991
Purpose clauses: Syntax, thematics, and semantics of English purpose
constructions. Kluwer.
Kadmon, Nirit and Fred Landman
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Any. Linguistics and Philosophy 16: 353422.
Kamp, H.
1973
Free choice permission. Proceedings of the Aristotelian Society, N.S.
74: 5774.
Kratzer, Angelika
1977
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The notional category of modality. In: Hans-Jurgen Eikmeyer and
Hannes Rieser (eds.), Words, worlds, and contexts, 3874. Berlin: de
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67
1.
No disjunctive promise
In propositional logic, formulas A P and A P are equivalent, and our intuitions about their natural language counterparts also, for the most part, support
this equivalence. However, as it is often the case where two expressions are
logically equivalent, the pragmatics of conversation poses restrictions on the acceptability of one that do not seem to apply to the other. In particular, in the case
of conditionals and disjunctions an interesting pragmatic difference surfaces in
the context of inducements, where the speaker is trying to influence the behavior of the hearer by conditional promises and threats: whereas the conditional
statements in (1a) and (1b) can be a threat and a promise, used respectively to
induce the hearer to hand over her wallet, the alleged disjunctive equivalents in
(1c) and (1d) are both preferably read as threats.1
(1)
a.
b.
c.
d.
1. Notice that in (1) letters P and R stand for punishment and reward respectively.
70
The pragmatic puzzle we are trying to account for here may be familiar from
discussions of so-called pseudo-imperatives (see van der Auwera 1986; Bolinger
1979; Clark 1993; Lawler 1975 for early contributions). Pseudo-imperatives
(shortly, pis) are mixed mood sentences where an imperative clause is followed
by conjunction and or disjunction or and a declarative sentence. In other
words, a pi is a sentence of the form:
(2)
a.
b.
a.
b.
c.
d.
threat Do A and R
promise Do A and P
threat Do A or P
threat Do A or R
What is peculiar is that we can find examples of conjunctive pis which read as
conditional threats (3a) and examples which read as conditional promises (3b),
depending on whether we assume that the hearer wants the declarative second
conjunct to be realized. But, for disjunction, only threat-readings, so to speak,
are possible: any second disjunct is either construed as hearer-undesirable or
else the whole disjunctive pi seems pragmatically infelicitous.
Several issues are worth the linguists attention here. Firstly, it needs to be
explained how a conjunction and can obtain a kind of conditional reading in
the first place, especially one in which the illocutionary force typically associated
with an imperative clause cancels out. Secondly, it needs to be explained how a
71
disjunctive pi cannot function as a promise.2 It is the latter problem that this paper
deals with, including but not restricted to pis. In our exposition, we will focus on
the contrast between conditionals and disjunctions of declarative sentences of the
form in (1). This carries over to pis if we may assume that (i) conjunctive pis have
conditional readings, and that (ii) imperatives have some descriptive content that
refers to a hearer action or a hypothetical state of affairs. Our aim, then, is to be
as linguistically sober as possible: treating clauses as denoting propositions and
remaining as conservative as possible. In our analysis of conditionals, negation
and disjunction, we would like to explore to what extent rationales of influencing
others behavior by promises and threats alone can explain the contrast between
conditionals and disjunctions.
3.
72
(and its uptake) the speaker is committed, at least if prompted and within certain
limits, to defend the truth of (c.f. Brandom 1983; Hamblin 1970). Under this
view, promises and threats can be regarded as speaker commitments as well.
For instance, Gazdar (1981: p.69) writes: A promise that is a function that
changes a context in which the speaker is not committed to bringing about
into one in which he is so committed.4
What is a threat, and what is the difference between a threat and a promise?
Psychologically speaking, one can feel threatened by another person, just because one fears that this other person might be harmful. Notice that according to
this conception, one can feel threatened by someone without this person having
done anything. However, in this paper we will adopt a more operational notion. A
threat is a commitment by one person intended to change another persons future
behavior. But how, then, does a threat differ from a promise? Also a promise
involves a commitment of the speaker often with the intention to change the
hearers future actions. However, the major difference is that whereas in case
of a threat, the commitment has negative consequences for the other, with a
promise these consequences are positive.5
Still, there is a further difference between promises and threats. According
to Searle and Vanderveken (1985: p. 193), unlike in promises, no obligation
is involved in threatening.6 That means that although by uttering a threat the
speaker commits herself to carrying out a sanction if needed, she is strangely
enough not obliged to do so in the same way that she would be in case of a
promise. Clearly, if, say, Jones threatens to punish Smith in case he giggles,
then, after giggling, Smith will not insist on his punishment, and, more importantly, also cannot lay claim to a social obligation that he be punished. The case
of a promise, obviously, is essentially different in this respect. This is an interesting point to which we will return later: from the speakers point of view, a
threat is cheaper in expectation than a promise, all else being equal, because, as
Searle and Vanderveken put it, threatening is not as institutionally dependent
as promising (p. 193).
4. There are further felicity conditions that one would have to consult if a flawless
conceptual characterization of promises and threats qua speech act was at stake (the
locus classicus is Searles (1969) exemplary analysis of a promise). This is not crucial
though for any of our present concerns.
5. This does not exclude that we sometimes use the terms in a slightly misleading way,
as in If you lend me your wallet, I promise you I wont hurt you.
6. This point is corroborated by empirical data reported by Verbrugge et al. (2004).
73
7. Stalnaker 2006, for instance, argues that under commitment-based analyses of assertion conditional assertions and assertions of conditionals come down to essentially
the same thing.
8. For theoretical assessments of reading if as if and only if see, for instance, Geis
and Zwicky (1971); Horn (2000); van der Auwera (1997) and references therein.
Empirical research supporting the strong availability of an if and only if-reading in
conditional promises and threats is reported by Fillenbaum (1986) and van CanegemArdijns and van Belle (2008).
74
v1
X
v2
Y
w1
w2
w3
w4
75
Credibility
The rationality constraint that received most attention in the economic literature
is that a threat or promise should be credible. To punish or reward someone else
can be costly. This is obvious if you promise to give some money, but the (future)
consequences of punishing (e.g. killing) somebody if she doesnt perform the
desired action can be very costly as well. As already observed by Schelling
(1960: p. 177), from this it immediately follows that threats costs more when
they fail, while promises cost more when they succeed. But given that effective
threats and promises involve only conditional commitments, a major issue arises
as to whether the threat or promise was credible (see Hirschleifer 2001).
Above, we have suggested to model commitments as pruning of a game tree.
But the idea that a formerly possible action is entirely excluded from a players
choice set just by public announcement that she will not choose to play so,
is unrealistically strong. In reality, the option of playing Y after A, even after
having said if you do A, I will do X remains. The problem is that as long as
the option Y is still available in principle, it might still be chosen, and, more
strongly even, it might even be rational to choose it.
Suppose that you made the conditional threat or promise to do X , if the
hearer performed A. That means that you are committed to do X after the hearer
performed A. But, irrespective of anger or gratitude, if you like doing Y more
than doing X , i.e., if you prefer outcome w2 over outcome w1 in Figure 1, then
it is (only) rational to deviate from your previous commitment. In case of a
threat, harm is already done, and in case of a promise, you already have what
you desired. Why would you stick to your commitment?
There is an obvious reason why you should carry out your commitment under
these circumstances after all, if there is a good chance that you will be engaged
with the other person in similar circumstances again in the future. Carrying
out the commitment strengthens your reputation, while not carrying it out only
destroys it. But if reputation cannot be brought into the picture, the only way in
which threats and promises like in (1) can be credible is when they are (seen to
be) costless. And this also makes intuitive sense. Take for instance the threat in
(1a). If the threatener is seen to be desperate or irrational enough, one cannot
rule out that he wont kill you if you dont give your wallet: perhaps he simply
doesnt care about the possible consequences if things dont go as he desires.
And indeed, to make your threat look credible, it is not unwise to act (as if you
are) irresponsible.
It is clear that a lot can (and has been) theorized about credibility of inducements by conditional promises and threats from a game-theoretic point of view.
For the purposes of this paper, however, it is sufficient to simply assume that
76
promises and threats are credible: the involved obligations are binding. More
precisely even, our analysis proceeds from the assumption that the speaker believes that her statements will be believed; it is inessential whether this belief is
actually correct.
Benefit and efficacy
Since we are concerned mostly with the speakers perspective, we will concentrate, instead, on the other rationality constraints of promises and threats: that
strategic commitments should be beneficial for the speaker (in expectation), and
that they should be efficacious (in expectation).
Take a conditional promise like if you do A, I will reward you with R with
which the speaker commits herself to a reward R after the hearer has performed
A. Naturally, the benefit for the speaker of having A performed should exceed
the speakers detrimental cost of paying the reward R in order to count as a
rational inducement. (This also entails that the speaker should not, of course,
promise to reward performance of an action that the speaker would prefer not
to have performed.) It is also clear that a strategic promise is only efficacious to
the extent that the promised reward R is a sufficient incentive for the hearer to
perform an otherwise dispreferred action A. So, while for the speaker the danger
of having to pay the cost of the reward R must not exceed the expected gain of
the action A (benefit), for the hearer the gain of obtaining R must exceed the
loss in performing A (efficacy). Thus, if you do A, I will reward you with R
is a rational and effective promise just in case both the speaker and the hearer
prefer A R above A R.
Similar considerations apply to conditional threats. Uttering a threat if you
do A, I will punish you with P commits the speaker to punishing the hearer
if he does not perform A. This is beneficial only if the chance that the hearer
performs A and the associated benefit of that for the speaker exceeds the possible
cost that P might have if the hearer does not perform A. In order to be efficacious,
the danger of being punished by P when A is not performed must outweigh the
loss of performing A. So, while for the speaker the danger of having to punish
the hearer by P must not exceed the expected gain of having A performed
(benefit), for the hearer the danger of being punished by P must exceed the loss
of performing A (efficacy). Thus, if you do A, I will punish you with P is a
rational and effective threat just in case both the speaker and the hearer prefer
A P above A P.
An analogue story holds for disjunctive threats of the form You do A or I
will punish you with P. In this case, the speaker commits himself to punish the
hearer who does not perform A with P. This is beneficial just in case the speaker
77
expects that the benefit of action A taking place exceeds the cost of performing
P in case the hearer abstains from A. The threat is efficacious in case the hearer
fears P more than the harm he expects from performing A. Thus, You will do
A or I will punish you with P is a rational and effective threat just in case both
the speaker and the hearer prefer A P above A P.
All these arguments seem completely straightforward and intuitive. The problem is that a seemingly equally straightforward argument can be given for why,
and when, disjunctive promises of the form You do A or I will reward you
with R make sense. What would be wrong with a disjunctive promise, if both
speaker and hearer would prefer A R to A R? As far as our argument
goes so far, there is nothing that would suggest that disjunctive promises are
any different from a conditional promise. The disjunctive promise would be
beneficial just in case the speakers loss of A not being performed exceeds the
cost of giving the reward R, and it would be efficacious iff the reward R would
be bigger for the hearer than the cost of performing A. The problem is that a
disjunctive promise of the form You do A or I will reward you with R has
exactly the same preference structure as the conditional promise If you do A, I
will reward you with R. Still, the latter is acceptable, but the former is not (as a
promise). The problem is why? What is the difference between a conditional and
a conjunctive promise that makes the former a reasonable strategic commitment
and thereby a feasible move in dialogue, but not the latter?
4.
78
natives (1a) and (1d), on the other hand, mention a speaker-undesirable option
which slightly decreases expected utility. This puts the efficacy of these statements at risk, given that the speaker cannot be certain about the hearers actual
preferences and beliefs. However, a conditional threat like (1a) can compensate
for this risk by committing to a stronger punishment, which is cheap in expectation, as explained in Section 3.1. Committing to a stronger reward is not cheap
in expectation, and therefore a disjunctive promise cannot compensate for the
risk of inefficacy.
In order to spell out this idea, we first have to enlarge on the assumption that
mentioning an alternative slightly raises the speakers expectation of realization
(Sections 4.1. and 4.2.). Secondly, we have to spell out the structure of the
speakers uncertainty (Section 4.3.) and how this all affects the expected utility
of inducements (Section 4.4.).
4.1. Mentioning in Disjunctions and Conditionals
The standard view of the effect of an assertion that (and its acceptance) is
that it eliminates all possibilities from the common ground where is not true
(Stalnaker 1978). But even before an assertion is accepted, the fact that the
assertion was made and understood had already another effect on the common
ground: the possibility that is or might become true is brought to the (joint)
attention of the participants of the conversation, in particular, to the hearer
(c.f. de Jager 2009; Swanson 2006). For simple assertions with the content It is
raining this extra effect is negligible because it is a side-effect of the acceptance
of the assertion anyway. For more complex assertions, however, this extra effect
does not fall out as a consequence of the assertion by itself. To see that this is so
also for disjunctions and conditionals look at the simple question-answer pairs
in (4).
(4)
Although all three answers are semantically equivalent,10 they certainly do not
convey the same idea. Whereas (4a) implicates that Mary did not come, answers
(4b) and (4c) both implicate that it is also possible that Mary might have come
together with John. The intuitive reason why is because otherwise the speaker
10. This holds for logical disjunction and material implication, but also for other standard
analyses of the conditional, such as (variably) strict implication.
79
would not have mentioned this latter possibility, despite the semantic equivalence
with the answer in (4a) (cf. Gazdar 1979; Schulz and van Rooij 2006).
In general, from just eliminating those possibilities in the common ground
where or are true, the extra effect of bringing - and -possibilities
to the attention does not follow. In fact, it has been argued that a very important
purpose (among others) of a disjunctive claim is to bring its disjuncts to the
attention (c.f. Geurts 2005; van Rooij 2005; Zimmermann 2000). Similarly, the
antecedents of (indicative) conditionals are normally associated with a
speaker presupposition that be possible (e.g. Stalnaker 1975). Taken together,
whatever the concrete mechanisms at work, it is fair to say that, on top of their
semantic meaning, it is important to the way that disjunctions and conditionals
are processed in discourse that these constructions mention, or are about, certain
states of affairs.
4.2. Mentioning, Salience, and Priming
But now suppose that a conditional or a disjunction such as in (1) is uttered
where the truth of the antecedent or first disjunct is under the control of the
hearer. What effect does it have to mention an action under hearer control in
a game-like setting where the speaker wants to induce a certain action in the
hearer?
First of all, if the hearer has not been aware of it at all, then just mentioning
an action will inevitably make him aware of it. To make the hearer aware of a
possibility that the speaker does not want to be realized might therefore just be
a very dumb move in conversation because it would put the wrong ideas into the
hearers head (de Jager 2009; Franke and de Jager 2011). In other words, if the
hearer is (possibly) unaware of some action A that the speaker does not want to
have performed, then it is, intuitively speaking, a deficient inducement strategy
to mention it in the first place unless it is strongly and credibly discredited, such
as by a threat of sanction or similar.
But what if an action is mentioned that the hearer is (most likely) already
aware of? Even then, it may seem prima facie suboptimal to bring such a possibility to the hearers attention in case the speaker doesnt want this possibility
to be(come) true. Mere mentioning makes an option salient, and to increase the
salience of a choice option for the hearer simply means that, from the speakers
point of view, the probability with which this option is chosen increases, even if
only very slightly. Think of marketing and advertisement: you want your product
name to be ubiquitous, you want it to be the first thing that comes to mind when
consumers make a decision (c.f. Nedungadi 1990). But also in more on-the-spot
decision making: the salience of choice options matters especially when these
80
81
v1
v2
w1
w2
w3
w4
w5
w6
This captures the intuition that the speaker mostly cares about whether action A
is performed. Subordinate to her preference for A, she would prefer to remain
neutral over punishing and rewarding. In contrast to that, we should assume that
the hearer prefers A over A, but that the reward R and the punishment P that we
consider are potentially efficacious, so that they outweigh the hearers preference
about A. More precisely, the hearers preferences are then qualitatively given as:
w4 > w1 > w5 > w2 > w6 > w3 .
In other words, the hearer (is assumed by the speaker) to value most the reward, and prefers a neutral outcome over a punishment. Subordinate to these
preferences is his preference of performing A over performing A.
It is not necessary, but also not desirable to specify the hearers preferences
any further than that. This is because a speaker will never be able to know for
sure how exactly the hearer will value a promise or a reward. Our modelling here
adopts the speakers perspective and takes her natural uncertainty into account. In
other words, the model assumes that the speaker believes the hearers preferences
are qualitatively as specified above, but that the speaker does not know for certain
how strongly, for example, w4 is preferred over w1 .
Similar remarks then also apply to the speakers beliefs about the hearers
beliefs. Here it is most natural to suppose that the speaker believes that the
hearer expects, all else being equal, a neutral outcome. We could even go as
far as saying that the hearer might not even be aware of possible punishments
and threats and that it is only when pointed out to him that he accommodates
these possibilities into his decision-making. To keep matters simple here, we
will refrain from representing such a sequential game with possibly unaware
players (c.f Feinberg 2005; Heifetz; Meier and Schipper 2009). For the present
82
purpose it suffices to assume that the speaker believes that the hearers beliefs
are qualitatively as follows:
w2 , w5 w1 , w3 , w4 , w5 .
The idea is that the speaker again does not know precisely which probabilistic
beliefs the hearer holds, but she does believe that, barring any speaker commitment, the hearer considers action N substantially more likely than either reward
or punishment.
4.4. Risk of Strategic Inducements
Given the speakers natural uncertainty about the hearers precise preferences and
beliefs, it turns out that disjunctive promises are risky, and therefore suboptimal
in expectation, in a sense that threats and conditional promises are not. To
see what is at stake, we need to compare the statements in (1) one by one
as committing strategic inducements against the background of the speakers
uncertainty as described in the previous section. Let us look at threats and
promises in turn and let us ask what update effects these statements would have
on the hearer and how this affects the speakers assessment of her expected
utility of uttering these statements.
As for their semantic update effect, both the conditional threat A P in (1a)
and the disjunctive threat A P in (1c) are semantically equivalent and denote, if
taken as binding, the set {w1 , w2 , w3 , w6 }. If we also take conditional perfection,
respectively exclusive readings of disjunctions, into account the impact of these
threats is an update that leaves only outcomes {w2 , w6 }.
Still, in line with our reasoning above, there should be a small difference
between the conditional and the disjunctive threat. Whereas the conditional
threat slightly increases the probability of w6 (in the expectation of the speaker),
the disjunctive threat slightly increases the probability of w2 . This is because the
conditional mentions A and so the speaker will assume a slight increase in the
chance that the hearer will play this option. For the disjunctive threat rather the
hearer choice A is given a slightly higher probability. That means that mentioning
the speaker-desirable action A in the disjunctive threat actually has a slight
increasing effect on the expected utility of that statement, as compared to the
conditional threat that mentions A. However, this slightly detrimental effect
of mentioning the speaker-undesirable action is relatively harmless, because the
speaker believes that the hearer prefers w2 over w6 and the speaker believes
that the hearer considers w2 much more likely than w6 . It is therefore not likely
that the conditional threat would not be efficacious despite the fact that it might
slightly increase the chance of performance of A.
83
Moreover, and more importantly, the speaker can compensate for the risk of
a conditional threat by choosing a sufficiently stronger punishment. As noted in
Section 3.1., this need not decrease the speakers expected utility, because threats
are (relatively) cheap in expectation in that the (possibly costly) punishment is
not (as) socially binding as in the case of a promise.
This is different for disjunctive promises. Again, the conditional promise
A R in (1b) and the disjunctive promise A R in (1d) are semantically
equivalent. Their update effect is to eliminate outcomes w2 and w3 , and additionally, if perfection and exclusive readings are taken into account, restrict the
options under consideration to {w1 , w5 }. Once more, we also attest a difference
from mentioning different alternatives: whereas the conditional promise slightly
increases the speakers expected utility because it mentions the desirable option
A and thus increases the probability that w1 is realized, the disjunctive promise
slightly decreases the expected utility by mentioning the undesirable option A
and thereby increasing the probability of w5 . However, unlike with threats, this
latter decrease is more risky from the point of view of an uncertain speaker: the
problem is that although w1 is assumed more hearer-desirable than w5 , the latter
is naturally assumed substantially more likely. If the speaker is uncertain about
the extent to which the hearer prefers w1 over w5 , mentioning the undesirable
option puts the efficacy of the inducement at risk.
But could the speaker not compensate this risk, as she could with conditional
threats, by promising a higher reward, so as to make sure that w1 is sufficiently
preferred over w5 ? She probably could, but not necessarily without sacrificing
even more on expected utility. Promises are costly when efficacious and more
institutionally dependent than threats. To the extent that the speaker would like
to invest on the promise to compensate risk, the statements expected utility
decreases, because any stronger reward would only be more costly and thus
further decrease the speakers expected utility. This is then the main difference
between conditional threats and disjunctive promises: although both mention
a speaker-undesirable option, which is risky under uncertainty, threats, but not
promises, can be pumped up cheaply, so to speak, to compensate for the risk.
Taken together, we argue that disjunctive promises are suboptimal, because
they emphasize the wrong alternative and cannot compensate for any negative
effects that this might have. It is the combination of natural speaker uncertainty,
priming by mentioning and the asymmetry of when punishments and rewards are
speaker-costly that explains why disjunctive promises are a deficient inducement
strategy.
84
5.
Conclusion
85
Games with incomplete awareness. Research Paper No. 1894, Stanford University.
Fillenbaum, Samuel
1986
The use of conditionals in inducements and deterrents. In: E. C. Traugott, A. ter Meulen, J. S. Reilly and C. A. Ferguson (eds.), On Conditionals, 179195. Cambridge University Press.
Franke, Michael
2008
Pseudo-imperatives and other cases of conditional conjunction and
conjunctive disjunction. In: C. Fabricius-Hansen, and W. Ramm (eds.),
Subordination versus Coordination in Sentence and Text From a
Cross-Linguistic Perspective, Studies in Language Companion Series
(SLCS), 255279. Amsterdam, Philadelphia: John Benjamins.
Franke, Michael and Tikitu de Jager
2011
Now that you mention it: Awareness dynamics in discourse and decisions. In: Anton Benz, Christian Ebert, Gerhard Jager and Robert van
Rooij (eds.), Language, Games, and Evolution, 6091, Heidelberg:
Springer.
Gazdar, Gerald
1979
Pragmatics: Implicature, Presupposition, and Logical Form. New
York: Academic Press.
Gazdar, Gerald
1981
Speech act assignment. In: Joshi, A. K., Webber, B., and Sag, I. A.
(eds.), Elements of Discourse Understanding, 6483. Cambridge University Press.
Geis, Michael L. and Arnold M. Zwicky
1971
On invited inferences. Linguistic Inquiry 2(4): 561566.
Geurts, Bart
2005
Entertaining alternatives: Disjunctions as modals. Natural Language
Semantics 13: 383410.
Hamblin, Charles L.
1970
Fallacies. Methuen, London.
Heifetz, Aviad, Martin Meier and Burkhard C. Schipper
2009
Dynamic unawareness and rationalizable behavior. Unpublished
manuscript.
Horn, Laurence R.
2000
From if to iff : Conditional perfection as pragmatic strengthening.
Journal of Pragmatics 32: 289326.
Hirschleifer, Jack
2001
Game-theoretic interpretations of commitment. In: R. M. Nesse (ed.),
Evolution and the Capacity for Commitment, 7793. Russell Sage
Foundation.
86
87
Part II.
Sentence Types and Clausal Peripheries
1.
Introduction
This paper reconsiders the analysis of the CP of cleft sentences developed in previous works (Belletti 2008, 2009), with the main aim of going deeper into some
of its aspects, and widening its empirical coverage. The main issues addressed
in this perspective concern in particular: the way the locality of syntactic computations conditions the syntax and interpretation of clefts; the detailed analysis
of the shape of the CP domain in clefts; aspects of the interpretation of clefts in
combination with closely related structures, such as the clausal complements of
perception verbs.
The analysis is framed in cartographic terms (Cinque 2002 ed.; Rizzi 2004
ed.; Belletti 2004 ed.; Cinque and Rizzi 2010, and related work), according
to which dedicated positions in the functional structure of the clause overtly
express different interpretations in different syntactic positions. This richness in
the functional structure can have crucial consequences for the relevant locality
principle operating in syntax, whose specific operation is considered here in the
domain of clefts. A further consequence of the approach is that it also allows
one to explicitly identify and characterize both the content and the size of the
functional domain: the CP space of clefts is analyzed in some detail in this
perspective.
* I thank here the people from whose comments and remarks this article has specially
benefited, in different presentations in different occasions: Paola Beninc`a, Liliane
Haegeman, David Pesetsky, Luigi Rizzi, Dominique Sportiche, Edwin Williams, Ede
Zimmermann.
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Adriana Belletti
2.
Some Bbackground
On the other hand, such reduced CP complement may have a partly different
status in subject and non-subject clefts (referred to with the general term object
clefts, henceforth). Only in subject clefts the reduced CP complement is (/may
be) endowed with an EPP feature, the formal way to represent the predication
relation which is expressed by this type of clauses. The proposal is summarized
in (2):
(2)
a.
b.
Subject clefts:
the complement of the copula is/may be a reduced CP containing
an EPP feature
Object clefts:
the complement of the copula (always) is a reduced CP with no EPP
feature
1. See Belletti (2008, 2009) for more details. Throughout I will use the general label
CP to refer to sentential (small) clausal complements. Where relevant, I will specify
some of the possible labels of the reduced CP. That the copula in clefts selects a
CP containing the clefted constituent is a proposal sharing similarities with classical
analyses such as those in Ruwet (1975), Kayne (1994) and related work; see also
Clech-Darbon, Rebuschu, Rialland (1999) for an overview of this type of approach
to the analysis of clefts.
The paper will only address the analysis of argument clefts, where the clefted constituent is a DP, either a subject or a direct object (with occasional reference to clefted
PPs).
2. Only some of the positions assumed in the left periphery from much work in the
literature are represented in (1); specifically, only the discourse related positions of
Focus andTopic which will be referred to in some of the discussion below are indicated
in (1). See also Rizzi (2004); Beninc`a and Poletto (2004); Haegeman (2004); Bocci
(2004); Grewendorf (2005); Mioto (2003); Bianchi and Frascarelli (2009), for some
items of a rich relevant literature dealing with the map of the left periphery and its
interpretable positions in the sense of Chomsky (1995, 2005).
93
In (2) the fundamental distinction between the two types of clefts is stated.
According to this proposal, subject clefts have one option more than object
clefts: their reduced CP complement may be endowed with an EPP feature.
As far as its size is concerned, the CP complement of the copula is thus a
small CP in both subject and object clefts, since it lacks some layers. Technically, it can be defined as a small clause (Starke 1995) in the case of subject
clefts, as only in this case a predication relation holds between the clefted subject
and the rest of the (relative) clause following (Stowell 1983; Burzio 1986; Moro
1997; Rothstein 2000). Examples of a subject and an object cleft are given in
(3a) and (3b), from French and Italian respectively:
(3)
a.
b.
S: Cest
it is
O: E
(it) is
Marie qui a
parle
Marie that
has spoken
MARIA che (i ragazzi) hanno incontrato
Maria that the boys
have met
According to the proposal in (2), subject clefts in which the copula selects a small
clause CP and object clefts in which the copula selects a reduced CP, correspond
to the schematic structures in (4) following. For convenience, the shortcut be
indicates the copula and che indicates the complementizer, the realization of
C in Italian clefts. The crucial hypothesis in (4) concerning the complementizer,
is that in clefts it is the realization of the Fin head.3 It is left open for now, the
amount of reduction the CP undergoes (3.2 for relevant discussion).
(4)
a.
b.
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Adriana Belletti
Q
A
(6)
Q
A
Of course, there is nothing wrong with the form of the clefts in (6), which are
perfectly grammatical sentences in French, in particular in their non-reduced
form. What is wrong, is just their use as an answer, in the question-answer context. They cannot answer a question, which is simply asking for the identification
of the object, with no other presupposition implied. The clefts in (6) are perfect
95
in, e.g., a contrastive/corrective context as the one in (7), which illustrates the
direct object case5 :
(7)
a.
b.
Context:
On ma dit que hier tas achete un journal.
They told me that yesterday you have bought a newspaper.
Correction:
Non, cest UN LIVRE que jai achete.
It is a book that I have bought.
a.
b.
Context:
On ma dit que Marie a parle.
They told me that Marie has spoken.
Correction:
Non, cest JEAN qui a parle.
No, it is JEAN that/who has spoken.
Hence, subject clefts have one interpretive option more. Ultimately, this further
option should be ascribed to the possibility for subject clefts to also admit the
same syntactic analysis as object clefts.
How can the difference between subject and object clefts be expressed? Why
do subject clefts and object clefts differ in their interpretative possibilities in the
described way?
Following the cartographic analysis in Belletti (2004, 2009), I assume the
existence in the low part of the TP clausal map of a vP periphery containing a
Focus position, characteristically dedicated in different languages to host purely
new information constituents. For instance, this low Focus position is assumed
to host post-verbal subjects carrying new information in a language like Italian.
According to this analysis, the post-verbal subject in the answer in (9b), fills the
5. Leaving the relative predicate unpronounced is less felicitous in this case. I leave
open here the issue as to what extent exactly the relative predicate of a cleft can be
left unpronounced. An issue which clearly deserves attention in future research.
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Adriana Belletti
dedicated low Focus position and it is thereby interpreted as the new information
asked for in the question in (9a). This assumed analysis is schematized in (9c,d):6
(9)
a.
b.
Chi ha parlato?
Who spoke?
Ha parlato Gianni.
has spoken Gianni
c.
d.
Verb (or part of the verb phrase) movement, yields the verb-subject order, with
the subject linearly appearing post-verbally.
Going back to the interpretive issue under discussion, with the clefted
constituent (possibly) new information focus in subject clefts vs contrastive/
corrective focus in object clefts, a crucial idea is that the Focus position utilized
is different in the two cases. It is the vP peripheral low Focus position in the
matrix clause vP periphery of the copula, in the case of new information subject
clefts; it is the high left peripheral position in the reduced CP complement of the
copula, in the case of contrastive/corrective object clefts and also in subject
clefts when they are interpreted/used contrastively/correctively, a possibility
seen in (8). In the former case, the clefted subject is interpreted as focus of new
information, and, in a language like French in which clefts are typically used in
answers, the structure can be used as an answer to a question on the identification
of the subject; in the latter case, the clefted object is interpreted as contrastive/
corrective focus, as is typically the case for left peripheral focalization, and a
cleft cannot be used to answer a question concerning the identification of the
6. For a more detailed discussion of the various implications of this analysis in the
cartographic perspective as well as of the existence of different answering strategies
to the same questions across languages and their acquisition in L1 and L2, see the
references of my previous work quoted. As is also discussed there, the vP periphery
also containsTopic positions illustrated in (9c) in the text, along parallel lines as the CP
clause external left periphery. A post-verbal subject with a Topic/given interpretation,
typically associated with a downgrading intonation, should fill this low position,
accordingly. I will not elaborate on this any further here, as it would take the discussion
too far apart and continue to only indicate the relevant vP peripheral Focus position
in the derivations. The reader is again referred to the reference quoted (in particular
Belletti 2004) for detailed elaboration on this point.
97
However, the semantics of the two structures cannot be completely assimilated. The
contrastive/corrective focalization of clefts is more constrained than simple contrastive/corrective focalization as in i: a quantified expression cannot be focalized
through a contrastive/corrective cleft, whereas it can be contrastively/correctively
focalized in a simple sentence:
ii.
a.
b.
Thanks to P. Beninc`a and to E. Zimmermann for pointing out this type of contrasts,
which seems to indicate the non quantificational status of the Focus position involved
in clefts. The cartographic consequences of this conclusion will not be developed
here. For ease of exposition, I am going to continue to assume that the Focus position
involved is the same in both simple focalization and (object) clefts, and that the interpretive limitations shown in clefts should ultimately be derived from their overall
semantics, only partly linked to the type of focalization that clefts express.
8. On the possible correlation between new information subject clefts and the nonnull subject nature of the language, see Belletti (2008, 2009), also partly based on
experimental results from Brazilian Portuguese reported in Guesser (2007).
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Adriana Belletti
a.
[TP Ce . . . T [ FocP [vP etre [CP Force [CP . . . [ EPP Jean [FinP qui[ a parle]]]]]]]] 9
b.
99
(11)
[TP . . . [. . . [FocP . . . [vP be [CP Force [CP EPP [FinP che [TP S . . . . . . O ]]]]]. . .
This in turn implies that the object cannot move to the vP peripheral focus
position, and consequently cannot be interpreted as the focus of new information.
Hence, an object cleft cannot function as a possible answer to a question of
information, but only a subject cleft can, as the contrasts in (8) have shown.
Related to the informational/discourse issue, one may ask whether it could
not be possible for the object to directly move to the vP peripheral focus position
in the matrix clause, in a structure where the CP is just a reduced CP with no
EPP feature, like the one in (10) b. The corresponding derivation schematically
illustrated in (12) is, however, also ruled out on locality grounds:
(12)
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Adriana Belletti
has the desired consequences for the different discourse value of subject and
object clefts discussed.
In the next section new issues and some further consequences derivable from
the proposed account are presented.
3.
a.
b.
Chi e`
Who is
GIANNI
Gianni
At first sight, a possible derivation of (13a,b) is the one given in (14), modulo
the different landing site of the moved DP in the two cases, which are identified
with a single position in (14) to make the representation easier to read:
(14)
[CP [FocP / Wh [TP . . . [vP e` [CP Force . . . [FocP chi/GIANNI. . . [ FinP che [TP S. . . ]]]. . .
The derivation in (14) is, however, highly problematic. If, as illustrated in (14),
movement can affect the peripheral focussed phrase from the reduced CP, as this
CP only contains interpretable criterial positions by hypothesis, such movement
should not be possible at all. Under the criterial freezing approach mentioned
101
above, a derivation like (14) should not be a viable option. I follow here Rizzis
(2010) recent proposal on the question. According to this proposal, in cases
like those in (13) movement does not actually affect the DP within the Focus
Phrase as in (14), precisely because this movement would be in clear violation
of criterial freezing. Movement to the matrix left periphery may rather target
here a larger constituent corresponding not just to the DP in Focus, but the
whole FocP. Moving a larger constituent than the one which satisfies a criterion
(here the Focus criterion in the embedded reduced CP) is compatible with the
freezing principle (Rizzi 2006, 2010 for detailed discussion). In order to make
this movement possible, Rizzi assumes that first the relative predicate of the CP
is extraposed, and then the whole remnant phrase containing the Focus Phrase,
is moved to the relevant position into the matrix CP. The relevant steps of the
assumed derivation are illustrated in (15):
(15)
[CP [FocP/Wh [TP . . . [vP e` [FocP chi/GIANNI . . . [FinP che [TP S. . . ]]]
Extraposition of relative predicate10
[CP [FocP/Wh [TP . . . [vP e` [FocP chi/GIANNI . . . <FinP>] [FinP che [TP S. . . ]
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(16)
Adriana Belletti
a.
b.
E
(it) is
E
(it) is
Gianni
Gianni
Gianni,
Gianni,
che devo
that I have
oggi, che
today, that
incontrare oggi.
to meet
today
devo incontrare.
I have to meet
(Rizzi 2010: 7577)
The important question to ask is whether the extraposition of the relative predicate is just a option, as (16b) shows, so that it is made appeal to when the freezing
principle is at stake, or whether the process is somehow more general, possibly
inherently linked to the cleft computation. The latter possibility would be much
more interesting, as it would allow one to conclude that nothing special should
concern structures such as those in (14) where movement from the reduced CP
is performed, as far as extraposition is concerned. Converging evidence to the
effect that extraposition of the relative predicate of clefts is not an isolated phenomenon is interestingly indicated by the following contrasts in West Flemish,
brought to my attention by Liliane Haegeman (who has provided the examples):
(17)
a.
11. That extraposition of the relative predicate occurs in clefts is proposed on semantic
grounds in Percus (1996), see also Hedberg (2000). Relevant in this regard is also
the consideration of the nature of the subject of the matrix clause in clefts it in
English whose expletive nature has been recently put into question in various
respects in Reeve (2010); see also Moro (1997) for relevant converging reasoning
on French ce of French clefts. It is tempting to somehow relate, at least in part, the
necessity of extraposition to the presence of the quasi-expletive in clefts. A research
program that I will undertake in future work.
103
A.
B.
Hence, despite the possible availability of the position in the structural space,
the Topic position in the reduced CP selected by the copula cannot host a clefted
constituent. This is coherent with the often observed fact that clefting strictly
12. The natural assumption is made that the CP of subject clefts has the same shape,
modulo presence of the EPP feature. As both subject and object clefts can be contrastive/corrective as discussed, all other things being equal, reference to contrastive/
corrective clefts makes the discussion wider in principle (than just considering new
information subject clefts only).
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Adriana Belletti
Let us comment on (19) a bit further and consider first, the respective order of the
constituents in Focus and Topic, and second, the position of the complementizer
in the CP.
As far as the respective order of the Focalized and theTopicalized constituents
is concerned, (19) displays the order with Focus higher than Topic. The opposite
order is totally excluded, as indicated in (20):
(20)
The total exclusion of (20) strongly suggests that the Topic position above Focus
is not present at all, thus arguing for the hypothesis that the reduction of the CP
complement of the copula does not include positions higher than Focus. This
conclusion is coherent with the idea just discussed that the copula selects Focus.
As for the co-occurrence of the corrective/contrastive focus and the left
dislocated topic in the left periphery, (19) corresponds to a sentence like (21),
where the same corrective/contrastive focalization does not involve clefting but
takes place in a simple declarative:
(21)
13. In new information subject clefts, in which the relevant focus head is the vP peripheral
one in the matrix clause, it can be proposed that the selection relation is re-established
by the movement of the copula into the matrix T, as the embedded CP does not contain
an active Focus head in this case, but rather the active head is the one with the EPP
feature.
105
106
Adriana Belletti
a.
Penso che il libro, MARIA, a Gianni non glielo abbia ancora dato
(non Francesca).
I think that the book MARIA, to Gianni has not yet given it to
him (not Francesca).
b. ?Penso il libro, che MARIA, a Gianni non glielo abbia ancora dato
(non Francesca).
I think the book that MARIA, to Gianni has not yet given it to
him (not Francesca).
c. *Penso il libro, MARIA che a Gianni non glielo abbia ancora dato
(non Francesca).
I think the book, MARIA that to Gianni has not yet given it to
him (not Francesca).
d. *Penso il libro, MARIA a Gianni che non glielo abbia ancora dato
(non Francesca).
I think the book, MARIA to Gianni that has not yet given it to
him (not Francesca).
In all the sentences in (23), the two Topic positions and the Focus position in
the left periphery of the complement of the verb pensare (think) are realized.
(23a) is a perfect sentence where the expected word order with che in the highest Force is realized. (23b) is possible, although slightly marginal, presumably
because the (declarative) force of the complement clause is realized in a non
canonical head (the Topic head). (23c), however, where the complementizer
follows both the high Topic and the contrastive/corrective peripheral Focus, is
not just marginal, it is plainly ungrammatical. (23d), where the complementizer
follows lowest Topic as well, presumably remaining in Fin, is also excluded. It is
tempting and reasonable to interpret this ungrammaticality as due to selection:
the complementizer is located too far from its selecting verb in (23c,d). If this
interpretation is on the right track, nothing special to clefts needs to be said on
the position of the complementizer in (19), unexpected at first sight, but actually
107
in line with the regular syntax of the complemenizer, in combination with the
selectional properties of the copula, and the reduced size of the CP.
3.3. The Similarity with Other Structures
3.3.1.The CP Complement of Perception Verbs: Pseudorelatives and Clefts
The shape of the reduced CP complement attributed here to subject clefts finds
a close analogue with the one of pseudorelatives, the sentential complement
of perception verbs (Belletti 2008, 2009). Here, I will just review the main
features of the similarity shared by the two structures and then point out some
interpretive constraints which follow directly from the general account proposed.
The interpretive constraints manifest themselves when new information subject
clefts and pseudorelatives are combined in a Question-Answer exchange.
The analysis proposed for pseudorelatives, essentially updates the analysis
originally proposed by Guasti (1993), under the articulated conception of the CP
domain adopted here. According to this analysis, a sentence like (24a) contains
a pseudorelative complement of the perception verb vedere (see), which is a
reduced CP with an EPP feature, the CP small clause illustrated in (24b):
(24)
a.
b.
For concreteness, in (24) I assume that Maria is moved to the EPP position in
the CP from inside the TP of the predicate, with movement taking place from
the postverbal position (as is always the case in Italian, see Rizzi and Shlonsky
2007 and references cited therein), indicated with in (24). As pointed out
in the references quoted, a sentence like (24a) can constitute an answer to both
question (25a) and question (25b) below; this is so because, differently from
subject clefts, pseudorelatives do not necessarily require the focalization of the
subject argument, as the focus of new information can also be constituted by
the whole clause in pseudorelatives. (25c), illustrates the interpretation of the
pseudorelative as an answer to (25a). It is clear from (25c), the close similarity
of this type of pseudorelative with subject clefts:
(25)
a.
b.
c.
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Adriana Belletti
The answer in (26) is not possible, with the indicated meaning16. This is expected
under the proposed analysis, as the subject cleft answer implies the vP peripheral
focalization in the matrix clause containing the copula, which in turn inevitably
yields the violation of Relativized Minimality illustrated in the derivation in
(27), due to the presence of the intervening subject of the perception verb (je,
in the example).
*
(27)
[TP . . . [FocP [vP be[C [EPP Maria] [FinP que[TP jai vu [CP [EPP <Marie>]
[FinP qui [TP . . . pleurait. . . ]]]]]]]]]
16. Thanks to Dominique Sportiche for providing the judgment and also for clarifying
his intuition in the following terms: (26) is not just the answer to the question asked; a
different prosody would make the sentence possible, but this would mean changing the
presuppositions, which is not the situation the question-answer pair in (26) refers to.
109
Interestingly, a -ing clause is also possible as a subject cleft of the type illustrated
in (30). A cleft like (30) can possibly function as a new information subject cleft:
(30)
Once again the complement of a perception verb and subject clefts appear to be
strictly related.
If the proposal is on the right track, the derivation of the -ing cleft in (30)
should involve both V-to-T-to-C/Fin and the familiar movement of the subject
into the EPP position of the CP small clause, and, from there, into the vP peripheral Focus position of the matrix copula (plus the movement of the copula into
the matrix T), as in the derivation 1 in (31) below. Alternatively, in the case of a
reduced CP with no EPP feature, the sentence should involve direct focalization
in the reduced left periphery, the derivation 2 in (31)17 :
(31)
1
[. . . [ FocP . . . [vP be [CP FOC // EPP [FinP -ing [ TP John T [work . . . ]]]]]]]
2
4.
Conclusion
This article has focussed on two main points: the investigation of the way in
which the locality of syntactic computations conditions the syntax and the interpretation of clefts; and the way in which the CP domain is shaped in clefts.
17. A possible third alternative analysis exists, in which the whole -ing clause moves into
the new information focus position. This would correspond to a reading in which the
whole -ing clause, not just the subject is the focus of new information, a possibility
available for this type of clefts, similarly to pseudorelatives, as noted in the discussion
surrounding (25).
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Adriana Belletti
The two aspects have been shown to correlate closely, as the locality ban against
intervention according to Relativized Minimality, derives the different interpretations of subject and object clefts, under the crucial assumption that the CP
space, syntactically analyzed in cartographic terms, is reduced in clefts. The
possibly different discourse value of clefts is thus ultimately a consequence of
the operation of the general locality principle and of the specific shape of the
syntactic structure of clefts.
The shape of the CP space of clefts is not isolated, other structures such as the
sentential complement of perception verbs share the same type of configuration;
furthermore, in both the complement of perception verbs and in clefts the Fin
head can host different type of material beside the complementizer; we have
speculated that the -ing ending be a possible realization of this head which closes
up the CP domain. Potentially problematic derivations have also been discussed,
among which a prominent one is the apparent possibility of extraction out of
the interpretable criterial positions of the CP of clefts, for which an account
making reference to extraposition of the cleft sentence has been suggested.
Rather than being just an option made use of in the special extraction conditions,
the hypothesis has been entertained that the extraposition process may turn out to
be inherently linked to clefts. This hypothesis, which has also sometimes been
proposed on semantic grounds, will be further closely investigated in future
work.
References
Abels, Klaus and Muriungi, Peter
2005
The Focus particle in Ktharaka: Syntax and Semantics. Lingua 118:
687731.
Belletti, Adriana
2009
Structures and Strategies (Answering strategies: New information
subjects and the nature of clefts, Chapter 10). New York: Routledge.
Belletti, Adriana
2008
The CP of Clefts. Rivista di Grammatica Generativa 33: 191204.
Belletti, Adriana
2004
Aspects of the low IP area. In: Luigi Rizzi (ed.), The Structure of
CP and IP. The Cartography of Syntactic Structures, Vol. 2, 1651.
Oxford: Oxford University Press.
Belletti, Adriana
2004 ed.
Structures and Beyond. The Cartography of Syntactic Structures,
Vol. 3. New York: Oxford University Press.
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Syntactic Focus and Intonational Focus in the left periphery. In: Guglielmo Cinque and Giampaolo Salvi (eds.), Current Studies in Italian
Syntax Offered to Lorenzo Renzi, 3964. Amsterdam: Elsevier.
Beninc`a, Paola and Poletto, Cecilia
2004
Topic, Focus and V2: Defining the CP Sublayers. In: Luigi Rizzi (ed.),
The Structure of CP and IP. The Cartography of Syntactic Structures,
Vol. 2, 5275. New York: Oxford University Press.
Bocci, Giuliano
2004
Contrastive focalization on topics and preverbal subjects in Italian.
Rivista di Grammatica Generativa 29: 359.
Bocci, Giuliano
2009
On Syntax and Prosody in Italian. PhD dissertation. University of
Siena.
Bianchi, Valentina and Mara Frascarelli
2009
Is Topic a root phenomenon. Iberia.
Boskovic, Zeljko
2007
On Successive Cyclic Movement and the Freezing Effect of Feature Checking. In: Jutta Hartmann, Veronika Hegedus and Henk van
Riemsdjik (eds.), The Sounds of Silence. North Holland: Elsevier.
Burzio, Luigi
1986
Italian Syntax. A Government-Binding Approach. Dordrecht: Reidel.
Cardinaletti, Anna
2004
Towards a Cartography of Subject Positions. In: Luigi Rizzi (ed.),
The Structure of IP and CP. The Cartography of Syntactic Structures,
Vol. 2, 115165. New York: Oxford University Press.
Chomsky, Noam
1977
On Wh-Movement. In: Adrian Akmajian, Peter Culicover and Thomas
Wasow (eds.), Formal Syntax, 71132. Academic Press.
Chomsky, Noam
1995
The Minimalist Program. Cambridge Mass: MIT Press.
Chomsky, Noam
2005
On Phases. In: Robert Freidin, Carlos Peregrn Otero and Maria Luisa
Zubizarreta (eds.), Fundational Issues in Linguistic Theory. Cambridge, Mass: MIT Press.
Cinque, Guglielmo
2002 ed.
Functional Structure in DP and IP. The Cartography of Syntactic
Structures, Vol. 1, New York: Oxford University Press.
Cinque, Guglielmo and Luigi Rizzi
2010
In: Bernd Heine and Heiko Narrog (eds.), The Cartography of Syntactic Structures. The Oxford Handbook of Linguistic Analysis, 5165.
Oxford/New York: Oxford University Press.
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Kiss, Katalin E.
1998
Identificational Focus versus Information Focus. Language 74(2):
245273.
Rizzi, Luigi
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Rizzi, Luigi
2004 ed.
Rizzi, Luigi
2006
Rizzi, Luigi
2010
113
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Ruwet, Nicolas
1975
Starke, Michal
1995
Stowell, Tim
1983
1.
Introduction
Half a century of formal syntactic studies has brought to light the complexity
and richness of syntactic structures. The cartography of syntactic structures is
the line of research which addresses this topic: it is the attempt to draw maps
as precise and detailed as possible of syntactic configurations. The cartographic
projects started, over a decade ago, as an attempt to provide fine descriptions of
certain zones of the syntactic tree in some Romance and Germanic languages,
but they immediately showed a universal dimension, and were quickly extended
to many other language families.
In this paper I would like to illustrate some of the results of the cartographic
studies in connection with the left periphery of the clause, and discuss the
implications of this line of research for the study of the interfaces connecting
syntax with the systems of sound and meaning. In the last part I will show how
cartographic maps of the left periphery interact with classical topics of syntactic
research such as the theory of locality and the freezing effects.
2.
Economy conditions on movement in the Minimalist Program limit the application of movement to configurations in which it yields some effect on the
interpretive interface (Reinhart 2005). This is rather straightforward for one important class of cases of movement, displacing elements to the initial periphery
of the clauses, and yielding A -movement chains:
Consider some typical A -constructions in English, such as the following
clauses:
(1)
a.
b.
is here.
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Luigi Rizzi
c.
d.
It is intuitively clear what movement to the front does in these cases. In (2a) it puts
an interrogative operator, the wh-phrase, in its proper scope position to yield the
appropriate logical form for which x, x a book, [you should read x]; similarly,
the moved element is interpreted as a relative operator (the book x such that [you
should read x]) in (2b), and analogous operator-variable structures are assigned
to exclamatives, comparatives and other constructions involving the left periphery of the clause. So, in these cases the relevant syntactic element which book,
etc. receives two interpretive properties: the argumental thematic role of patient
of read, and the role of interrogative operator taking scope over the whole clause.
Cases (2c) and (2d) are slightly different: here the preposed element expresses
the discourse-related property of being the Topic, or the (contrastive) Focus
of the structure, respectively, properties relevant for the information packaging of the expression (Vallduv 1992), and its usability in discourse. Putting
together all these cases under a synthetic label, I will follow Chomsky (2004)
and call the interpretive properties associated to the initial position properties of
scope-discourse semantics: the scope of operators and the discourse-related
properties expressing the informational articulation of the structure. So, these
cases of movement connect two positions: one dedicated to argumental semantics, the thematic role, or, more generally, the position in which an element is
semantically selected (or S-selected: for instance, a time adverbial is S-selected
by a T head, an aspectual adverbial is S-selected by the appropriate Asp head,
etc. in an approach to adverb syntax like the one developed by Cinque 1999);
and one dedicate to scope-discourse semantics.
What does it mean for a position to be dedicated to a certain interpretation?
In the case of argumental semantics this is straightforward and uncontroversial:
argumental roles are assigned by certain lexical heads, typically verbs, to their
immediate dependents. So, the verb read assigns the role patient to its complement and the role agent to its specifier (perhaps through the mediation of
a light verb v). As for scope-discourse semantics, I would like to assume an
approach which generalizes the same basic mechanism to it: there is a dedicated system of functional heads, typically in the left periphery of the clause,
which assigns to its dependents such properties as scope position and scope
domain of such and such type of operator, Topic and Comment, Focus
and Presupposition, etc. So the assignment of both kinds of interpretive properties is uniformly a matter of head-dependent relations. This structural view
of scope, topicality and focus is sometimes called the criterial approach to
scope-discourse semantics:
(2)
117
This amounts to saying that sentences (1) should have representations like the
following, with heads such as Q, Top, etc., which attract the wh-operator, the
Topic, etc., to their specifier (in these representations I have expressed the gap
left by movement as a full unpronounced copy of the moved phrase, as in the
copy theory of traces):
(3)
a.
b.
c.
d.
Which book
The book which
This book
THIS BOOK
Q
R
Top
Foc
In English these heads are silent, they do not correspond to any overt morpheme
(except for the fact that Q in main questions attracts the functional verb, in a
case like (3a) the modal, so that the position ends up being filled in this case).
There is straightforward comparative evidence which makes the hypothesis
expressed by (2)(3) immediately plausible: in many languages this system of
left peripheral heads is pronounced, expressed by overt particles:
(4)
a.
b.
(5)
a.
b.
lo y`a
[K`of h`u
`]]].
the TOP Kofi killed it
lo w`e [K`of h`u ]]].
the FOC Kofi killed
(4a) shows that the Q head is overtly expressed as of (if) in certain (non-standard)
varieties of Dutch. Relative clauses are marked in Bavarian by the special complementizer wo, homophonous to the wh-element for where, and which can
co-occur with the relative operator (the D-pronoun den in (4b) its Spec.The
118
Luigi Rizzi
topic and focus heads are expressed by the particles y`a and w`e , respectively, in
Gungbe, as shown in (5).
The A criteria were originally formulated as representational principles in
terms of the GB framework: a phrase endowed with the appropriate A feature
must be in a Spec-head configuration with a left-peripheral head endowed with
the same feature; the configuration must be met at LF uniformly across languages
as it is crucial for the interpretation of such structures; particular languages may
require its satisfaction already at S-structure, a matter of parametric variation;
in these cases, movement to the left periphery will have to be overt (Rizzi 1991).
In derivational terms more congenial to the minimalist conception of syntactic computations, the syntactic role of the criteria can be recast as the capacity
that criterial heads have of attracting phrases endowed with matching criterial
features (see Aboh 2007 for an implementation along these lines):
(6)
I leave open here the question of whether attraction involves a system of uninterpretable features, as in the detailed implementation proposed by Pesetsky
and Torrego (2001) (see Rizzi 2006, 2009 for a discussion of the possible role of
purely formal, uninterpretable counterparts of criterial features in an approach
to A syntax based on criteria). I will also leave open here the issue of the in
situ strategy for wh and other A constructions, which may involve covert movement or the establishment of a pure Agree relation from the criterial head to the
relevant criterial phrase.
In addition to their strict syntactic role of triggering movement, criterial heads
have another and equally important function: they are visible to the interface
systems of sound and meaning to signal in a transparent manner the interpretive
properties of scope-discourse configurations. So, for instance, the criterial head
Top goes with an interpretive instruction of the following kind:
(7)
[XP [Top
YP
]]
Topic
Comment
I.e., my Spec is to be interpreted as the topic, and my complement as the comment made about it, where a topic expresses a referent selected among those
familiar from context, and about which a comment is made (with the possibility of further subspecifications, characterizing a possible family of topics:
Beninc`a and Poletto 2004; Frascarelli and Hinterhoelzl 2007; Bianchi and Frascarelli 2009; see Rizzi 2010b for a more detailed discussion of the interpretive
properties of Topics). Similarly for the Foc head:
(8)
119
[XP [ Foc
YP
]]
Focus
Presupposition
I.e., my Spec is to be interpreted as focus and my complement is the presupposition, where focus means that XP provides the value of a variable in the
presupposition, a value that is assumed to be new information for the interlocutor. Here too, there can be additional specifications which define different
types of foci, for instance contrastive focus as opposed to simple new information focus. E.g., when I utter (1d), I assume not only that you know that you
should read something (presupposition), and I convey the information that the
thing you should read is this book (new information), but I also assume that this
new information falls outside what I take to be your natural expectations, with
which the new information I am providing is contrasted (so, this contrastive
focal structure is very naturally concluded by a negative tag explicitly excluding the information imputed to the interlocutors system of beliefs, i.e., in the
case of (1d), Bills book). Clearly, languages assign distinct focal properties to
different positions, in ways that are parametrised in part. In Romance languages
like Standard Italian, the clause-initial focal position is dedicated to contrastive
focus, while in the Sicilian dialects and in the regional varieties of Italian spoken
in Sicily the initial focus position can be used for simple new information focus
(Cruschina 2008), hence be used to answer a simple wh-question.
Criterial heads also guide the interpretation of the sentence at the interface
with the sound system, much as they guide the interpretation at the interface
with semantics and pragmatics. Consider for instance the careful experimental
study of the pitch contour of Italian Topic and Focus constructions conducted by
Bocci (2009). The following figures (Giuliano Boccis courtesy) illustrate the
two contours:
(9)
450
400
Pitch (Hz)
300
200
100
H+
a mi he
+L*
lan
L-L%
A Michelangelo
0
H+ +L*
de lo der
ma
H+ +L*
ni ho vo
Germanico
Time (s)
H+
r be pre zen
vorrebbe
+L*
ta
presentare
H+ +L*
re pje
L-L%
ran de la
Pierangela
3.7942
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Luigi Rizzi
(10)
550
500
400
Pitch (Hz)
300
200
100
L+ +H*
a
mi
he
lan
Lde lo
A MICHELANGELO
0
L*
der
ma
L*
ni ho
Germanico
vo rb be pre
vorrebbe
Time (s)
zen
ta
presentare
L*
re pje
ran
L-L%
de la
Pierangela
3.61823
The pitch contours of Topic and Focus are distinct (with contrastive Focus receiving a higher prominence than Topic, Bocci 2009), and the contours of Comment
and Presupposition are sharply different, with a complete flattening of the contour of the presupposition in (9), which contrasts with the highly articulated
contour of the comment in (8). Again, we can think of the criterial heads as
giving instructions to the prosodic component to yield the different types of
contours associated with the different discourse functions, much as they do in
the interpretive components on the meaning side, as in the model that Bocci
(2009) adopts and develops.
In conclusion, criterial heads have a syntactic function, attracting elements
to the periphery of the clause, and interpretive functions on both interfaces with
sound and meaning, triggering certain semantic-pragmatic routines expressing
the informational organization of the clause, and the assignment of specific pitch
contours which will make the relevant interpretive properties salient and immediately detectable from the speech signal (see also the discussion in Frascarelli
2000).
This way of looking at the expression of scope-discourse properties has
several advantages over imaginable alternatives.
On the one hand, rather than assuming a proliferation of different devices for
the expression of scope-discourse semantics, it assumes a uniform mechanism
to hold across languages: scope-discourse properties are expressed by a system
of dedicated functional heads acting upon their immediate dependents, much as
thematic properties are expressed by a system of lexical heads (or low functional
heads of the v type). An elementary but salient parametric property here has to
do with whether such heads are overt, expressed by pronounced morphemes,
121
In many languages, Topic and Focus can co-occur, often in a fixed order, illustrated by the following Gungbe example:
(11)
Hence, cartographic issues arise at this point: we want to know what global configurations the left periphery of the clause can assume, what properties remain
constant across languages and what other properties are submitted to parametric
variation.
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Luigi Rizzi
But it soon became very clear that this picture was oversimplified. Examples
like (11) show that more elements can co-occur in the left peripheral pre-subject
position of the clause; this fact per se may still be expressed with a simple
representation like (12) through the assumption that multiple adjunctions to the
IP are allowed, as in a traditional line of analysis of topicalisation. But this
assumption is at odds with various properties:
a. the rigidity of certain orders as in (11), while a multiple adjunction analysis
would typically predict free ordering;
b. the presence in many languages of overt Top and Foc heads, whose distributional properties must be deferred to the interface systems in an adjunction
analysis;
c. the uniqueness of Topic and Focus in cases like (11): again, under an adjunction analysis one would expect free recursion, unless some special constraint
is added to the adjunction mechanism, and/or to the interface systems.
Similar considerations of word order, co-occurrence of different kinds of elements (adverbials and other elements), and properties of the morpho-syntax
had already led to the splitting of the I node into more elementary components
(Pollock 1989, Belletti 1990). The special attention to such constraints led to the
conclusion that each layer of (12) is an abbreviation for a much richer structural
zone. The cartography of syntactic structures is the attempt to build detailed
maps of each structural zone.
If the structural zones may be complex, the syntactic atoms are remarkably
simple and uniform: the structures are built through successive applications of
Merge, through which a head is combined with a complement and a specifier,
thus projecting a phrase. If the fundamental geometry of the building block is
always the same, the rich articulation of the structures is due to the richness of
the inventory of functional heads: the functional heads are much more numerous
than one would have assumed twenty five years ago, and the possible functional
structures, resulting from the combinations of functional heads according to
their selectional properties, are correspondingly more articulated.
123
So, if we take the magnifier and draw maps expressing the fine details of
structures, we find the same basic configurations and shapes that we observe
through a first-pass, naked eye survey. In this sense, syntactic structures are
like crystals, with the same shapes showing up at the macroscopic and microscopic levels.
Cartographic projects started with detailed descriptions of the IP and CP systems in some Romance and Germanic languages (Rizzi 1997, 2004b; Cinque
1999, 2002; Belletti 2004, 2009; Grewendorf 2002; Haegeman 2003, 2006), but
they quickly showed a general dimension, triggering much work on different languages and language families: Finno-Ugric (Puskas 2000), Semitic (Shlonsky
2000), Slavic (Krapova and Cinque 2004), West African (Aboh 2004), Bantu
(Biloa 2008), Creole (Durrleman 2008), East-Asian (Tsai 2007; Endo 2007;
Saito 2012), Dravidian (Jayaseelan 2008), Austronesian (Pearce 1999), Classical languages (Salvi 2005), etc.
4.
Going back to the CP system, the motivations for splitting it into a sequence of
functional heads were twofold.
First, different C-like particles occupy distinct syntactic positions, as is
shown by their ordering with respect to other elements: for instance, in my
variety of Italian the finite declarative complementizer che must precede topics, while the infinitival (prepositional) complementizer di necessarily follows
topics (che Top /Top di). This suggests that che and di occupy distinct positions
in the C space (Rizzi 1997), while both being part of the complementizer system (the complementizer status of di is well motivated for reasons discussed in
Kayne (1983), Rizzi (1982) and much subsequent work).
(13)
(14)
a.
Che and di cannot co-occur, as they are specialized for finite and non-finite
clauses, respectively; but sometimes delimiting complementizer particles can
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Luigi Rizzi
co-occur, before and after the topic-focus field, as particles mai and a in Welsh,
according to Roberts (2004) analysis:
(15)
Back to the Italian periphery, it can be observed that the interrogative complementizer se (if), marking yes/no embedded questions, seems to occupy an
intermediate position between che and di in that it can be both preceded and
followed by a topic:
(16)
a.
b.
a.
These simple distributional facts are hard to reconcile with a single layer
hypothesis for the C system, whereas they can be immediately accommodated
if a richer system is assumed: che delimits the complementizer system upwards,
di delimits it downwards, and se can appear in the middle, possibly preceded
and followed by topics (but necessarily higher than focus):
(18)
125
Cases like (19) straighforwardly confirm the higher part of map (18), arrived at
through indirect comparisons like (13)(16).
The opposite order if that is also found in some languages, e.g. Dutch varieties
in which the sequence wie of dat alternates with of in cases like (4a) (see (20a)).
Clearly, (the equivalent of) that is an unmarked, versatile complementizer form,
capable of occurring in the highest C position, and also, in cross-linguistically
variable manners, in lower positions: as the head hosting a preposed adverbial
clause in English varieties admitting (20b) (McCloskey 1992; Rizzi 2010b), as
the head hosting various types of left peripheral elements including topics in
the old southern Italian dialects discussed by Ledgeway (2003), as in (20c); it
can also be a focus head in Brazilian Portuguese (Mioto 1999), as in (20d), and
a marker of wh-exclamatives in Italian, as in (20e), etc.
(20)
a.
b.
c.
d.
e.
Clearly, the unmarked form of the complementizer can occur in different positions, sometimes simultaneously at the edge and within the complementizer
zone (Ledgeway 2003 argues that in cases of co-occurrence like (20c) the lower
occurrence can be analyzed as the spell out of the trace of che moving from Fin
to Force across intermediate head positions).
126
Luigi Rizzi
Given the head final character of the language the hierarchical order will be
. . . no] ka] to] which mirrors the hierarchical order Declarative/report interrogative force finiteness that is postulated for Romance. Saito (2012) also
provides evidence for a recursive topic field sandwiched in between Force and
Finiteness in Japanese:
(22)
This structure is very close to the one originally proposed in Rizzi (1997) for
Italian/Romance, modulo headedness and other parametric differences such as,
in Saitos analysis, the non-occurrence of a peripheral focus position in Japanese.
All these cases of distinct C-like elements occurring in different positions and
sometimes allowed to co-occur in a rigid order provide straightforward evidence
for a rich cartographic representation of the C-system.
5.
Are there alternatives to the view embodied in (18), (22) and similar representations? The main alternative amounts to insisting on more impoverished clausal
representations like (12), with basic ingredients such as:
a.
b.
c.
a single CP layer;
multiple adjunctions permitted to IP/TP;
interpretive systems made capable of interpreting the adjoined material as
topic or focus, and of expressing general or language specific co-occurrence
and ordering constraints.
127
128
Luigi Rizzi
Phrase, which can be recursive or not (i.e., Top can in turn select a Topic Phrase,
as in Italian, or not, as in Gungbe); in many languages a Top head can select a
Focus Phrase, but not vice versa; in Italian a Foc head can select a Top phrase,
perhaps of a special kind (a familiarity topic, in the typology introduced by
Frascarelli and Hinterhoelzl 2007); Force, Top, Foc can all select a Fin Phrase,
and Fin always selects an IP/TP, much as T can select an Aspect Phrase, v
selects a VP, V can select a DP, etc.: the same fundamental formal mechanism
is used across the board to express invariant and variable properties in structure
building. The selecting heads are sometimes overt and sometimes null, much
as, e.g., certain tense, aspect, voice or case morphemes.
A related but distinct issue is the question of the further explanation of
the functional hierarchy that is observed: why is it that we typically find certain
orders, rather than others? As pointed out in Cinque and Rizzi (2010) it is
unlikely that the hierarchy may be an absolute syntactic primitive, unrelated to
other requirements or constraints: why should natural language syntax express
such a complex and apparently unmotivated primitive? It is more plausible
that the functional hierarchy may be rooted elsewhere. External factors such
as interpretive requirements may be relevant in some cases. For instance, it is
argued in Rizzi (1997) that the non-recursive character of FocP is linked to the
interpretive properties of the Focus Presupposition articulation: if FocP were
recursive, the lower FocP would end up being in the presuppositional part of the
higher FocP, and an interpretive clash would arise. No such interpretive problem
arises in the case of TopP (because the comment of a higher TopP can in turn
have a Topic Comment structure), hence TopP can be recursive, an attested
parametric option.
Another factor which may explain certain orders is the theory of locality. As
Abels (2010) argues, if in a language the TopP has island-creating properties
and the FocP does not (or such properties hold relative to the two types of
movement, as in the system of Starke 2001; Rizzi 2004), then the only possible
order is Top Foc because in the opposite order the focused element could not
reach the Spec of the FocP across the topic island. This is a perfectly fine mode
of explanation and, as far as I can see, it is fully consistent with the adoption
of cartographic representations. On the one hand, it has nothing to say on cases
in which movement is not involved (i.e., in the Force Fin system in cases like
(15), (19), (21)), which therefore require a rich functional system anyhow, with
ordering determined on some other basis (presumably interpretive requirements,
possibly the locality of selection, as suggested in Rizzi 1997). On the other hand,
in the cases which involve movement of topics, foci, wh, etc., the critical issue
for the divide between cartographic vs simpler representations has to do with
the nature and properties of scope-discourse movement, not with the primitive
129
or derived nature of the ordering. If the criterial approach is on the right track,
as we have argued, a rich system of attracting heads is needed anyhow, quite
independently from the ordering issue, and it can very naturally be combined
with an approach a` la Abels to the ultimate, principled explanation of ordering.
So, the Occams razor argument that Abels gives is against the assumption of
a primitive templatic ordering, while, as far as I can see, it is fully consistent
with the criterial approach to scope-discourse semantics, which is the crucial
ingredient of the cartographic representations defended here.
Locality considerations may provide a principled explanation for certain hierarchical orderings of the functional sequence, as in Abels approach, and also
explain certain restrictions on the occurrence of left peripheral elements in certain structural environments, as argued in detail by Haegeman (2010): in her
analysis, the restrictions on the occurrence of a full-fledged left periphery in
various kinds of adverbial and complement clauses is a consequence of the fact
that such embedded constructions necessarily involve some kind of operator
movement which would be adversely affected by the intervention of other leftperipheral elements. Again, this kind of locality-based explanation is fully consistent with detailed cartographic representations, in fact it presupposes them.
In this kind of approach, the syntax-interpretation interface is fully transparent: there is a single kind of structural relation, the head-dependent relation which is read off syntactic representations by the interpretive systems, in
conjunction with the content of the criterial heads, to assign topicality, focus,
presupposition, etc., much as thematic role assignment works. The cartographic
representations exploit fundamental syntactic devices to transparently express
interpretive properties, thus simplifying the burden of the interface systems.
They represent an attempt to syntacticize scope-discourse semantics as much
as possible (Cinque and Rizzi 2010) without enriching the inventory of the
computational mechanisms needed on either side of the interpretive interface.
6.
A criterial position delimits a movement chain in the sense that a phrase meeting
a Criterion cannot undergo further movement . This freezing effect is best illustrated by cases in which the same phrase contains two criterial features, e.g., a
Q feature in the wh-specifier of a nominal expression and a (contrastive) focus
feature in the lexical restriction, as in:
(23)
[quantiQ LIBRIFoc ]
How many BOOKS
130
Luigi Rizzi
A priori one could expect the phrase to move to one criterial position, satisfying
the requirement of one feature, and then continue to move to a higher criterial
position to satisfy the other feature. But this never happens, and the phrase gets
stuck in the lower criterial position. In the following case, the phrase (23) moves
to the Q head of the embedded question, and then cannot further focus move to
the main clause, e.g. in a cleft configuration:
(24)
a.
The only options for a well-formed outcome, given (24a), are focalization in
situ (possibly obtained by an Agree relation with a Foc head in the periphery of
the main clause) as in (24a), or pied-piping of the whole indirect question to the
focus cleft position:
(25)
Here movement does not undo the criterial configuration, which remains intact
in the C-system of the indirect question, but the whole configuration is piedpiped to a higher criterial position, the focus position of the cleft (Belletti 2009).
This kind of pattern justifies a freezing principle of the following kind (Rizzi
2006; Rizzi and Shlonsky 2007; see also Lasnik and Saito 1992 for an earlier
characterisation of the freezing effect, Boskovic 2005 for an analysis in terms
of deactivation, and Rizzi 2010a, b for discussion):
(26)
131
and the parser. Criterial Freezing can thus be looked at it as an economy principle
favoring efficiency in syntactic computations.
7.
a.
b.
a.
b.
132
Luigi Rizzi
In (29b), pro can pick up both the topic Piero (in the Clitic Left Dislocation
construction) and the subject Mario as antecedent, perhaps with a preference
for the latter, possibly for proximity reasons.
As for the structural expression of the Subject Criterion, I have assumed,
following Cardinaletti (2004), that the Criterial head Subj is part of the obligatory
structure of the IP, in a position higher than T and immediately lower than the
lowest head of the C-system Fin. A plausible candidate of a language with
an overt morphological realization of Subj is a language with subject clitics
occurring in between the subject DP and the predicate starting with the inflected
verb, such as the Northern Italian Dialects (Poletto 2000; Manzini and Savoia
2005):
(30)
a.
b.
El fio el
mangia l
pom.
The boy subj eats
the apple
(Milan: Rizzi 1986; Poletto 2000; Manzini and Savoia 2005, etc.)
Le ragazze le son venute.
The girls subj have+3pl come.
(Florence: Brandi and Cordin 1989)
The syntactic role of the Subj head is to delimit the structure of the IP zone,
and attract a nominal expression to its Spec; its interface role is to trigger the
aboutness interpretation, imposing the interpretation of the event expressed
by the predicate as being about the subject.
Capitalizing on the formal similarity (or identity) of the Subj head with the
determiner in cases like (30), one may speculate that Subj is a D-like head
which has in common with its counterpart in the extended projection of NPs
the affinity with a nominal projection; more specifically, both clausal and
nominal Ds would have the capacity to attract a nominal expression to their
Specs (here I am thinking in particular of the derivational processes overtly
triggered in D-final languages, analyzed by Cinque (2005) as involving the
attraction of the NP to the Spec of D, with or without pied-piping of additional
material).
Different kinds of evidence can be provided in favor of the view that movement to subject position is determined by the attraction of nominal features by
the relevant functional head. This approach can provide an explanation to a curious asymmetry observed long ago by Ruwet (1972). In French, an adnominal
complement of the object can be pronominalized by the clitic pronoun en, and
the remnant of the object DP can be moved to subject position in passive:
(31)
a.
b.
c.
133
a.
A natural analysis of the impossibility of (32c) is that in this case, after the pro-NP
en has been extracted, the DP does not contain any more an active (attractable)
component specified [+N], hence the attraction to Spec Subj cannot take place
(here I am assuming, with much recent work, that even if we adopt the copy
theory of traces, according to which a copy of en remains expressed within the
object DP in (32), a trace cannot be attracted and moved to a higher attractor).
No problem arises in (31), because the remnant DP still contains a nominal part,
headed by partie, which can be attracted in (31c); nor with A movement as in
(33), because here the attracting feature is [+Q], which is specified in combien
in the remnant DP, not [+N].
Another classical observation which is amenable to the conception of subject
movement adopted here is Kosters generalization that subject sentences dont
exist (Koster 1978). Koster noticed that putative sentential subject clauses as
in (34) are better analyzed as sitting in topic position; that they may not be in
the canonical subject position is suggested by different kind of evidence, e.g.,
the fact that they dont naturally allow I to C movement:
134
(34)
Luigi Rizzi
If finite clauses are not [+N] (as is suggested by the fact that they dont bear
Case in many languages), they cant be attracted to Spec-Subj, hence they cannot
appear in the canonical subject position (while they can be topicalized, focus
moved, etc.).
If this analysis is on the right track, the Criteria are not solely involved in
the triggering of A movement: also the core case of A-movement, movement
targeting the subject position, is criterial in nature. So, the notion of Criteria
cuts across the A/A distinction. On the other hand, the A/A distinction cannot
be entirely obliterated: among other things, A-movement clearly is more local
than typical A -movement. For instance, movement to Top can easily skip intervening DPs, while movement to Subj is strictly local: only the closest DP can
be attracted by Subj:
(35)
The difference has to do with the different nature of the attracted feature. A
criterial A head such as Top or Foc attracts an expression endowed with a
matching feature, so, if in (35a) neither I nor Bill are endowed with [+Top],
they can be skipped by Mary moving to Top, under a featural formulation of
Relativized Minimality (Starke 2001; Rizzi 2004). On the other hand, if Subj
attracts a [+N] element, it will inevitably go for the closest such element, and
the different nominal interveners in (35b) will block movement of Mary.
Why does Subj not attract a more selective feature analogous to Top, Foc,
etc.? Presumably this has to do with the inherent weakness of the interpretive
effect of the Subject Criterion: Spec-Subj does not express, per se, a particular
informational property (given or new information), or a particular quantificational property, it only expresses pure aboutness. As such, the notion has no
specific scope-discourse featural content to operate on, it just exerts an attraction on any nominal. Because of locality, the attracted nominal will inevitably
be the closest one.
So, the stricter locality of movement to subject w.r.t. A movement may well
be a consequence of the weakness of the interpretive content associated to the
subject position.
This state of affairs may also be connected to the existence of expletive
subjects. An expletive is a nominal expression which cannot carry any scopediscourse featural specification (it cant be topical, nor focal, as it doesnt have
any referential content, nor can it express any kind of quantification), so it cannot
135
The combined effect of the Subject Criterion and Criterial Freezing provides
an explanation for the well-known subject-object asymmetries in extraction
processes, instantiated by the that-trace effect in English:
(36)
]]?
The traditional analysis involves the Empty Category Principle (ECP), requiring
a certain type of government relation (proper government) to be satisfied by
traces. But the ECP is hard to accommodate with the guidelines of the Minimalist
Program, as it does not have a natural status within the principled typology of
UG principles assumed by minimalism: neither can it be naturally construed as
an economy principle, nor as a principle enforced by some requirement of the
interface systems.
The system proposed here provides a simple alternative to an ECP-based
analysis of subject-object asymmetries (Rizzi 2006; Rizzi and Shlonsky 2007).
If there is a Subject Criterion, further movement of the subject will be generally
blocked by Criterial Freezing. So, in the derivation of (36a), who has to move to
Spec-Subj in order to satisfy the Subject Criterion in the embedded clause, as
the Criterion cannot be satisfied in any other way in this case; but then who will
be stuck there, and will be disallowed to move further and undergo extraction
by Criterial Freezing:
(37)
Various kinds of empirical evidence have been produced to show that this alternative is more satisfactory than an ECP approach (Rizzi and Shlonsky 2007).
For instance, the ECP approach does not offer a natural analysis of the fortrace effect, the fact that a subject is not extractable across the prepositional
complementizer for in English:
136
(38)
Luigi Rizzi
to win]]?
subj to win]]?
It is hard to see how the subject trace could fail to be properly governed by the
complementizer for, particularly in view of the fact that the minimally different preposition for licenses extraction, as in (38b). In terms of the alternative
envisaged here the ill-formedness of representation (38c) is straightforward:
for is a member of the C-system (presumably a realisation of Fin: Rizzi 1997),
so the whole IP system will be developed under it, including the SubjP layer.
Then (38b) involves further movement of an element which satisfies the Subject
Criterion, which determines a violation of Criterial Freezing, much as in the
that-trace configuration in (36a).
If the complementizer is dropped in (36a), (38a), extraction becomes possible, either because complementizer drop actually involves the truncation of an
important structural chunk, including the Subj layer, so that no freezing effect is
determined; or, more plausibly, in the more indirect and elaborate way proposed
in Rizzi and Shlonsky (2007), which assimilates subject extraction to simple
movement in subject questions like Who will come?
Subject extraction is notoriously harder than object extraction across languages, but it is not banned altogether. Languages normally invent strategies to
make it possible to form a question or other A -constructions on an embedded
subject (Rizzi and Shlonsky 2007). One typical such strategy is what Rizzi and
Shlonsky (2007) call a skipping strategy: the language uses an expletive-like
element to formally satisfy the Subject Criterion, and this allows the thematic
subject to escape the freezing effect and remain accessible to extraction. A systematic utilisation of the skipping strategy is observed in null subject languages.
Consider the following comparative generalisation:
(39)
In fact, the word by word equivalents of sentences like (36a) are fully acceptable
in null subject languages like Italian, Spanish, Rumanian, etc. In my original
work on the null subject parameter, I proposed that subject extraction in these
languages always proceeds from a lower position, while the canonical subject
position (the EPP position) is filled by an expletive occurrence of the null pronoun pro. Hence (40a) has a representation like (40b).
(40)
a.
b.
c.
137
In the analysis of Rizzi (1982), pro offered a device to avoid leaving a trace in a
non-properly governed position like the subject position, hence in an illegitimate
position according to the ECP. The analysis can now be immediately transposed
to the Criterial Freezing approach. The representation is (40c), and pro formally
satisfies the Subject Criterion and is frozen there, thus making the thematic
subject accessible to extraction from a lower, non-criterial position. This is just
one device that languages may use to satisfy the Subject Criterion without having
to move the thematic subject to the freezing position (Rizzi and Shlonsky 2007;
and see Taraldsen 2001; Endo 2008 on the role of certain clause final particles
in Japanese to license subject movement; and the discussion in Miyagawa 2004
on ways of satisfying the EPP).
What lower position is the thematic subject extracted from in (40)? In the
original analysis along the lines indicated in (40a)(40b), subject extraction in
Romance null subject languages was made contingent upon the existence of
free subject inversion; i.e., the following, possible in Italian, Spanish, etc.,
was considered an intermediate step in the derivation of (40a).
(41)
138
Luigi Rizzi
in fact a device for focusing the thematic subject, which is moved to a low focus
position, specified in the periphery of the vP. Null subject languages not allowing
subject inversion can thus be seen as lacking this particular focalization device.
As the low focus position expresses a scope-discourse property, it is natural to
analyze it as a criterial position. But then, an inverted subject would fall under
Criterial Freezing, and should not be movable from the low focus position.
In fact, the skipping strategy permitting a free violation of that-trace does
not require a passage through the low focus position: the essential ingredient is
the availability of expletive pro in the language, the device formally satisfying
the Subject Criterion and permitting the A extraction of the thematic subject
from a lower position which does not have to be the low focus position (and
cannot be the low focus position, under Criterial Freezing). In fact, Brazilian
Portuguese, and the Creole languages studied in Nicolis (2008) (Berbice Dutch,
Cape Verdean, Mauritian, Papiamentu) all admit a null expletive, hence the free
violation of that-trace is expected (see also Menuzzi 2000 for an argument that
in Brazilian Portuguese the subject is indeed extracted from a position lower
than Spec-Subj); on the other hand, the variety of Jamaican Creole described in
Durrleman (2008) does not allow null expletives in embedded clauses (only in
root contexts), and it also disallows that-trace violations: the connection between
null expletives and subject extraction is thus confirmed by this case (the case of
Haitian Creole is complicated by the residual presence of a kind of French que
qui rule in the language: see Nicolis 2008, for discussion).
9.
Conclusion
This paper focused on A -chains, the kind of chains which associate two types of
interpretive properties to expressions: properties of semantic selection (thematic
properties for arguments) and properties of scope-discourse semantics. I have
adopted the criterial approach to scope-discourse semantics, which traces back
the assignment of discourse and informational functions to familiar syntactic
ingredients, head-dependent relations, and I have shown how this view naturally leads to the study of the cartography of syntactic structures: the study of
the complex syntactic configurations created by a simple computational system,
operating on a richly structured functional lexicon. Looking at the structure of
the initial periphery of the clause, I have compared an analysis involving rich
cartographic representation, and one based on simpler representations, assuming a single C-layer, and admitting multiple adjunctions to TP. The latter simpler
representations approach shifts much of the descriptive burden to the interface
systems, not only interpretation proper, but also positional and co-occurrence
139
restrictions, and the related parametrisation. On the contrary, the approach based
on cartographic representations stretches the role of syntax in the effort of syntacticizing as much as possible the interfaces with sound and meaning, assuming
syntactic representations which carry interpretive properties on their sleeves.
I have tried to show that the cartographic representations compare favorably to
the syntactically less elaborate alternatives. I have then turned to the issue of
delimitation. Movement is delimited, in the sense that it must start and finish
in particular structural positions: in fact, the positions dedicated to particular
interpretive properties have the effect of delimiting the movement chains, and
delimitation theory is establishing itself as a new chapter of the classical topic of
locality. I have tried to show that, by assuming principles of upward delimitation,
or freezing, we can explore new generalizations, and envisage novel explanatory accounts for much-studied phenomena, such as the classical subject-object
asymmetries in extraction processes
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1.
Introduction
a.
b.
c.
* This paper was presented at the International Conference on Sentence Types: Ten
Years After, held at the University of Frankfurt on June 2628, 2009. I would like to
thank the audience, especially NicholasAsher, Adriana Belletti, Gunther Grewendorf,
Paul Portner, and Peter Sells, for helpful comments.
1. This is an extension of the analysis proposed in Kuno (1973, 1988). It becomes clear
in the following pages where I depart from his analysis.
148
Mamoru Saito
(2)
a.
b.
c.
kuru
Taroo-wa Ziroo-ni [CP dare-ga kare-no ie-ni
who-nom he-gen house-to come
T.-top
Z.-dat
ka to] tazuneta.
ka to inquired
Lit. Taroo asked Ziroo that who is coming to his house.
a.
b.
c.
Saba
que coria.
knew-3sg que run-3sg
He knew that he was running.
Te preguntan que para que quieres
el prestamo.
you ask-3pl
que for what want-2sg the loan
They ask you what you want the loan for.
Penso
que cuales
seran
adecuados.
thought-3sg que which ones would be appropriate
He wondered which ones would be appropriate.
Examining examples of this kind in detail, Plann proposes that que is ambiguous between complementizers for propositions and for paraphrases of quotes.
According to her analysis, Spanish has three distinct complementizers as in (5).
(5)
a.
b.
c.
149
The three complementizers always appear in the order no-ka-to, and this suggests
the recursive CP structure in (7).
(7)
Then, I consider the distribution of thematic topics and present evidence that
they can appear in CPs headed by to or ka, but not in CPs headed by no. This
leads to the hypothesis that there is a Topic head, located between no and ka as
in (8), that hosts thematic topics in its Spec.
(8)
The similarity between (8) and the structure of the Italian left periphery proposed
in Rizzi (1997) is evident. His proposal is shown in (9).
(9)
If ka is Force and no is Finite, Japanese is identical to Italian except for the presence of to and the absence of Focus.3 I suggest then that the Japanese periphery
is comparable to Italian with the addition of the highest C, to, which is equivalent
to the Spanish que as a marker of paraphrase or report of direct discourse.
This conclusion, if correct, provides additional evidence for the universality of
the structure of the left/right periphery.
In the following section, I discuss the parallelism between to and the Spanish
que in some detail. As noted above, they can both take question CPs as complements. Rivero (1994) presents examples where imperatives follow que in
support of Planns (1982) analysis. Kuno (1988) notes similar facts in Japanese
3. The C heads in Japanese appear in the mirror image of Italian because of the headparameter. As discussed below in Section 4, it is argued in Kuroda (1988) and Saito
(2007) that Japanese allows multiple thematic topics. The basic pattern of focusing
in Japanese is like English: Any phrase with stress is interpreted as focus in situ.
150
Mamoru Saito
and argues that the complement of to can be a blended discourse, which starts
out as a regular embedded sentence and ends with a verb that expresses a request.
I re-examine those facts and show that they too provide supporting evidence for
Planns analysis. In Section 3, I turn to no. Kuno (1973) argues that the CPs
headed by this complementizer typically carry factive presuppositions in the
sense of Kiparsky and Kiparsky (1970). I first show that the distribution of no
is much wider than his analysis implies. Then, I argue that it should be considered the complementizer for propositional complements. Section 4 concerns
the structure of the Japanese right periphery. I discuss the co-occurrence restrictions on the three complementizers, to, ka and no, and also the distribution of
thematic topics. This leads to the hypothesis on the structure of the Japanese
right periphery alluded to above. Section 5 concludes the paper.
2.
a.
b.
151
a.
b.
c.
kuru]
Taroo-wa [CP [TP Hanako-ga kare-no ie-ni
H.-nom
he-gen house-to come
T.-top
to/*ka] omotteiru.
to ka think
Taroo thinks that Hanako is coming to his house.
Taroo-wa Ziroo-ni [CP [TP Hanako-ga kare-no ie-ni
T.-top
Z.-dat
H.-nom
he-gen house-to
kuru] *to/ka] tazuneta.
come to ka inquired
Taroo asked Ziroo if Hanako is coming to his house.
kuru]
Taroo-wa [CP [TP Hanako-ga kare-no ie-ni
H.-nom
he-gen house-to come
T.-top
*to/ka] siritagatteiru.
to ka want to know
Taroo wants to know if Hanako is coming to his house.
a.
b.
152
Mamoru Saito
kuru]
a. *Taroo-wa [CP [CP [TP Hanako-ga kare-no ie-ni
H.-nom
he-gen house-to come
T.-top
ka] to] siritagatteiru.
ka to want to know
Lit. Taroo wants to know that if Hanako is coming to his house.
b. *Taroo-wa [CP [CP [TP dare-ga kare-no ie-ni
kuru]
T.-top
who-nom he-gen house-to come
ka] to] siritagatteiru.
ka to want to know
Lit. Taroo wants to know that who is coming to his house.
It is then necessary to examine which matrix verbs allow the ka-to sequence to
find out what is going on in examples such as (12).
At this point, Planns (1982) analysis of Spanish que mentioned above becomes quite relevant. The examples in (4b)(4c), where que takes a question
CP complement, are repeated below as (14a)(14b).
(14)
a.
b.
Plann notes that only a subset of those verbs that select for question CPs allow
the presence of que. (15) shows some cases where que cannot occur.
(15)
Ya
supieron /entendieron /recordaron
(*que)
already found out-3pl/understood-3pl/remember-3pl
que
por que lo habas hecho.
why
it had-2sg done
They already found out/understood/remembered why you had done it.
Examining more relevant examples, she draws the generalization that que can
take a question CP as a complement only when the matrix verb is a verb of
saying or thinking, that is, a verb that is compatible with direct quotation. Based
on this, she goes on to propose that the que-headed CPs express paraphrases of
direct discourse in this case.
153
a.
ka-to:
b. *ka-to:
The predicates in (16a) are verbs of saying and thinking, and those in (16b) are
not. The former can occur with direct quotes, and the latter cannot, as illustrated
in (17).
(17)
a.
a.
4. It seems that complementizers of this kind are quite widespread. See, for example, Jayaseelan (2008) for relevant discussion on Malayalam, and Grewendorf and
Poletto (2009) for a similar phenomenon in Cimbrian, a German dialect spoken in
northeastern Italy.
154
Mamoru Saito
b.
a.
b.
a.
kite kure to
Taroo-wa zibun-no uti-ni
T.-top
self-gen home-to come for me to
Ito-sensei-ni itta.
I.-Prof.-dat said
Lit. Taroo said to Prof. Ito that come to self s house.
155
kaimasita]
hon]-o
a. *Watasi-wa [NP [ kinoo
yesterday bought (polite) book-acc
I-top
yomimasita.
read (polite)
I read the book I bought yesterday.
b. Watasi-wa [NP [ kinoo
katta]
hon]-o
I-top
yesterday bought (neutral) book-acc
yomimasita.
read (polite)
I read the book I bought yesterday.
The sentences in (20) are polite expressions as the matrix verb is in the polite
form. Yet, the verb in the relative clause must be in the neutral form as the
contrast between (21a) and (21b) indicates. Kunos analysis is that the polite
form of the expression of request in (20b) is excluded for the same reason.
This analysis suggests that blended discourse is after all indirect discourse.
This is so because it patterns with embedded clauses while direct discourse is
known to have matrix properties. Then, the remaining question is why to can
embed a sentence expressing a request. This is mysterious if a CP headed by to
stands for a proposition. The following English example is totally out:
(22)
156
Mamoru Saito
a.
b.
Dijo
que a no molestarle.
said-3sg que to not bother-him
He said not to bother him.
Dijo,
A no molestarme!
said-3sg to not bother-me
He said, Dont bother me!
In (23a), the embedded object clitic can co-refer with the matrix subject, and in
this case, the embedded clause must represent indirect discourse despite the fact
that it is an imperative. Riveros conclusion is in fact identical to the one drawn
above for blended discourse in Japanese. As que can be a complementizer
for paraphrases of direct discourse, it is not at all surprising that it can take
imperatives as complements. Thus, the comparison of Kuno (1988) and Rivero
(1994) leads to another parallelism between to and que.
3.
Saba
que coria.
knew-3sg que run-3sg
He knew that he was running.
157
This raises the possibility that to, unlike que, is unambiguously a complementizer for paraphrases of direct discourse, and that no is the complementizer for
propositions. In this section, I argue that this is indeed the case.
Discussing the distributions of to and no, Kuno (1973) presents a rough
generalization that no is associated with a factive presupposition in the sense of
Kiparsky and Kiparsky (1970) while this is never the case with to.6 However, the
distribution of no is much wider than this suggests. Partial lists of the predicates
that take to-headed CP complements and those that appear with no-headed CPs
are shown in (26).
(26)
a.
b.
c.
Typical factive verbs such as wasureru forget and kookaisuru regret take CP
complements headed by no. But they are clearly a minority in (26b).
Then, what would be the proper characterization of the distributions of to
and no? First, the predicates in (26a) are all verbs of saying and thinking. They
are indeed all compatible with direct quotation. A couple of examples are given
in (27).
158
(27)
Mamoru Saito
a.
b.
kure, to
for me to
to syutyoosita.
to insisted
a.
b.
These examples are ungrammatical in adult Japanese with no. Murasugi examines the properties of the overgenerated no in detail, and argues that it is
a complementizer. According to her analysis, relative clauses are TPs in adult
Japanese. However, children at one point hypothesize that they are CPs, just
like English relative clauses, and hence, place no in their head positions. They
159
[CP Nimotu-ga
todoita no]-wa Nagoya-kara da.
package-nom arrived no-top N.-from
is
It is from Nagoya that a package arrived.
Then, given Schachters generalization, it is not surprising that children overgenerate no. But one may ask further why it is that no, and not to, is employed
in clefts and childrens relative clauses. And for this, the analysis of to as a complementizer for paraphrases of direct discourse provides a clear answer. The
subject CP of a cleft sentence expresses a proposition and is not a paraphrase
of direct discourse. Hence, no must be employed. There is simply no way for to
to appear in this context. Similarly, a relative clause does not paraphrase a direct discourse. Then, children could not overgenerate to in relative clauses. This
account holds if to is never a complementizer for propositions and is employed
exclusively as a complementizer for paraphrases of direct discourse, as argued
here.
3.2. The Nominal Nature of no and its Complementizer Status
I argued above that no is the complementizer for propositions in Japanese. A
CP headed by no requires Case when it is in an argument position as noted in
Footnote 5, and it is often called a nominalizer in part for this reason. Although
whether no is a complementizer or a noun does not affect the overall discussion
in this paper, I would like to briefly comment on its complementizer status in
this subsection.
The Case property of no just mentioned clearly indicates that it is nominal in
nature.7 However, it does not provide decisive evidence that it is a noun. First,
it is known that complementizers vary with respect to their Case properties. For
example, as discussed in detail in Stowell (1981), English CPs headed by that
do not appear in typical Case positions like the object position of a preposition,
7. Another relevant fact is that the predicates that take no-headed CP complements correspond roughly to those in English that take gerunds as complements. See Rosenbaum
(1967) for detailed discussion on the latter.
160
Mamoru Saito
but there is no such restriction with question CPs. Relevant examples are shown
in (30).
(30)
Thus, Stowell concludes that that-headed CPs cannot be Case marked while
question CPs can be. Note that question CPs only allow Case and do not require
Case. The following examples are perfectly grammatical though the embedded
CPs are not in Case positions:
(31)
a.
b.
A parallel observation can be made with to-headed CPs and question CPs in
Japanese. Thus, the former cannot appear in the object position of a postposition
but the latter can, as shown in (32).
(32)
However, no adds to the paradigm in the case of Japanese. That is, to resists
Case, ka allows Case, and no requires Case, as shown in (33).8
(33)
a.
8. The accusative -o is often omitted in colloquial style. But the contrast between (33b)
and (33c) is quite clear. The former is grammatical without -o in any register.
b.
c.
161
ka](-o)
ka-acc
kanzita.
felt
a.
b.
c.
It seems difficult to account for this based on the categorial difference between
a complementizer and a noun. The whole paradigm instead seems to reflect the
lexical properties of the specific items.
Stronger arguments for the complementizer status of no are presented in
Murasugi (1991). One of them is based on childrens overgeneration of no,
discussed above. The relevant examples in (28) are repeated below in (35).
(35)
a.
b.
a.
b.
c.
Taroo-no hon
T.-gen
book
Taroos book
Hanako-no yooroppa-e-no ryokoo
H.-gen
Europe-to-gen trip
Hanakos trip to Europe
midori-iro-no
kuruma
green-color-gen car
a green car
162
Mamoru Saito
a.
b.
mizukasii no
Difficult one
a difficult one
[Taroo-ga katta] no
T.-nom bought one
the one that Taroo bought
Then, she presents an argument that it is not a pronoun either. Note first that
if the relative clauses in (35) and (38) are headed by the pronoun no /ga,
they must be NPs. This means that the genitive no is required between those
relatives and the head noun. Murasugi shows through an experimental study
that those children who overgenerate no /ga in relative clauses never fail to insert
the genitive no after an NP modifying an N. Then, if the relative clauses are
indeed NPs, the children must insert the genitive no after those relatives, but
they never do. She concludes then that the overgenerated no /ga cannot be a
pronoun and hence must be a complementizer.
This argument against the analysis of the overgenerated no /ga as a pronoun
suggests simultaneously that the complementizer no /ga cannot be a noun.
Suppose that the children overgenerate the complementizer no /ga in relative
clauses as Murasugi argued. If the complementizer no /ga is a noun, then
the relative clauses must be NPs. Then, again, the children must insert the
genitive no after those relative clauses. Since they do not, it is clear that the
children do not consider the complementizer no /ga a noun. What the children
overgenerate must be no /ga of the category complementizer. This constitutes
indirect but strong evidence that the complementizer no /ga is not a noun but
is indeed a complementizer in adult grammar as well.
4.
163
It was argued in the preceding sections that Japanese has the three complementizers in (39).
(39)
a.
b.
c.
This example instantiates three kinds of complementizer sequences, no-ka, kato, and no-ka-to. Whenever there are multiple complementizers, their order is
fixed in this way. This suggests that Japanese CPs can have the recursive structure
in (42).
164
(42)
Mamoru Saito
Ka, being the question marker, is plausibly a Force head. To occupies a higher C
position that does not appear in (44). Let us call this C Report, following Lahiri
(1991). Finally, no is analyzed as Finite in Hiraiwa and Ishihara (2002). As it
occupies the lowest C position in (42), this fits the hierarchy in (44) well.9 Further, childrens overgeneration of no in relative clauses discussed above receives
a straightforward interpretation under this analysis. It is unclear what force relative clauses have, and it is unlikely that children consider relative clauses ForceP.
On the other hand, it is not surprising if children produce them as FiniteP. Then,
they would overgenerate no in the head position. In the remainder of this subsection, I introduce another piece of suggestive evidence from Matsumoto (2010)
for this anaysis of no.
Matsumoto examines the types of sentential complements no can take and
shows that they are more limited when compared with ka and to. In particular,
9. Thanks to Adriana Belletti for pointing out the relevance of Hiraiwa and Ishihara
(2002) in this context. I do not discuss their argument here because it is based on an
attractive and yet controversial analysis of Japanese clefts.
165
a.
b.
The complement of daroo can be in present or past, but daroo itself does not
carry tense. And interestingly, sentences headed by daroo can be embedded
under ka or to, but not under no. This is shown in (46).
(46)
a.
b.
c.
The ungrammaticality of (46c) with daroo is likely to be due to its incompatibility with no. The example is fine without daroo. Further, as Matsumoto points
out, it becomes grammatical also when the formal noun koto is substituted for
no as in (47).
(47)
Although koto literally means matter, state or fact, it has little semantic
content in this context.10 Thus, there is basically no difference in meaning between (46c) and (47). It seems then that (46c) is out because no, specifically,
cannot take a clausal complement headed by daroo.
On the basis of observations like this, Matsumoto concludes that no can
only take clausal complements that are headed by Tense. This is expected if
10. Kuno (1973) considers it a complementizer, as noted in Footnote 6.
166
Mamoru Saito
In this subsection, I consider how Topic fits into this structure. More specifically,
I argue that Topic heads can be generated above Finite and below Force as in
(49).
(49)
a.
b.
katta (koto).
Taroo-ga [NP [Hanako-ga suki na] hon]-o
H.-nom
like
book-acc bought fact
T.-nom
(the fact that) Taroo bought a book that Hanako likes.
167
Kuno (1973) also discusses topics that are marked by the particle -wa, and notes
that they can receive two distinct interpretations. Taroo in (52a), for example,
can be interpreted as a thematic topic or as a contrastive topic.
(52)
a.
b.
Kuno notes that here too, sentence-initial means matrix-initial. The topic in the
initial position of the relative clause in (54) cannot be construed as a thematic
topic.
(54)
katta (koto).
Taroo-ga [NP [Hanako-wa suki na] hon]-o
H.-top
like
book-acc bought fact
T.-nom
Taroo bought a book that Hanako, though probably not the others,
like. (contrastive topic)
Building on Kunos observations, Heycock (1994) argues that there is no sentence-initial focus position in Japanese and proposes to analyze the focus interpretation discussed above in the mapping from syntax to information structure.
This analysis is extended to thematic topics in Heycock (2008). The strongest
piece of evidence for this approach is that those focus and thematic topic interpretations are matrix phenomena. If there were focus and topic positions in
Japanese, then they would be expected to occur in embedded clauses as well as
168
Mamoru Saito
matrix clauses. This is indeed the case in Italian, as the following example from
Rizzi (1997) shows:
(55)
Credo
che a Gianni, QUESTO, domani, gli dovremmo
I believe that to Gianni this
tomorrow we should
dire.
say
I believe that we should say this to Gianni tomorrow.
In this example, a Gianni and domani are topics and questo is a focus in the
complement CP. On the other hand, if foci and thematic topics are represented
in the information structure, it is not surprising that they occur only in matrix
clauses.
Heycocks argument is well taken for the obligatory focus interpretation
of sentence-initial nominative phrases as it is indeed observed only in matrix
clauses. It was shown in (51) that it is not observed in a relative clause. Other
types of embedded clauses exhibit the same pattern as shown in (56).
(56)
a.
b.
suki na no]-o
Taroo-ga [CP Hanako-ga sono hon-ga
H.-nom
that book-nom like
no-acc
T.-nom
wasureteita koto.
forgot
fact
The fact that Taroo forgot that Hanako likes that book.
suki da to]
Taroo-ga [CP Hanako-ga sono hon-ga
H.-nom
that book-nom like
to
T.-nom
sinziteiru koto.
believe
fact
The fact that Taroo believes that Hanako likes that book.
a.
b.
169
The position for thematic topics is outside TP, and hence they cannot occur
in relative clauses. But they can be present in CPs headed by to because the
position is contained within to-headed CPs. Given this kind of reasoning, it
should be possible to pinpoint the location of the Topic head by examining
whether thematic topics are possible in other types of CPs. Although the relevant
data require subtle judgment in some cases, they indicate that the Topic head is
located just above Finite and just below Force.
12. Heycock (2008), for example, does take this kind of exceptions seriously and suggests
that a detailed comparison with embedded verb-second in German may prove fruitful.
13. S.-Y. Kuroda assumed over the years that thematic topics are located in CP Spec.
Thus, the proposal made here is a refinement of his analysis. See in particular Kuroda
(1988) for relevant discussion.
170
Mamoru Saito
First, examples such as those in (59) show that thematic topics cannot be
licensed within no-headed CPs.
(59)
a.
b.
kuru
Taroo-ga [CP Hanako-wa zibun-no uti-ni
H.-top
self-gen home-to come
T.-nom
no]-o wasureteita koto.
no-acc forgot
fact
(The fact that) Taroo had forgotten that Hanako, though probably
not the others, was coming to his house. (contrastive topic)
Taroo-ga [CP Hanako-wa zibun-no uti-ni
hairu
T.-nom
H.-top
self-gen house-to enter
no]-o mita koto.
no-acc saw fact
(The fact that) Taroo saw Hanako, though not the others, enter
his house. (contrastive topic)
In both (59a) and (59b), the contrastive topic interpretation is forced on the
embedded subject Hanako. This indicates that the Topic head is not contained
within a CP headed by no, or more straightforwardly, a FiniteP.
On the other hand, the following examples suggest that the thematic interpretation of topics is possible within ka-headed CPs:
(60)
a.
b.
kata
ka]
Taroo-ga [CP Hanako-wa zibun-no hon-o
H.-top
self-gen book-acc bought ka
T.-nom
tazuneta koto.
inquired fact
A. (The fact that) Taroo asked if as for Hanako, she bought his
book. (thematic topic)
B.
(The fact that) Taroo asked if Hanako, though probably not
the others, bought his book. (contrastive topic)
Taroo-ga [CP Hanako-wa zibun-no uti-ni
kuru no
T.-nom
H.-top
self-gen home-to come no
ka] siritagatteiru koto.
ka want-to-know fact
A. (The fact that) Taroo wants to know if as for Hanako, she
is coming to his house. (thematic topic)
B.
(The fact that) Taroo wants to know if Hanako, though
probably not the others, is coming to his house. (contrastive
topic)
171
It seems then that the Topic head is located within a ka-headed CP. This leads
to the more refined CP structure in (61).
(61)
[CP . . . [CP . . . [CP thematic topic [C [CP [TP . . . ] Finite (no)] Topic]]
Force (ka)] Report (to)]
(61) predicts correctly that thematic topics can occur in CPs headed by to or ka,
but not in CPs headed by no or TPs.
Further, there is evidence that the Topic projection is recursive just as in
Italian. As noted above, Kuno (1973) proposed a generalization that only a
sentence-initial wa-phrase can be construed as a thematic topic. This is consistent with (62), where only the subject can receive thematic interpretation.
(62)
(63) is four-ways ambiguous as indicated: each of the two topics can receive
thematic or contrastive interpretation. The interpretation that is important here
is the one in C, where both Teruabibu-e to Tel Aviv and Hanako are construed
as thematic topics. This shows that multiple thematic topics can occur in a single
172
Mamoru Saito
There are only two differences aside from the linear order. One is the presence
of the Report head in Japanese, as discussed in detail in Section 2. It seems
clear that there is a parameter here. Spanish and Japanese have it, but Italian
and English do not. The other is the absence of the Focus head in Japanese.
For this also, there is likely to be a parameter. That is, languages may vary with
respect to the presence/absence of the Focus head within the C system. It would
be much too hasty to propose a concrete hypothesis on the possible variations
in the left/right periphery just on the basis of (64) and (65). Nevertheless, the
preliminary investigation in this paper suggests that the CP structure is fairly
rigid across languages with the locus of variation in Report, Focus, and possibly
Topic.
5.
Conclusion
In this paper, I have examined the complementizer system of Japanese and presented a preliminary hypothesis on the structure of the Japanese right periphery.
I first proposed that to is not a complementizer for embedded propositions as
widely assumed, but is a complementizer for paraphrases or reports of direct
discourse just like que in Spanish. I showed that Planns (1982) analysis of que
is directly applicable to this complementizer. I then argued that no, which Kuno
14. See Saito (2007) for detailed discussion of examples like (63). It is suggested there
that thematic topics are licensed clause-initially, and the interpretation in B obtains
when the contrastive topic is scrambled over the clause-initial thematic topic. One
question that remains is why the two wa-phrases in (62) cannot both be in Spec
positions of Top heads and be construed as thematic topics. Although I do not have
a clear account for this, I suspect that some sort of crossing constraint is at work,
preventing the subject topic from occupying the Spec position of the higher TopicP.
173
(1973) associates with factivity, has a wide distribution and should be considered the normal complementizer for embedded propositions. As noted above,
these descriptive results provide explicit evidence for Planns (1982) proposal
on Spanish. She proposes that Spanish has three complementizers; que for paraphrases, null C for questions, and que for propositions. Those three are not only
present but have distinct phonetic realizations, to, ka and no, in Japanese.
In the second part of the paper, I first considered examples where to, ka and
no co-occur, and suggested that the three complementizers are hierarchically
organized as in (48), repeated below in (66).
(66)
I then re-examined the distribution of thematic topics, and showed that they are
not limited to the matrix-initial position as widely believed. I argued that they
occur not only in to-headed CPs as sometimes observed but also in ka-headed
CPs. This led to the hypothesis that there is a Topic projection located above
FiniteP and below ForceP. Based on Kurodas (1988) observation that multiple
thematic topics are possible, I proposed finally that the Japanese right periphery
has the structure in (67).
(67)
As repeatedly noted, this is quite similar to the structure of the Italian left periphery proposed in Rizzi (1997). Further work is required to discover the precise
structure of the Japanese right periphery. But this paper has demonstrated that
it is quite rich, much more so than has been assumed, and that it is comparable
to Spanish and Italian. Then, it seems fairly clear that its investigation can contribute fruitfully to the research project initiated by Rizzi (1997) on the universal
properties and possible variations in the left/right periphery.
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2009
The Hybrid Complementizer System of Cimbrian. In: Vincenzo
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Interdipartimentale di Studi Cognitivi sul Linguaggio, Universita di
Siena.
Heycock, Caroline
1994
Focus Projection in Japanese. In: Merc`e Gonz`alez (ed.), Proceedings
of the North East Linguistic Society 24, 157171. Department of Linguistics, University of Massachusetts, Amherst.
174
Mamoru Saito
Heycock, Caroline
2008
Japanese -Wa, -Ga, and Information Structure. In: Shigeru Miyagawa
and Mamoru Saito (eds.), The Oxford Handbook of Japanese Linguistics, 5483. New York: Oxford University Press.
Hiraiwa, Ken and Shinichiro Ishihara
2002
Missing Links: Cleft, Sluicing and no da Construction in Japanese.
In: Tania Ionin, Heejeong Ko and Andrew Nevins (eds.), The Proceedings of Humit 2001, 3554 (MIT Working Papers in Linguistics 43.).
Cambridge, Mass: Department of Linguistics and Philosophy, MIT.
Jayaseelan, K. A.
2008
Topic, Focus and Adverb Positions in Clause Structure. Nanzan Linguistics 4: 4368.
Kiparsky, Paul and Carol Kiparsky
1970
Fact. In: Manfred Bierwisch and Karl E. Heidolph (eds.), Progress in
Linguistics, 143173. The Hague: Mouton.
Kuno, Susumu
1973
The Structure of the Japanese Language. Cambridge, Mass.: MIT
Press.
Kuno, Susumu
1988
Blended Quasi-Direct Discourse in Japanese. In: William J. Poser
(ed.), Papers from the Second International Workshop on Japanese
Syntax, 75102. Stanford: CSLI Publications.
Kuroda, Sige-Yuki
1988
Whether We Agree or Not: A Comparative Syntax of English and
Japanese. Linguisticae Investigationes 12: 147.
Lahiri, Utpal
1991
Embedded Interrogatives and Predicates that Embed Them. Ph.D. dissertation, MIT.
Matsumoto, E.
2010
Quotation Expressions and Sentential Complementation in Japanese.
B.A. thesis, Nanzan University.
Murasugi, Keiko
1991
Noun Phrases in Japanese and English: A Study in Syntax, Learnability, and Acquisition. Ph.D. dissertation, University of Connecticut.
Murasugi, Keiko
2009
What Japanese-Speaking Childrens Errors Tell us about Syntax. Presented at GLOW in Asia VII, EFL University, Hyderabad.
Plann, Susan
1982
Indirect Questions in Spanish. Linguistic Inquiry 13: 297312.
Rivero, Maria-Luisa
1994
On Indirect Questions, Commands, and Spanish Quotative Que. Linguistic Inquiry 25: 547554.
175
The Fine Structure of the Left Periphery. In: Liliane Haegeman (ed.),
Elements of Grammar, 281337. Dordrecht: Kluwer Academic Publishers.
Rosenbaum, Peter S.
1967
The Grammar of English Predicate Complement Constructions, Cambridge, Mass.: MIT Press.
Saito, Mamoru
2007
Semantic and Discourse Interpretation of the Japanese Left Periphery.
Presented at the Sound Patterns of Syntax Workshop, Ben-Gurion
University, Beer Sheva.
Schachter, Paul
1973
Focus and Relativization. Language 49: 1946.
Stowell, Timothy A.
1981
Origins of Phrase Structure. Ph.D. dissertation, MIT.
Part III.
Clausal Properties of Lexical Categories
Zeljko
Boskovic
(2)
(SC)
180
Zeljko
Boskovic
understood without paying close attention to the internal structure and interpretation of TNPs. I will also explore consequences of the internal structure of TNP
for the internal structure of clauses under the assumption that the two have parallel structure. Taking the TNP/Clause parallelism hypothesis and the NP/DP
parameter seriously leads to the conclusion that just like the structure of TNP is
poorer in NP languages than in DP languages, the structure of clauses should be
poorer in NP languages than in DP languages. I will start by briefly summarizing
the generalizations from Boskovic (2008a). I will then discuss a number of new
NP/DP generalizations and then turn to the issue of TNP/Clause parallelism
and consequences of the structure of TNP and TNP internal processes for the
structure of clauses and clause-level processes.
1.
*Expensive /Those i
he saw
[ti cars]
(4)
Skupa /Ta i
expensive/that
je vidio
is seen
[ti kola]
car
(SC)
(5)
Doroguju /Tu i
expensive/that
on videl
he saw
[ti masinu]
car
(Russian)
Noting a correlation with articles, Uriagereka (1988), Corver (1992) and Boskovic (2005) establish (6).
(6)
Only languages without articles may allow LBE examples like (4).
To illustrate, Boskovic (2005) notes that Bulgarian and Macedonian, the only
two Slavic languages with articles, differ from most other Slavic languages
1. The generalizations from Sections 1 and 2 (the reader should note that most of them
are one-way correlations) are still in the process of verification against additional
languages. Future research will undoubtedly discover exceptions to many of the
generalizations discussed below. However, even if the generalizations turn out to be
only strong tendencies, that will still call for an explanation. Note also that a weaker
version of the main claim made in this paper would be that some languages without
overt articles do not have DP. The stronger (and more interesting) position is that this
holds for all languages without overt articles, not just those discussed in the paper.
181
(Macedonian)
a.
Punaisen
red-acc
b. ?*Punaisen
red-acc
ostin
buy-pst-1sg
ostin
buy-pst-1sg
Language change can often take a good amount of time. What we are witnessing
in Finnish is rather fascinating from this perspective: the emergence of the article
has led to a pretty much instantaneous loss of LBE.
Another argument regarding language change comes from the history of
Greek. Ancient Greek underwent a change from an article-less to an article
language. Thus, while Homeric Greek was an article-less language, Koine Greek
was a full-blown article language. Taylor (1990) has conducted an investigation
of what she refers to as split wh-phrases (involving extraction of just the wh2. I focus on adjectival LBE (demonstratives are adjectives in Slavic LBE languages,
see below), ignoring possessor extraction. The reason for this is that several accounts
of the ban on AP LBE in article languages leave a loophole for possessor extraction
to occur in some languages of this type (see Boskovic 2005: 4). Thus, Hungarian,
which has articles, allows possessor extraction, although it disallows adjectival LBE,
which is what is important for our purposes (see, however, den Dikken (1999), who
suggests that Hungarian possessive extraction may actually involve a left dislocationtype configuration with a resumptive pronoun).
(i)
a.
b.
*Magas(-ak-at) latott
lany-ok-at.
tall-pl-acc
saw-3sg girl-pl-acc
cf. Magas lany-ok-at latott.
Tall girls, he saw.
182
Zeljko
Boskovic
word out of a wh-phrase) and split NPs in the history of Ancient Greek and
observed a very significant drop in the number of split wh-phrases/NPs in the
Homeric and the post-Homeric period. While not all split wh-phrases and split
NPs involve LBE, many of them do, which makesTaylors results very significant
in the current context. Taylor has examined the following texts and periods for
Homeric Greek and Koine Greek:
1. Homeric period: Homer Iliad and Odyssey (8th century BC)
2. Koine period:
New Testament corpus (1st century AD).
Taylors corpus contains 68% of split wh-phrases and 25% of split NPs for
the Homeric period, which, as noted above, was an article-less language. On
the other hand, the corpus for Koine Greek, an article language, contains only
15% of split wh-phrases and 0% of split NPs.3 Given that many cases of split
wh-phrases/NPs involve LBE, these facts strongly confirm the generalization
in (6).
Before proceeding, let me note that for the purpose of (6) and other generalizations below, I take articles to be unique, i.e. occur once per TNP. The i ending
in SC (9) is then not considered to be an article (see Despic (2011) for relevant
discussion of this element).4
3. The definite article came into general use in the Classical Greek period (which comes
in between the Homeric and the Koine Greek period), though it was likely fully
established only in the Koine Greek Period. In this respect, it is worth noting that
the percentage of split wh-phrases/NPs is significantly lower in the Classical Greek
Period than in the Homeric period, though higher than in the Koine Greek period (see
Taylor 1990).
4. A word is in order here regarding Modern Greek. Androutsopoulou (1998) claims that
Greek allows what appears to be AP LBE. My informants, however, uniformly reject
examples like (i) (in fact, even Androutsopoulou notes that speakers have difficulty
accepting such examples).
(i)
Notice also that to, which is traditionally considered to be an article, can appear
on more than one element in a TNP (the so-called polydefinite construction), which
may cast doubt on its article status. Mathieu and Sitaridou (2002) suggest that this
type of articles in Greek are actually agreement markers. More importantly for
oi (2008), who treat to as a true article, analyze
our purposes, Lekakou and Szendr
polydefinite constructions as involving multiple full DPs with nominal ellipsis. Under
the ellipsis analysis, (i) may be analyzable as involving full DP movement, not LBE,
with ellipsis of the NP in the fronted constituent. The analysis makes (i) (and Greek
(9)
novi /nov
crveni
auto
new-def./new-indef. red-def. car
183
(SC)
Furthermore, it should become clear from the discussion below that what is
important for the generalizations given here is the presence/absence of definite,
not indefinite articles in a language, given that indefinite articles have often been
argued to be located below DP even in languages like English that clearly have
DP (see, e.g., Bowers 1987; Stowell 1989; Chomsky 1995; Boskovic 2007c). In
fact, Slovenian, which uncontroversially has indefinite but not definite article, in
all relevant respects patterns with article-less languages (see Boskovic 2009a).
Thus, it allows LBE.
(10)
Observing that SC and Russian allow extraction of adjuncts out of TNPs while
Bulgarian does not allow it, Stjepanovic (1998) argues for (16). Note that Slovenian, Polish, Czech, Ukrainian, Hindi, Bangla, Angika, and Magahi, all articleless languages, pattern with SC and Russian, while Spanish, Icelandic, Dutch,
German, French, Arabic, and Basque, which have articles, pattern with English.5
(12)
Iz
kojeg grada i je Petar sreo [djevojke ti ]?
from which city
is Peter met girls
(SC)
(13)
Iz
kakogo goroda ty vstrechal [devushek ti ]?
from which city
you met
girls
(Russian)
more generally) fully consistent with the LBE generalization. It is also worth noting
that Androutsopoulou (1998) treats (i) in terms of remnant DP fronting. It is shown
in Boskovic (2005) that such an analysis cannot be applied to AP LBE in true AP
LBE languages like SC. If Androutsopoulous analysis of (i) is correct we may then
be dealing here with a different phenomenon from AP LBE in languages like SC
(recall, however, that the grammaticality status of (i) is highly controversial.)
5. See Ticio (2003) for Spanish and Fortmann (1996) for German. ((11b) is actually
acceptable in Spanish, where the relevant phrase is an argument, as Ticio shows (see
Ticio for relevant tests)).
184
Zeljko
Boskovic
(14)
*Ot koj
grad i Petko [srestna momiceta ti ]?
from which city Petko met
girls
(Bg, Stjepanovic. 1998)
(15)
(16)
1.3. Scrambling
There is also an important correlation between articles and the availability of
scrambling.6
(17)
SC, Russian, Polish, Czech, Slovenian, Latin, Japanese, Korean, Turkish, Hindi,
Chukchi, Chichewa, and Warlpiri all have scrambling and lack articles. Particularly interesting are Slavic and Romance. Bulgarian, e.g., has noticeably less
freedom of word order than SC. Also, all modern Romance languages have
articles and lack scrambling, while Latin lacked articles and had scrambling.
It is also worth noting Lakhota, Mohawk, and Wichita, which are also related
languages. The latter two lack articles and have more freedom of word order
than Lakhota, which has articles.
6. By scrambling I mean the kind of movement referred to as scrambling in Japanese,
not German, whose scrambling is a very different operation with very different
semantic effects from Japanese scrambling. One of the defining properties of scrambling for the purpose of (17) is taken to be the existence of long-distance scrambling
from finite clauses, which German lacks (for German, see also Boskovic (2004a) and
Grewendorf (2005)).
One needs to be careful here regarding the usage of the term scrambling in the literature, since the term is often used for ease of exposition when an author wants
to remain uncommitted regarding the nature of the movement involved. From this
perspective, many potential counterexamples to the scrambling generalization can be
easily explained away. Consider, e.g., Albanian and Greek, which are sometimes said
to have scrambling. However, an object that is fronted to a sentence initial position in
these languages either has to be clitic doubled or contrastively focused and adjacent
to the verb (see here Kallulli 1999). This indicates that object fronting involves either
clitic left dislocation or focus movement, not what is referred to as scrambling in
Japanese.
185
(19)
(20)
a. *John didnt claim [ that Mary would leave [NPI until tomorrow]]
b. *John doesnt claim [that Mary has visited her [NPI in at least two
years]]
(21)
a.
b.
John didnt believe [ that Mary would leave [NPI until tomorrow]]
John doesnt believe [that Mary has visited her [NPI in at least two
years]]
Before establishing the NR generalization, note that for the purpose of the
generalization I confine myself to negative raising from finite clauses and use
as the relevant diagnostics the ability of NR to license strict-clause mate NPIs.
A crosslinguistic check of the availability of NR under these conditions reveals
the following:
(22)
186
Zeljko
Boskovic
Interestingly, even in languages where the NPI test fails negation is interpretable
in the lower clause: SC (24) has the atheist (non-agnostic) meaning Ivan believes God doesnt exist (the same holds for Korean, Japanese,Turkish, Chinese,
Russian, Polish, and Slovenian).
(24)
This suggests that lower clause negation interpretation and strict NPI licensing
under NR should be divorced (contrary to the standard practice, where the two
are correlated), with a three-way split among verbs: (a) negation interpreted
in the lower clause and strict NPIs licensed under NR (possible only for some
verbs in languages with articles) (b) negation interpreted in the lower clause,
strict NPIs not licensed (c) no NR at all.
1.5. Superiority and Multiple wh-Fronting
MWF languages differ regarding whether they show Superiority effects (strict
ordering of fronted wh-phrases) in examples like (25)(26). It turns out that there
is a correlation between Superiority effects with multiple wh-fronting (MWF)
and articles, given in (27).
(25)
a.
(26)
a.
b.
(27)
Ko koga vidi?
who whom sees
Koga ko vidi?
(SC)
MWF languages without articles do not show Superiority effects. This is the case
with SC, Polish, Czech, Russian, Slovenian, Ukrainian, and Mohawk. MWF
languages that show Superiority effects all have articles. This is the case with
Romanian, Bulgarian, Macedonian, Basque, and Yiddish. Hungarian is an exception (it has articles and no superiority), which however does not violate (27).7
7. Interestingly, Watanabe (2003) suggests that Hungarian traditional definite article
is not a D-element, which casts doubt on its DP status. (For relevant discussion of
Hungarian MWF, see Boskovic (2007a).)
187
(29)
a.
(Bulgarian/Macedonian)
(SC)
188
(30)
Zeljko
Boskovic
a.
b.
(31)
(32)
a. *odkrycie Ameryki
Kolumba
discovery America-gen Columbus-gen
Columbus discovery of America
ma
b. *znicen
R
barbaru
destruction Rome-gen barbarians-gen
The barbarians destruction of Rome
a.
b.
(33)
Hannibals
Eroberung Roms
Hannibal-gen conquest Rome-gen
Hannibals conquest of Rome
(German)
lavaluacio
de la comissio dels resultats
the evaluation of the comitte of the results
the committees evaluation of the results
(Catalan)
(Polish)
(Czech)
odkrycie Ameryki
przez Kolumba
discovery America-gen by
Columbus
the discovery of America by Columbus
ma
znicen
R
barbary
discovery Rome-gen barbarians-instr
the destruction of Rome by the barbarians
1.8. Superlatives
Zivanovi
c (2008) notes that Slovenian (34) does not have the reading where
more than half the people drink beer. It only has the reading where more people
drink beer than any other drink though it could be less than half the people.
(34)
Najvec ljudi
pije pivo.
most
people drink beer.
More people drink beer than drink any other beverage. (Plurality reading, MR)
*More than half the people drink beer.
(Majority reading, PR)
English most gives rise to both readings, though in different contexts. German
MOST also has both readings.
which allows multiple genitives on adjectives that does not arise through case concord
with a noun (the noun can be non-genitive in such cases).)
(35)
189
Zivanovi
c notes English, German, Dutch, Hungarian, Romanian, Macedonian,
and Bulgarian, which have articles, allow the majority reading (the same holds
for Basque and Arabic). The reading is disallowed in Slovenian, Czech, Polish, SC, Chinese, Turkish, and Punjabi, which lack articles and allow only the
plurality reading (the same holds for Hindi, Angika, and Magahi).10 We then
have (36) (I set aside cases where the majority reading is expressed with a noun
like majority).
(36)
Head-internal relatives display island-sensitivity in article-less languages, but not in languages with articles.
Grosu and Landman (1998) show that there is also a semantic difference at
work here, in particular, HIRs are restrictive in languages with articles and
maximalizing in those without articles.
1.10. Polysynthetic Languages
Baker (1996) observes the following generalization regarding polysynthetic languages.
(38)
10. The following context enforces the majority reading for (the past tense version) of
(35): Suppose people at a dinner were allowed more than one beverage. 60% of the
people had a beer and 75% of the people had a glass of wine.
190
2.
Zeljko
Boskovic
Additional Generalizations
I now turn to new generalizations that were not discussed in Boskovic (2008a).
(Anticipating the discussion in Sections 34, from now on I will refer to languages with articles as DP languages, and to languages without articles as NP
languages.)
2.1. Focus Morphology
In some languages, negative constituents have overt focus morphology (see
(39)). Such morphology is often realized through the presence of focal elements
like even, also, or too (SC has two series of negative constituents, a negative
concord series and an NPI series, both of which contain even), and sometimes
through obligatory emphatic (focus) stress, as in Greek.11
(39)
n+i+ko
i+ko
neg+even+who even+who noone/anyone
(SC)
While in DP languages negative constituents may but do not have to have a focus
marker, in NP languages they have a focus marker. This holds for SC, Russian,
Polish, Ukrainian, Lithuanian, Hindi, Chinese, Japanese, Korean, Finnish,Yakut,
Lezgian, Kannada, Quechua, Mansi, Latin, Persian, Turkish, and Kazakh.12 This
leads to (40).
(40)
191
a.
b.
c.
Non ho
visto nessuno /nessuno studente.
neg have seen nobody/no
student
I didnt see anybody/any students.
(negative concord only)
Nessuno ha letto niente.
nobody has read nothing
(negative concord or double negation)
Nessuno student ha letto nessun libro /niente.
no
student has read no
book/nothing
(double negation only)
It turns out that DP languages differ with respect to whether the double negation
reading is forced in examples like (41c). Thus, the reading is forced in Italian,
Spanish, West Flemish, and French. However, Brazilian Portuguese, Basque,
Hebrew, and Romanian still allow the negative concord reading. On the other
hand, NP negative concord languages all allow the negative concord reading in
examples like (41c). This is, e.g., the case with SC, Russian, Polish, Ukrainian,
Japanese, Korean, and Turkish. I am in fact unaware of any negative concord
NP language that would disallow the negative concord reading. We are then led
to the following generalization.
(42)
The example is ambiguous: Everyone can take either narrow or wide scope
in (43). I will refer to the latter reading as the inverse scope reading. A number
of languages disallow the inverse scope reading in the unmarked order for the
subject, verb, and object (SVO in SVO languages, and SOV in SOV languages).
Thus, inverse scope is allowed in English, Spanish, Brazilian Portuguese, Macedonian, and Hebrew, but it is impossible in German, Basque, Dutch, Icelandic,
Bulgarian, Welsh, Romanian, Japanese, Korean, Turkish, Persian, Hindi, Bangla,
Chinese, Russian, Polish, Slovenian, Ukrainian, and SC. Focusing on the latter
group of languages, while the first seven are DP languages, other languages in
192
Zeljko
Boskovic
this group are all NP languages. In fact, I do not know of any NP language that
productively allows inverse scope in such examples.13 We then have (44).
(44)
13. Certain quantifiers always require wide scope. Such quantifiers tend to be interpreted
with wide scope even in NP languages. What I am concerned with here is quantifiers
that do not require wide scope, i.e. whether the inverse scope is productively available
for all quantifiers in a given language in this type of examples.
14. See also Tomioka (2003) (and Saito (2007) and Neeleman and Szendr
oi (2007) for
different perspectives). Turkish seems to combine Spanish type and radical pro-drop.
A potential problem that is being investigated is Cheke Holo. If Cheke Holo indeed
turns out to be an exception, (45) would simply be a strong tendency. (It is worth
noting here that Brazilian Portuguese is not classified as a radical pro-drop language,
since it does not have fully productive subject drop. In fact, since pronoun objects
could incorporate into V, the availability of a fully productive subject pro-drop is
crucial here.)
193
presence of number morphology), and the other group contains languages that
have obligatory plural morphology (on either D or N).15
(46)
(47)
Susumu-ga
hon-o
yonda.
Susumu-nom book-acc bought
Susumu bought a/the book/books.
(Japanese)
While the second group comprises both NP and DP languages, all languages in
the first group are NP languages.16 We then have the generalization in (48).
(48)
a. *Kartinata
Ivan podari
na
painting-the(foc) Ivan give-as-a-present-pst-3sg to
Maria.
Maria
Ivan gave Maria the painting as a present.
(Lambova 2004)
b. Kartinata podari Ivan na Maria.
15. I ignore here TNPs involving numerals, since numerals by their very nature express
number.
16. The NP/DP status of Vietnamese is somewhat controversial; see, however, Cheng
(in preparation) for arguments that Vietnamese lacks true articles, hence should be
classified as an NP language.
194
(50)
Zeljko
Boskovic
Jovana
(Petar)
savjetuje.
Jovan-acc Petar-nom advises
Petar is advising Jovan.
(Stjepanovic 1999)
It turns out that Basque, Hungarian, Bulgarian, Armenian, Greek, Catalan, Romanian, Macedonian, Italian, Spanish, and Albanian are subject to the adjacency requirement. This is not the case with Slovenian, Russian, SC, Polish,
Chinese, and Nupe.17 The adjacency languages are all DP languages, while the
non-adjacency languages are all NP languages. We may then have here another
NP/DP generalization.
(51)
17. Turkish is also subject to the adjacency requirement. However, Sener (2006) provides
convincing evidence that Turkish actually does not have focus movement. Rather,
focalized elements in Turkish remain in their base position, where they are subject to
a prosodic requirement that focalized elements be exhaustively parsed into the same
intonational phrase as the verb. The adjacency requirement in Turkish is therefore
phonological, not syntactic in nature (in fact, it affects both contrastively focused
elements and elements that bear simple new information focus, a state of affairs that
is not found with focus movement, which typically affects only the former in the case
of focalized non-wh-phrases.) Notice also that Sener (2010) argues that all elements
that are interpreted as old information (both topics and discourse anaphoric elements)
must undergo movement out of vP in Turkish, this in fact being the only movement
that the language has, which leaves only focalized elements next to the verb. Since
Turkish does not have focus movement, it is irrelevant for the phenomenon under
consideration here.
18. There is more than one option for word order regarding Chinese possessors. I focus here on the possessor-numeral order (in the absence of a demonstrative); see
Partee (2006) for discussion of the full paradigm. (Constructions where the posessor precedes the numeral are definite, while those where the possessor follows the
numeral are indefinite and roughly correspond to English three sweaters of Johns.
I exclude such examples from the discussion here since I am focusing on definite
possessor phrases. For this reason I also focus on article+possessor constructions in
DP languages that allow the two to co-occur.)
(52)
(53)
195
It is worth noting in this respect that Lyons (1999) argues that the DP projection
is responsible for the presupposition of uniqueness/exhaustivity. It is then not
surprising that the presupposition is lacking in article-less languages, which
lack DP.19
2.8. Classifiers
Cheng (in preparation) examines languages with obligatory classifier systems
and notes a correlation with absence/presence of articles, given here in (55).
(55)
196
Zeljko
Boskovic
dealing here with a label difference, where DP is replaced by ClP. Cheng and
Sybesma show that ClP is very low in the structure. This means that the source
of definiteness is lower in the structure in NP than in DP languages. In work
in preparation I take advantage of this to account for the well-known fact that
number (more precisely, plurality) interacts with definiteness in ClP languages
like Chinese but not in DP languages like English (the reason for this being
that the projection that is responsible for plurality is higher than ClP (the source
of definiteness in Chinese), but lower than DP (the source of definiteness in
English).
2.9. Second Position Clitics
Another generalization concerns the type of clitics a language has (see also
Migdalski (2010) and Runic (2011)). Languages typically have either verbal
(i.e. V-adjacent) clitics or so-called second position clitics.20 Languages that are
standardly assumed to have second position clitics include a number of Slavic
languages (SC, Czech, Slovak, Slovenian, Hucul Ukrainian, and Sorbian), Latin,
Ancient Greek, Pashto, Tagalog, Ngiyambaa and Warlpiri (and a number of
north-central Australian languages), which interestingly all lack articles.21 This
leads us to the generalization in (56).
(56)
Slavic and Romance are again quite informative: while a number of Slavic
languages have second-position clitic systems, Bulgarian and Macedonian are
glaring exceptions. As for Romance, Latin had second-position clitics, while
Modern Romance languages lack them. The history of Greek provides a rather
strong confirmation of (56). Thus, Taylor (1990) shows that 90% of enclitics
in the Homeric period, when Greek did not have articles, were in the second
position; this simple second position cliticization system broke down in the
later stages (i.e. article stages), like Koine Greek.
Additional generalizations will be discussed in Section 5; for additional generalizations that cut across the DP/NP line, the reader is also referred to Herdan (2008), Marelj (2008), Boeckx (2003a), Runic (2011), Despic (2011), and
Boskovic (2009d). Taken together, these generalizations provide strong evidence
that there is a fundamental difference between TNP in languages like English
20. I am simplifying here the actual state of affairs. Note that true second-position clitics
are not simply enclitics (i.e. not all enclitics are second-position clitics). I refer the
reader to Boskovic (2001) and references therein for discussion.
21. Uto-Aztecan languages are currently being investigated in this respect.
197
It should also be noted that traditional D-items do not exhibit the behavior that is
standardly associated with D-items in article-less languages. Let us take a look
at SC as a representative of NP languages in this respect. Although SC does
not have articles, it does have lexical items like that, some, and possessives.
However, such items behave like adjectives in SC both morphologically and
syntactically (see Zlatic 1997 and Boskovic 2008a).22 In contrast to English
D-items, they clearly have the morphology of adjectives (57), occur in typical
adjectival positions like the predicate position of a copula (58), allow stacking
up (59), and often (though not always) fail to induce Specificity effects that
English D-items induce (60). Another interesting quirk is that SC possessives
22. The point of the following discussion is to demonstrate that the SC items in question
behave differently from their English counterparts; we would not necessarily expect
that the items in question will exhibit the same behavior in all NP languages or rule
out the possibility that in some DP languages some of the items under discussion
could exhibit some of the properties of the SC items in question.
198
Zeljko
Boskovic
a.
b.
tim
thoseFEM.PL.INST
djevojkama
girlsFEM.PL.INST
tih
thoseFEM.GEN.PL
djevojaka
girlsFEM.GEN.PL
nekim
mladim
someFEM.PL.INST youngFEM.PL.INST
nekih
mladih
someFEM.GEN.PL youngFEM.GEN.PL
(58)
(59)
a. *this my picture
b. ta moja slika
this my
picture
(60)
O
kojem piscu je procitao [svaku knjigu / sve knjige /
about which writer is read
every book / all books /
(tu) tvoju knjigu ti ]?
that your book
*About which writer did he read every book/all books/this book of
yours?
(61)
They also have some freedom of word order. While English D-items must precede adjectives, SC allows adjectives to precede some D-items (see Boskovic
2007b for some interpretational effects regarding the order of adjectives and
possessors).
(62)
Jovanova skupa
slika
vs. skupa
Jovanova slika
Jovans
expensive picture
*expensive Jovans
picture
(63)
Notice, however, that the order of SC adjectives and D-items is not completely
free. Thus, both adjectives and possessives must follow demonstratives.
(64)
a.
b.
ova
this
ova
this
skupa
expensive
Jovanova
Jovans
199
(66)
Given the standard assumptions that adjectives are also of type <e,t> and that
there is a rule of intersective Predicate Modification, compositional semantics
imposes no restrictions on the order in which possessives and adjectives may
be composed. On the other hand, the situation is different with demonstratives.
Kaplan (1977/1989) argues that demonstratives are markers of direct reference.
In other words, demonstrative noun phrases pick out an individual of type e. The
individual is picked out at least partially as a function of its predicate complement
phrase. Thus, a demonstrative element like that is a function of type e,t>,e>.
Once a demonstrative has mapped a nominal element to an individual, further
modification by predicates of type <e,t> is impossible. Hence, semantic composition requires both adjectives and possessives to be composed before demonstrative determiners. In other words, semantic composition allows possessives
to be composed either before or after modifying adjectives, while demonstratives must be composed after both adjectives and possessives.23 This perfectly
matches the actual facts regarding the ordering of the elements in question in SC.
It is worth noting in this respect that English counterparts of the unacceptable
examples in (64) are significantly worse than the SC examples. This follows if
the English examples have the semantic violation we have discussed as well as a
syntactic violation (violations of the requirement that DP must be projected on
top of TNP and whatever is responsible for the incompatibility of articles and
possessives in English).
23. Note that the above account readily extends to non-restrictive adjectives under Morzyckis (2008) analysis, where non-restrictive adjectives are also treated as having
type <e,t> and required to be interpreted inside the determiners.
200
(67)
Zeljko
Boskovic
(Basic 2004)
(68) accounts for (64), but it fails to capture the relative freedom of the adjectives/possessives order in SC and the SC/English contrast in this respect. Furthermore, Despic (2009, 2011, in press) provides conclusive evidence against
(68) based on the following SC/English contrasts.24
(69)
a.
b.
(70)
ga i je zaista razocarao.
a. *Kusturicin i najnoviji film
Kusturicas latest
movie him is really disappointed
Kusturicai s latest movie really disappointed himi .
je zaista razocarao
b. *Njegov i najnoviji film
his
latest
movie is really disappointed
Kusturicu i .
Kusturica
Hisi latest movie really disappointed Kusturicai .
Despic notes that (69) can be accounted for if, as in Kayne (1994), English
possessives are located in the Spec of PossP, which is immediately dominated
by DP, the DP preventing the possessive from c-commanding anything outside
of the subject. The contrast between English and SC then follows if the DP is
missing in SC. (Following Boskovic (2005) Despic in fact treats SC possessives
as NP adjuncts, on a par with adjectives; see Section 4.1).
Significantly, Chinese and Japanese behave just like SC in the relevant respect
(see Boskovic and Hsieh (2912), Cheng (in preparation) and Takahashi (2011)
24. The examples in the rest of this subsection assume a neutral (i.e. non-focused) intepretation of the relevant nouns/pronouns. (Since contrastive focus affects binding
relations it is important to control for it. I have also avoided using relational nouns
like father since at least for some speakers they involve irrelevant interfering factors;
see Takahashi 2011).
201
Despic also shows that demonstratives and adjectives do not change anything
in SC, which provides strong evidence that demonstratives, possessives, and
adjectives should be treated as multiple adjuncts/specs of the same phrase. Since
demonstratives and adjectives do not introduce an extra projection, they do not
prevent the possessive from c-commanding the co-indexed elements in (72).
(72)
It should, however, be noted that the application of Despics test shows that
functional structure is not completely lacking in SC TNPs. Thus, while demonstratives and adjectives do not bring in additional projections, non-adjectival
numerals which assign genitive of quantification do bring in an additional projection. Despic observes that these elements confine the c-command domain of
202
Zeljko
Boskovic
Notice that Chinese and Japanese classifiers pattern with SC numerals; they
apparently also introduce an additional projection into the structure.
(74)
a.
b.
It is worth noting here that Saito, Liu, Murasugi (2008) argue that only Chinese
has a ClP, classifiers in Japanese being NP-adjuncts. The above data provide evidence against this conclusion. Just like Chinese classifiers, Japanese classifiers
confine the c-command domain of possessives, which indicates that they also
project a ClP above NP.
4.
I now turn to explanations for the generalizations from Sections 1 and 2 under
the DP/NP analysis. I will first briefly summarize the account of a couple of
representative generalizations given in Section 1 from Boskovic (2005, 2008a)
and Boskovic and Gajewski (in press), referring the reader to Boskovic (2008a)
for the deduction of other generalizations from Section 1. I will focus here
on the phenomena that are relevant to the clause-level syntax, namely leftbranch extraction (I will also suggest a modification of my original analysis
203
(76)
25. Among other things, anti-locality accounts for the ban on short subject topicalization
and zero subject null operator relatives (Boskovic 1994, 1997), the that-trace effect
(Ishii 1999), the ban on movement of the phase complement (Abels 2003), and the
patterns of extraction of arguments out of DPs (Grohmann 2003, Ticio 2003).
204
Zeljko
Boskovic
On cijeni
[NP [N [ prijatelje [NP pametnih
friends
smart
he appreciates
[NP studenata]]]]].
students
He appreciates friends of smart students.
b. ?*Pametnihi on cijeni [NP [N [ prijatelje [NP ti [NP studenata]]]]].
a.
What this shows is that an NP above an LBE-ing NP has the same effect on
LBE as a DP above an LBE-ing NP does in English; they both block LBE. This
can be accounted for if NP is a phase even in NP languages. (77b) can then be
accounted for in exactly the same way as (3) (*Expensive, he saw cars), with the
higher NP blocking LBE for the same reason DP does it in the English example.
As noted in Boskovic (2010), strong evidence that this suggestion is on the right
track concerns Abelss (2003) generalization that the complement of a phase
head is immobile. Thus, Abels observes that an IP that is dominated by a CP,
a phase, cannot undergo movement. This in fact follows from an interaction of
the PIC and anti-locality, with the PIC requiring IP movement through SpecCP,
and anti-locality blocking such movement because it is too short. Now, if NP is
indeed a phase in NP languages we would expect that an NP complement of a
noun cannot undergo movement. Zlatic (1997) observes genitive complements
of nouns indeed cannot be extracted in SC.
(78) ?*Ovog studenta
sam pronasla [NP knjigu ti ].
book
this student-gen am found
Of this student I found the/a book.
The impossibility of deep LBE and the immobility of genitive complements of
nouns thus fall into place if NP is a phase in article-less languages. They are
both ruled out in exactly the same way.26
26. It should be noted here that nominal complements that bear inherent case can be
extracted. However, they also allow deep LBE. The correlation between the two
205
Ovog studenta
sam pronasla [QP ti mnogo /deset
this studentGEN am found
many/ten
[NP knjiga ti ]].
books
Cime
ga je [pretnja ti ] uplasila?
i
what-instr him is threat
scared
The threat of what scared him?
ga je pretnja [ti smrcu]
uplasila?
(ii) ?Kakvom i
what-kind-of him is threat
death-instr scared
Of what kind of death did a threat scare him?
(i)
206
Zeljko
Boskovic
27. Recall that even languages disallowing strict NPI licensing under negative raising
allow negative raising negation interpretation. Boskovic and Gajewski (in press)
suggest that this is a pragmatic effect capturable in an approach like Horn (1989),
who argues that the lower clause understanding is a case of inference to the best
interpretation. Significantly, Gajewski (2005) shows this approach cannot explain
strict NPI licensing under negative raising (more specifically, it cannot create the
anti-additive environments needed for the licensing), which his semantic account
can do.
207
B. The superlative is a degree quantifier (cf. Heim 1999). C is the set of contextually relevant alternatives and D is a relation between degrees and individuals
(81)
a.
b.
most = [AP
[DegP -estC ]
[A many] ]
d,<e,t,<e,t <d,e,t>,<e,t> mismatch!
When it moves, -est must target a node of type <e,t>. One option is local
adjunction to NP. Or, -est can move out of the TNP completely (Szabolcsi
1986, Heim 1999).
(83)
208
Zeljko
Boskovic
28. This does not contradict the earlier assumption that APs are NP-adjoined. In Boskovic
(2005), I interpret the ban on adjunction to arguments derivationally. WhenAP adjoins
to NP in the SC counterpart of I like green cars, NP has not yet been merged as an
argument; when covert -est movement applies, NP is already an argument.
209
What I mean by (86) is that an Agree relation that involves the number feature of
D must have morphological realization. Following Longobardi (1994), there is a
feature checking relation between D and N, which includes Agree for the number
feature. The relation must be morphologically realized. There are three ways of
doing this: realizing it on D, as in French and colloquial Brazilian Portuguese,
on N, as in English, or on both N and D, as in Bulgarian (I assume that what
counts here is the singular-plural opposition, which means that the lack of a
marker indicates singular in (87c); see also footnote 15).
(87)
a.
b.
c.
livr]
[l@
the-sg book
grad-@t
city-the
the book
[le
livr]
the-pl book
gradove-te
city(pl)-the(pl)
the books
(French)
(Bulgarian)
(86) captures (48) by requiring morphological realization of number morphology in DP languages, leaving it up to the morphological properties of the language/relevant lexical items to determine whether number morphology will be
realized in NP languages.
(86) also deduces the radical pro-drop generalization, providing a uniform
account of the generalizations in (48) and (45). In the case of phonologically null
pro, number morphology cannot be realized on either D or N. Yet, (86) requires
its realization. I suggest that this is done via verbal morphology. In other words,
(86) forces the presence of rich verbal morphology with pro-drop in DP lan-
29. (86) can be actually generalized to include -features in general, including the person
feature. However, since the person feature is hardly ever present in D (in fact, it is
possible that it is not present in non-pronominal TNPs), there may not be much
empirical difference between adopting (86) as it is and generalizing it. However, the
latter would obviously be conceptually more appealing.
210
Zeljko
Boskovic
30. It appears that we now cannot force morphological realization of the Agree relation
between D and N (for number), if the number of D will be later morphologically
realized through rich verbal morphology. In other words, it appears that we may allow
number morphology not to be realized in DP languages with rich verbal morphology.
Consider (i).
(i)
T/v
What is relevant here is the timing of the relevant relationships. D and N enter into
an Agree relation before any relationship between a DP external and a DP internal
element is established. We can easily capitalize on this by requiring (86) to satisfy
Pesetskys (1989) Earliness Principle. This would require (86) to be satisfied as early
as possible, which means after the D-N relation is established in (i). Alternatively,
we can appeal here to cyclic spell-out, assuming that D and N are sent to spell-out
together before any TNP external elements are merged with it. (86) would then have
to be satisfied within this spell-out unit. (D and N will be sent to spell-out together if
we assume that DP is a phase and either that the whole phase is sent to spell-out or
that the edge of a phase is not sent to spellout but the edge contains the Spec but not
the head of the phase (this would still allow successive cyclic phrasal movement, but
head movement would be pushed outside of the syntax, as in Boeckx and Stjepanovic
(2001) and Chomsky (2001), among others).
31. The underlying assumption is that pronouns are NPs, not DPs, in NP languages, as
Fukui (1988) argues (see also Tomioka 2003; Boskovic 2008a; Despic in press, 2011;
Runic 2011).
32. Note incidentally that this assumption (more generally, assuming that only functional
categories are subject to syntactic licensing requirements) suffices to deduce the
radical pro-drop generalization. Let us assume that pro-drop is subject to a -licensing
requirement, as standardly assumed, and that only functional categories can be subject
to syntactic licensing requirements. Since pro-drop involves DP-drop in DP languages
it is subject to the -licensing requirement, which means that radical pro-drop is
disallowed in DP languages. The requirement cannot be imposed in NP languages,
since pro-drop involves NP drop in such languages, and NP is a lexical category.
(This type of analysis can be easily restated under the PF deletion/argument ellipsis
approach to radical pro-drop; see also Tomioka 2003 and Cheng in preparation for
relevant discussion under the ellipsis account of radical pro-drop).
211
D (unvalued, interpetable #)
N (valued, interpretable #)
Following standard assumptions, the number of nouns is valued and interpretable. Capturing the intuition that D agrees with N in number, the number
feature of D is lexically unvalued, its value being determined through agreement with N. Following Sauerlands (2004) arguments that the number feature
of nominals should be interpreted in a high position,33 I assume that the number
feature of D is also interpretable.34 Given this, we may be able to generalize (86),
keeping the effects of (86) discussed above with respect to verbal morphology, as
in (89), where iK stands for an interpretable feature, and F for a functional head.
(89)
(89) may turn out to be too strong. For example, assuming that force is semantically interpretable and that it is encoded in C, different force specifications may
now require different morphological realizations of C, which seems too strong.
(89) can then be weakened as follows.
(90)
Given the plausible assumption that C is lexically valued for the force feature,
the problem raised above is resolved. Notice, however, that depending on how
topicalization and focalization are treated, (90) may need to be stated in terms of
PF realization more generally. If topicalization and focalization are treated on
a par with Pesetsky and Torregos (2007) treatment of wh-movement, the topic
and focus heads (which attract topicalized and focalized phrases) would have
an unvalued interpretable topic/focus feature, which would receive its value
from the topic/focus phrase. This would make (90) relevant to topicalization/
focalization. Now, in most languages topicalized and focalized phrases do not
33. I am departing here from details of Sauerlands proposal, which places the feature in
question not only higher than N, but also higher than D.
34. I am following Pesetsky and Torrego (2007) and Boskovic (2009b) in not lexically
associating interpretability and valuation, as in Chomsky 2001, so that both uninterpretable and interpretable features can be either valued or unvalued. See the works
in question for empirical and conceptual arguments for this position.
212
Zeljko
Boskovic
T (unvalued
iTense)
V (valued uTense)
Since the tense feature of T is interpretable and unvalued (90) requires morphological realization of tense. In English, tense is generally morphologically
realized, except in the Present Tense, where the only morphology, -s in the third
person singular, is a -feature, not a tense feature. Interestingly, Enc (1991)
argues that precisely in this case there is actually no tense in English. In other
words, she argues that there is no Present Tense in English, the relevant constructions lacking tense.35
It should be noted, however, that generalizing (86) does not necessarily require morphological realization of tense. Even if we keep the T-V feature checking relation from (91),36 there is a way of generalizing (86) that keeps its effects
for number morphology but does not require morphological realization of tense.
Thus, we can generalize (86) as in (92), where proxy values are defined in (93),
the intuition here being that percolation, i.e. passing on, of values of interpretable
features from lexical (L) to functional (F) categories requires morphological realization.
(92)
(93)
35. Alternatively, the opposition -ed vs may suffice here, where the lack of -ed would
indicate Present Tense.
36. The relation can of course be changed in such a way that it would not be affected
by (90).
213
The Agree relation between T and V from (91) now does not require morphological realization of tense, since the relevant feature of V is uninterpretable.
However, (92) still captures the effect of (86) regarding the presence of number
morphology within TNP.37
Suppose, however, that we adopt (90), which requires morphological realization of tense given (91), as the correct generalization of (86). From this
perspective, the lack of morphologically-present tense in e.g. Chinese (I am
putting aspect aside here) would then imply quite generally the lack of TP in
Chinese. There are in fact some pretty strong arguments that there is no need to
posit TP for Chinese, since temporal interpretation can be easily derived from
aspect or temporal adverbs (see Lin 2003, 2005 and Smith and Erbaugh 2005,
among others38 ).
37. It does not, however, capture its effect regarding the impossibility of radical pro-drop
in DP languages, unless we assume that pronouns have both D and N. Recall, however
that there is an alternative way of deducing the radical pro-drop generalization (cf.
footnote 32), i.e. (92) is not necessarily needed for this generalization.
38. Lin (2003, 2005) and Smith and Erbaugh (2005) argue that temporal interpretation
is derived from aspect even in examples without morphologically realized aspect
markers. Consider (i)(ii), where (i), involving a telic verb, can only have past interpretation, and (ii), involving an atelic verb, can only have present interpretation.
(i)
214
Zeljko
Boskovic
Interestingly, there are NP languages that have very rich verbal morphology;
yet, they seem to lack tense morphology. This is, e.g., the case with SC. Consider
the SC paradigm for present and aorist.
(94)
Present Tense for to love: volim, volis , voli, volimo, volite, vole
Aorist for to love: volih, voli, voli, volismo, voliste, volise
Infinitive for to love: voli-ti
(SC)
is simpler than future tense in that the latter contains modal interpretation. (What
is relevant here is a pragmatic principle they adopt which favors interpretation that
requires the least additional information). Finally, if the event represented by a verb
is not bounded, the default interpretation is present because the event is on going and
temporally open.
It should be noted that when they are present, aspectual markers and temporal adverbs
determine the temporal interpretation of the sentence. This is illustrated for the latter
in (iv).
(iv)
a.
b.
c.
Ta zuotian
hen mang.
he yesterday very busy
He was very busy yesterday.
Ta xianzai hen mang.
he now
very busy
He is very busy now.
Wo mingtian hen mang.
I
tomorrow very busy
I will be very busy tomorrow.
The case for deducing temporal interpretation from aspect/adverbs in Chinese thus
seems quite strong. (Note also that Hu et al. 2001 argue against the finite/non-finite
distinction for Chinese; see also Lin 2010 for the lack of Tense in Chinese.)
215
No TP in Article-less Languages
Returning now to the issue of whether NP languages have TP, positing a difference in the availability of TP between DP and NP languages can in fact be easily
justified theoretically. Suppose we assume that DP is the counterpart of IP, not
39. More precisely, Lobeck (1990) and Saito and Murasugi (1990) note that functional
heads can license ellipsis of their complement only when they undergo Spec-Head
agreement (SHA). Thus, (i) shows that tensed INFL, s, and +wh-C, which according
to Fukui and Speas (1986) undergo SHA, license ellipsis, whereas the non-agreeing
functional categories the and that do not.
(i)
a.
b.
John liked Mary and [IP Peter i [I did ti like Mary]] too.
Johns talk about the economy was interesting but [DP Bill [D s talk
about the economy]] was boring.
c. *A single student came to the class because [DP [D the student]] thought
that it was important.
d. John met someone but I dont know [CP who i [C C John met ti ]].
e. *John believes C/that Peter met someone but I dont think [CP [C C/that
Peter met someone]].
40. This way of looking at the Lobeck/Murasugi and Saito generalization requires agreement with a morphologically realized element. Since agreement with PRO does
license ellipsis this leads us to Hornsteins (1999) approach to PRO, where PRO is
actually a copy of a moved element. Assuming the relevant condition is checked
when the moved element is still within the projection of the head X, there will be no
problems with respect to the licensing condition on ellipsis discussed above if the
moving element is itself morphologically realized. This approach will likely require
considering some phonologically null elements to arise through PF deletion of overt
elements (see in this respect Takahashi 1997, who argues for an analysis along these
lines for several constructions that were traditionally assumed to involve null operator
movement), with the condition in question checked before the deletion.
216
Zeljko
Boskovic
CP as is often assumed, which is not implausible given that SpecDP is the host
of the counterpart of movement to SpecTP in examples like Johns destruction
of the painting under Chomskys (1986b) analysis. Suppose furthermore that
we take the TNP/Clause parallelism hypothesis seriously, where the lack of DP
in a language would imply the lack of its clausal counterpart, namely TP (assuming with Chomsky 1995, 2000, 2001 that TP stands for the IP of the GB
framework). It would then follow that TP should be absent in NP languages (or
perhaps it is weak, as in Tsai 2008).41 This fits some NP languages rather nicely.
For example, the assumption can capture Chinese and the surprising case of
SC, which we have seen lacks tense morphology although it has very rich verbal morphology (see in this respect Paunovic 2001 for arguments that SC does
not have grammaticalized tense (i.e. TP), temporal interpretation being derived
from aspect and mood). There are, however, NP languages that are traditionally
considered to have tense morphology, like Japanese and Turkish. The Turkish
case is actually quite controversial. A number of authors have argued that what
has been traditionally considered to be tense markers in Turkish are in fact aspect
and/or modal markers. Thus, the aorist {-Ar/Ir} is argued to be an aspect and
modal marker by Yavas (1981, 1982b) and Giorgi and Pianesi (1997), {-mIs}
is treated as an aspect and a modal marker by Slobin and Aksu (1982), {-DI}
is also treated as an aspect and modal marker by Taylan (1988, 1996, 1997),
{-AcAK} is also treated as a modal marker by Yavas (1982a), and {-Iyor} is
treated as an aspect marker by Giorgi and Pianesi (1997). The relevant state
of affairs is actually also not completely clear even in Japanese, which Fukui
(1988) argues lacks TP (see also Whitman 1982 as well as Shon et al. 1996 and
especially Kang 2012 for a similar view for Korean).
It is, however, important to notice that analyzing the traditional tense morphology in Japanese and Turkish as actual tense morphology does not necessarily
force us to posit TP for these languages. Consider again (91). In (91), tense is
represented in two different structural places, T and V, and interpreted only in
the former. Suppose, however, that the tense feature of V is interpretable in a
language. In such a language there would be no semantic need for T (as far as
temporal interpretation is concerned), since temporal interpretation would come
from the verb. It is then possible that Japanese and Turkish do have temporal
verbal morphology. However, since the tense on the verb is interpretable, the
41. It is important to bear in mind that adopting a no-DP analysis of article-less languages
does not require adopting a no-TP analysis for such languages, i.e. the absence of
DP in a language does not have to be correlated with the absence of TP, which means
that if it turns out that (some) article-less languages do have TP, the no-DP analysis
of such languages will not be invalidated.
217
languages can still be considered to lack T (the morphology itself would be part
of the morphologically complex verb, a suggestion that was actually made by
Fukui (1988) for Japanese). The state of affairs can in fact be nicely captured
within the system developed in Osawa (1999), who also argues that languages
differ with respect to the presence of TP (in fact, he argues that the property in
question can be affected by historical change). Parallel to the line of research
pursued by Higginbotham (1985), who argues that nouns have an open position,
Osawa argues that verbs have an open event position which must be saturated
through binding. In TP languages, the event position is bound by T. On the other
hand, Osawa argues that in languages lacking TP the event position is bound
by a temporal/aspectual affix on the verb (in a language like Chinese, where
adverbs affect temporal interpretation, the event position can also be bound by a
temporal adverb). Osawas analysis can be considered to be an implementation
of the above suggestion that in some languages the tense feature of the verb is
interpretable, given that on Osawas analysis in languages where a verbal affix
binds the event position of the verb there is no need for T to accomplish temporal interpretation. What is important for our purposes is that a mere presence of
temporal verbal morphology does not necessarily require positing a dedicated
TP projection, as already pointed out by Fukui (1988) (see also Whitman 1982).
Granted that assumption, a question still arises regarding other TP-related
effects, such as movement to SpecTP. Such movement can be easily reanalyzed
as movement to a projection other than TP, which would not be surprising if
the traditional IP is split at least to some extent. Research on quantifier float,
V-movement, and multiple subject positions quite clearly shows that a simple
structure where the only A-related phrase above the projection where a subject
gets a -role is TP is clearly wrong. The simple TP-over-vP structure cannot
account for the fact that it is possible to float a quantifier in between the and
the surface position of a subject which does not undergo A -movement (see
Boskovic (2004b) for crosslinguistic data to this effect), or that there are many
languages where the verb is lower than in Spanish but higher than in English
(this is e.g. the case with most Slavic languages, see Boskovic (2001), and with
French infinitives, see Pollock (1988)); if the Spanish verb is in T, and the English
verb is in v, where would then the verb be in these languages if all we have above
vP is TP? Multiple subject position languages like Icelandic also very clearly
have two subject positions above the -position of the subject (see Bobaljik and
Jonas 1996; Bobaljik and Thrainsson 1998; Jonas 1996; Vangsnes 1995), which
again cannot be accommodated under the simple TP-over-vP structure. It thus
seems quite clear that there should be more A-related structure above vP; TP
alone is not enough. Since what I am arguing here is merely that one layer of
clausal structure is missing in NP languages, there is still room for accommodat-
218
Zeljko
Boskovic
*(v)ono prsi,
ale svt
it
is-raining but sun
slunce.
is-shining
The only potential counterexample to the claim that article-less languages lack true
overt expletives I am aware of involves Finnish (see Holmberg and Nikanne 2002).
For the sake of argumentation, I will assume below that article-less languages do not
have overt expletives, leaving a detailed investigation of Finnish for future research.
I merely note here that at least in some cases the element in question (sita ) does
not seem to be located in SpecIP since it precedes the question particle -ko and the
focus-particle -han (recall also that at least colloquial Finnish has developed a true
definite article, so we may be dealing here with a system undergoing a change).
(ii)
a.
219
pursued here, that article-less languages do not have the TP projection, provides
a straightforward explanation for this state of affairs, given that expletives are
introduced to satisfy the EPP, a property of the TP projection (Fukui 1986, 1988
also uses the lack of subject expletives in Japanese to argue against the presence
of (syntactically active) TP in Japanese). On the other hand, the lack of overt
expletives in article-less languages is a real mystery if such languages do have
TP. Consider what could be appealed to in this scenario. First, if a language
has Spanish-style pro-drop (which SC does have), where overt pronouns are
typically used for emphasis, we might not expect to find an overt expletive in such
a language, since expletives cannot be used for emphasis. It is actually not clear
that this explanation works for Spanish-style pro-drop languages since Galician
Portuguese, which has this type of pro-drop, does have an overt expletive (see
Franks 1995). At any rate, even if the account can be made to work, it would
extend only to the Spanish-style pro-drop. In languages that have pro-drop of
the Japanese type (what I called radical pro-drop, which we have seen is in fact
limited to article-less languages), overt pronouns are not used only for emphasis,
so the above consideration regarding Spanish-style pro-drop would not apply
to them. We are then still left with the question of why article-less languages
lack overt expletives. One could assume here that the EPP is parameterized (see
McCloskey 1997 and Wurmbrand 2006). We would then not expect to find overt
expletives in all article-less languages. But we would still certainly expect to find
it in some, if not many, languages of this type. The upshot of the above discussion
is that if article-less languages indeed consistently lack overt expletives, which
seems to be the case, this will provide very strong evidence that such languages
lack TP. The no-TP hypothesis provides a straightforward explanation for the
lack of overt expletives in article-less languages, which otherwise represents a
real mystery.
5.2. Subject-Object Asymmetries
Another relevant test concerns well-known subject-object asymmetries of the
kind found in English. One such asymmetry concerns the that-trace effect, where
an object, but not a subject can be extracted across a clause-mate that.43
b.
Sitahan
ei nykyaa n puhuta vakoilusta.
exp-prtcl not nowadays talk-pass espionage-abl
We dont talk about espionage these days, do we?
(Holmberg and Nikanne 2002: 95)
43. For ease of exposition, I am simplifying here the actual state of affairs. The same
holds for the discussion regarding extraction out of subjects/objects directly below.
220
(95)
Zeljko
Boskovic
Another asymmetry concerns extraction out of subjects/objects. As is wellknown, English allows extraction out of objects, but not subjects.
(96)
Turning now to Japanese/Korean and SC, these languages do not display the
subject-object asymmetries in question (see here Shon et al. 1996 regarding
Korean. (97) actually cannot be tested in Japanese since the language disallows
scrambling of -ga marked phrases.)
(97)
a.
b.
I
mokcang-i i
Chelswu-ka [ti caknyen-kkaci-man hayto
this meadow-nom Chelswu-nom last year-until-just
kwaswuwen-i-ess-ta-ko] malha-yess-ta.
orchard-be-pst-dc-comp say-pst-dc
Chelswu said that this meadow used to be an orchard just until
last year. (Shon et al 1996)
Nwu-ka i [ne-nun [ti nay cacenke-lul
who-nom you-top
my bicycle-acc
hwumchie-ka-ss-ta-ko sayngkakha-ni?
steal-go-pst-dc-comp think-q
Who do you think took my bicycle away?
(98)
da ti voli Mariju?
Ko i tvrdis
who you-claim that
loves Marija
Who do you claim loves Marija?
(99)
[OP[ Mary-ga
t yonda-no]-ga aikarana yorimo John-wa
Mary-nom read that-nom is obvious than
John-top
takusan-no hon-o
yonda].
many-gen book-acc read
John read more books [than Mary read ] is obvious. (Japanese,
Takahashi 1994)
i tvrdis
Ciji
da [ti otac] voli Mariju?
(SC)
whose you-claim that father loves Marija
Whose father do you claim loves Marija?
(100)
(SC)
It should be noted, however, that the asymmetries may also be missing in article
languages. They are indeed tests for movement to SpecTP, since they affect only
221
subjects in this position (see Stepanov (2001a, b) for evidence that extraction
is crosslinguistically disallowed out of subjects that must raise to SpecTP).
However, since subjects do not have to always move to SpecTP in all article
languages, such asymmetries can also fail to surface in article languages. One
such language is Spanish, which does not show the that-trace effect and allows
extraction out of subjects, but crucially only out of postverbal subjects, which
do not move to SpecTP. Extraction is impossible out of preverbal subjects,
which do move to SpecTP (see Gallego and Uriagereka 2007). The question is
then whether the above subject-object asymmetries are ever found in articleless languages. I am in fact not aware of any article-less language that would
exhibit such asymmetries.44 If it indeed turns out that such asymmetries are
never found in article-less languages we will have here very strong evidence
that such languages lack TP. Since the asymmetries arise only in the case of
subjects that move to SpecTP, the lack of such asymmetries is straightforwardly
captured if the languages in question lack TP.
To summarize, if article-less languages indeed turn out to consistently lack
true subject expletives and consistently fail to exhibit subject-object asymmetries, as seems to be the case, we have here strong evidence that article-less
languages lack TP.45 This in turn follows once the TNP/Clause parallelism hypothesis is taken seriously, given that TP is the clausal counterpart of DP, which
is missing in article-less languages.46
44. Thus, SC, Russian, Palauan, Chinese, Japanese, Turkish, Hindi, and Navajo all allow
extraction out of subjects. Note that non-colloquial Russian disallows subject extraction across the counterpart of that; however, it also disallows object extraction, which
means that it does not exhibit a subject-object asymmetry here.
45. It should, however, be noted that it is certainly not out of question that any movement
of the subject, not just movement to SpecTP, could lead to the problems noted in the
text regarding extraction from/of subjects. Since TP-less languages may still have
subject movement, as discussed above, the problems in question could still arise in
TP-less languages. Under this analysis, article-less languages (i.e. languages without
TP) would only be much less likely to exhibit subject-object asymmetries than DP/TP
languages.
46. In principle, V-to-T head movement is another relevant phenomenon, since it should
be missing in article-less languages. It is, however, rather difficult to test whether such
movement is indeed absent in article-less languages for several reasons: assuming
that the traditional IP should be split, even if TP is missing there would still be head
positions above vP and below CP where a verb could move in article-less languages.
We may still be able to run the relevant test if TP is the highest head in the Split
IP field. Assuming that the finite verb in Romance languages like French, Spanish,
and Italian moves to T, we would then expect to find article-less languages with
222
Zeljko
Boskovic
(102)
223
Bbunmeikoku-ga
dansei-ga heikinzyumyoo-ga
Civilized countries-nom male-nom average lifespan-nom
mizikai.
is short
It is civilized countries that men, their average lifespan is short in.
(Kuno 1973)
Moreover, Fukui and Sakai (2003) observe that what gets -ga does not have
to be a syntactic constituent, and it does not have to be an NP (PPs and some
clauses such as those headed by -ka Q can also get -ga), again a non-standard
behavior from the point of view of standard assumptions regarding structural
nominative.
The well-known operation of ga/no conversion, where a subject of what
should be a finite clause fails to get -ga, instead getting genitive from a higher
noun, is another illustration of non-standard behavior of -ga.
(103)
Taroo-ga/
-no it-ta
tokoro
Taroo-nom/ -gen go-past place
the place where Taroo went
a.
John-ga
dare(-o) nagutta no?
John-nom who-acc hit
Who did John hit?
b. Dare-o John-ga nagutta no?
c. *Dare John-ga nagutta no?
224
Zeljko
Boskovic
Me /*I intelligent?!
a.
b.
John-ga
[Bill-ga
baka-da-to]
omot-teiru.
John-nom [Bill-nom fool-cop-comp] think-prog
John thinks that Bill is a fool.
[ti baka-da-to]
omot-teiru.
John-ga
Bill-oi
John-nom Bill-acci [ti fool-cop-comp] think-prog
John thinks of Bill as a fool.
225
c. *John-ga
[Bill-ga
orokanimo tensai-da-to]
John-nom [Bill-nom stupidly
genius-cop-comp]
omot-teiru.
think-prog
Stupidly, John thinks that Bill is a genius.
d. John-ga
Bill-o i
orokanimo [ti tensai-da-to]
John-nom Bill-acci stupidly
[ti genius-cop-comp]
omot-teiru.
think-prog
John thinks of Bill stupidly as a genius.
(108)
a. *[[Bill-ga
ti katta-to]j
[sono-hon-o i [John-ga
tj
[[Bill-nom ti bought-comp]j [the book-acci [John-nom tj
itta]]].
said]]]
[That Bill bought ti ]j , the booki , John said tj .
John-ga
Bill-o i
tj omot-teiru.
b. *[ti baka-da-to]j
[ti fool-cop-comp]j John-nom Bill-acci tj think-prog
[ti as a fool]j , John thinks of Billi tj .
(109)
(110)
John-ga
Bill-o
baka-ka-to kangaeta.
John-nom Bill-acc fool-q-comp consider
John wonders if Bill was a fool.
(111)
226
(112)
Zeljko
Boskovic
a.
b.
John to Bobi -o
otagaii -no titioyaj -ga [CP proj ti
John and Bob-acc each others fathers-nom
rikaisiyoo to] kokoromita.
understand C attempted
John and Bob, each others fathers attempted to understand.
*Otagaii -no titioya-ga [CP pro John to Bob-o rikaisiyoo to] kokoromita.
Regarding (112), Nemoto (1991) assumes that A-movement cannot skip CP/TP
pairs, following Chomsky (1986a). It must then be that either CP or TP is missing
in (112). Nemoto then argues that since CP is clearly present in (112) it must be
that the embedded clause lacks TP. The analysis also straightforwardly extends to
(107b)/(110)/(111b). The possibility of A-movement out of CPs in Japanese is
suggestive of a rather strong argument for the no-TP analysis. While a question
still arises how to block A-movement out of CPs where such movement is not
possible, what is important here is that such movement is in principle possible
in Japanese.47
I now turn to a rather strong argument for the lack of TP in article-less
languages, which involves the Sequence-of-Tense phenomenon.
5.4. Sequence of Tense
Consider English examples in (113) and (114). (113) is ambiguous between the
non-past/simultaneous and the anteriority reading. As for (114), the time of the
alleged illness must contain not only the time of Johns believing, but also the
utterance time (see, e.g., Sharvit 2003).
(113)
(114)
47. The issue, however, arises not only in Japanese but in other article-less languages
as well. It is possible that a projection from split IP other than TP (which would be
present in article-less languages) is to blame for this. Another rather straightforward
possibility is that an A-movement that is blocked is driven by a feature that the CP
in question also has (the movement would then be blocked by Attract Closest).
227
The above illustrates typical behavior of a language that exhibits the Sequenceof-Tense phenomenon (SOT). It is well-known that not all languages exhibit
SOT. Thus, SC (115) has the non-past reading. More generally, the simultaneous
reading of English examples like (113), where the embedded clause is in the
Past Tense, is expressed with a structure where the embedded clause is in the
Present Tense in SC. Furthermore, (116) can only have the anteriority reading
in SC.48
(115)
(116)
(nonpast/simultaneous)
(only anteriority)
English and SC can then be taken to illustrate the behavior of SOT and non-SOT
languages respectively. Is the variation between SOT and non-SOT languages
arbitrary? I am not aware of any proposals in the literature to the effect that
it is not. A preliminary crosslinguistic investigation of how languages behave
regarding SOT shows the following language division:
(117)
a.
b.
228
(118)
Zeljko
Boskovic
This surprising generalization, which is another illustration of a surprising interaction between NP-level and clause-level phenomena, falls into place rather
nicely under the approach pursued here, where article-less languages lack TP.
If TP is needed to impose Sequence of Tense, it follows that languages without
articles will fail to exhibit Sequence of Tense, since they lack TP.50
50. I-Ta Hsieh (p.c.) observes that the generalization can in fact be quite straightforwardly
deduced under the Stowell (1993, 1995a, b)/Kusumoto (2005) approach to SOT. In
this approach, a predicate has an argument slot for time; the past tense morpheme in
an SOT language like English functions as a time variable which receives its value
from higher operators like the phonetically null anteriority operator PAST. (In other
words, the past tense morpheme is like a polarity item that needs to be licensed by
PAST.) The anteriority meaning is then introduced by the operator PAST, which I
assume is located in T, not the past tense morpheme itself. On the anteriority reading
of (113), there is a PAST operator in both the matrix and the embedded T, as a result
of which the two past tense morphemes receive their values from different operators.
On the simultaneous reading of (113), on the other hand, PAST is present only in the
matrix T, hence both past tense morphemes are licensed by the same operator; the
attitude verb here quantifies-in over the time variable introduced by the embedded
past tense morpheme. In NP languages, due to the lack of TP, the operator PAST
is unavailable. As a result, such languages cannot have an English-like past tense
morpheme, which semantically merely introduces variables and is licensed by PAST.
Elements that these languages have instead of English past must carry a lexically
specified meaning and contribute to the temporal interpretation on their own by saturating the time argument slot of the predicate (as for their location, one possibility
is AspP). When these elements are embedded in the complement of an attitude predicate that is anchored with the past tense, since they are not variables they cannot be
quantified-in by an intensional verb like say. As a result, the simultaneous reading for
(113) is unavailable in the case of past-under-past in an NP-language. (As noted by
I-Ta Hsieh (p.c.), the elements in question can be treated as generalized quantifiers
over time, which, with the assumption that the topic time is saturated by the utterance
time in the root context and by the matrix event time in the embedded context, can
quite straightforwardly yield the simultaneous reading for pres-under-past in nonSOT languages.) Let me finally point out that while an NP language cannot have a
PAST operator due to the lack of TP, a DP language can still lack the operator as an
idiosyncratic property, which is consistent with the one-way nature of the generalization in (118) (recall that some DP languages lack SOT).
Khomitsevichs (2007) system can also be quite straightforwardly modified to deduce (118). On Khomitsevichs analysis SOT results from a series of Agree relations
through which the embedded verb is valued for the tense feature by the matrix verb.
Modifying the original system, this can be implemented as a V-T-V series of Agree
229
Only languages without articles may allow subject reflexives, i.e. examples like (119).
The gist of Despics account of (119) is that TP closes the binding domain for
anaphors (more precisely, TP dominated by CP closes it; Despic states his analysis in terms phases under Chomskys (2008) approach to phases, where a CP/TP
pair works as a phase51 ). As a result, examples like (119) can only be possible in
languages that lack TP.52 If correct, Despics generalization/analysis provides a
rather strong argument for the no-TP analysis of article-less languages.53
6.
Conclusion
Based on a number of crosslinguistic generalizations, including new generalizations regarding radical pro-drop, number morphology, negative constituents,
negative concord, second-position clitics, and focus-V adjacency, where the
presence/absence of articles in a language plays a crucial role, I have argued
that there is a fundamental difference between TNP in languages with artirelations under Chomskys (2001) definition of the PIC, where V can Agree with T
in its CP complement. Due to the lack of T(P), the higher V however cannot Agree
with the lower V in an article-less language without violating the PIC.
51. Working within this system, Kang (2012) argues that CP in Korean does not work as
a phase (since it does not dominate TP, Korean lacking TP). Her argument is based
on her claim that Korean does not have successive cyclic movement via SpecCP (she
observes that several standard diagnostics for such movement fail in Korean).
52. See Despic (2011) for details of the analysis and other factors that are involved.
53. Note that Migdalski (2010) offers a deduction of the second-position clitic generalization in (56) which crucially ties it to (118) (i.e. the current hypothesis that article-less
languages lack TP), whereby a second-position clitic system cannot occur in a TP
language (see also Condoravdi and Kiparsky 2002 for relevant discussion).
230
Zeljko
Boskovic
cles like English and article-less languages like SC that cannot be reduced to
phonology (overt vs phonologically null articles) since the generalizations in
question involve syntactic and semantic, not phonological phenomena. In particular, I have argued languages with articles and article-less languages differ
in that the latter do not have DP. Given that a number of these generalizations
involve surprising interactions between clause-level and TNP-level phenomena, pursuing the TNP/Clause parallelism hypothesis, I have then explored the
possibility that the structural difference between languages with and without
articles on the TNP-level has its counterpart on the clausal level; in other words,
I have explored the possibility that just like the structure of TNP is poorer in
NP languages than in DP languages, the structure of clauses is poorer in NP
languages than in DP languages. Taking the TNP/Clause parallelism hypothesis seriously in fact naturally leads to the conclusion that the lack of DP in
a language implies the lack of its clausal counterpart, which I assume is TP. I
have offered initial evidence that article-less languages indeed lack TP (but see
footnote 41). The evidence came from crosslinguistic generalizations involving
phenomena such as subject expletives, subject-object asymmetries regarding locality of movement, subject reflexives, and Sequence of Tense. The discussion
in this paper is in some respects reminiscent of the traditional configurational
vs non-configurational languages distinction, given that many article-less languages belong to what used to be called non-configurational languages (see
here the scrambling correlation in (17), scrambling being one of the central
characteristics of non-configurational languages). Over the years we have seen
conclusive evidence that non-configurational languages do have structural hierarchies. While nothing in this paper challenges that conclusion, the discussion
here leads to the conclusion that traditional non-configurational languages (more
precisely, article-less languages) may have a bit flatter (i.e. a bit less) structure
than configurational languages (more precisely, article languages) on both the
clausal and the TNP level.54
Finally, I will briefly compare the position taken in this paper with the possibility explored in Fukui (1986, 1988), Fukui and Takano (1998), and Fukui
and Sakai (2003) that Japanese lacks syntactically active functional structure.
Putting aside for the moment the two obvious differences in the scope of these
works and the current work (the current work deals with all article-less lan54. I emphasize here that although I am arguing that article-less languages are structurally
poorer than article languages on both the clausal and the TNP level I am not arguing
that article-less languages completely lack functional structure in clauses and TNPs, a
point which has sometimes been misinterpreted in the literature addressing Boskovic
(2005, 2008a).
231
guages and does not deny the presence of all functional structure), the issue
I would like to focus on is the distinction between lacking certain projections
vs having these projections as syntactically inactive. As noted in Fukui (1988),
it is actually very hard to tease apart these two options (the works cited above
mostly leave the issue unresolved); in fact many of the generalizations discussed
in this work would be compatible with a weaker position that article-less languages have DP and TP, which are however syntactically inactive. This would
mean that these projections could not be involved in any syntactic phenomena
(such as movement or agreement) in article-less languages; they would merely
serve as place holders for certain lexical elements. Such an analysis would still
allow for the placement of verbal morphology, such as e.g. Japanese -ru, under
T (though, as discussed in Section 5 and Fukui (1988), this is not really necessary). However, Fukuis (1988) point is that as far as syntax is concerned, this
analysis does not seem to differ from the analysis where the relevant projections
would be completely lacking. There are, however, still some differences between
the two analyses. Thus, it appears that to account for Despics (2009, 2011, in
press) binding facts, it is not enough to posit a DP which cannot be targeted by
movement or be involved in an Agree relation in article-less languages; even
without these properties such a projection should still close off the c-command
domain of possessors, thus failing to account for the binding properties of SC,
Japanese, and Chinese possessors discussed in Section 3. I also refer the reader
to Boskovic (2008a) for deductions of the generalizations from Sections 12
(see also the discussion in Section 4), some of which appear not to be consistent
with postulation of syntactically inactive DP in article-less languages. More
generally, if the inactivity is confined to syntax, which means that DP (and TP)
would be active in phonology and semantics, the semantic generalizations from
Sections 1, 2 and 5 will raise questions, given that DP (and TP) would then be
present in the semantics of article-less languages. Let me finally note that the
reason for deactivation (or lack of) DP and TP in Japanese from Fukui (1986,
1988), Fukui and Takano (1998), and Fukui and Sakai (2003), who relate it to
the lack of agreement in Japanese, cannot be extended to many of the languages
discussed here, since many article-less languages clearly have agreement (this,
e.g., holds for all Slavic article-less languages). Nevertheless, in spite of the
differences noted above, in many respects the current work follows the line of
research that originated with Fukui (1986).
232
Zeljko
Boskovic
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1.
der Hammer!
the hammer
great!
ein Holler!
a
elderberry
thats crazy!
* This paper was presented at the workshop entitled Sentence Types: Ten Years After,
which took place at the Johann Wolfgang Goethe Universitat in Frankfurt/M on June
2628, 2009. I wish to thank Gunther Grewendorf and Ede Zimmermann and their
colleagues for organizing this wonderfully inspired and inspiring conference and
the audience for interesting discussion. Most of the materials discussed are based
on earlier work, in particular Van Riemsdijk (2007; to appear). I thank Josef Bayer,
Aniko Csirmaz, Joe Emonds, Riny Huijbregts, Viola Schmitt and, last but not least,
Memo Cinque, whose 2005 workshop on PP-structure in Venice rekindled my interest
in the topic discussed here.
248
so
ein verdammter Schlendrian!
such a
damned
rut
such a damned rut!
so
ein Wahnsinn!
such an insanitiy
such madness!
It is, perhaps, less obvious that default case manifests itself also with other cases.
The present paper discusses a number of interesting ways in which the dative
case shows default behavior, with brief remarks also on default accusatives and
genitives.
One reason why default case has not attracted the interest that it deserves
is probably that its existence creates a fairly serious problem for the case filter,
one of the cornerstones of case theory (cf. Vergnaud 2008) which in turn was
one of the cornerstones of Government and Binding Theory (Chomsky 1981).
Take the paradigm example that case theory was introduced for: the passive. The
idea was that passive morphology absorbs or suppresses the verbs power to
assign accusative case to its direct object. Therefore the object must move to the
subject to pick up nominative case, for if it remains without case it falls prey to
the case filter and the sentence is ruled out. This line of reasoning presupposes
that there are no other ways in which the object could receive case. But there are.
In fact, inside the DP the equivalent of passive can avail itself of of-insertion,
or it can be moved to the prenominal position, where it picks up genitive case:
(2)
a.
b.
Why cant of-insertion be used to rescue the object of a passive verb, or, for that
matter a DP that has failed to undergo raising, from the case filter?
(3)
There are potential answers to these question. For example, it may very well be
correct to say that of-insertion and genitive assignment are processes that apply
automatically inside DPs only. In a sense, of and genitive case are two sides of
the same coin, and we may well say that the genitive is the default case in the
nominal domain. For an interesting elaboration of such an idea, see Kagan and
Pereltsvaig (2009).
There is, however, a second way in which a case-less direct object might be
rescued: it might get the default nominative, as discussed in (1) above. Indeed,
249
the default nominative does show up in more complete clausal contexts, such
as hanging topic left dislocation (HTLD):1
(4)
In other words, what prevents the following example from being rescued by
default nominative realization?
(5)
1. Occasionally, case attraction does occur in HTLD constructions, hence the following
alternative to (4) is not unacceptable:
Den HansACC , ich glaube nicht, dass ich ihnACC mag.
In the corresponding contrastive left dislocation, accusative case is obligatory:
Den HansACC /*Der HansNOM denACC glaube ich nicht, dass ich mag.
For details, see Vat (1997).
2. The ideas and proposals presented here are intentionally presented in a rather theoryneutral way. For some proposals on the integration of case and case theory in a
minimalist framework, see Pesetsky and Torrego (2004, 2007), among others. There
are some ideas there that point in a similar direction as in my own proposals, while
in other respects the approaches appear to be quite divergent. Mostly, however, the
empirical domains covered as well as the type of questions asked are rather disjoint.
Hence I abstain from discussing their views in the present article.
250
2.
Pure Route Ps take the Accusative, the Dative is the Elsewhere Case3
a.
b.
Peter legt
Peter puts
Das Buch
the book
Tisch.
das Buch auf den
the book on theACC table
liegt
auf dem
Tisch.
is-lying on theDAT table
Similar patterns are found in other Indo-European languages that have preserved
(part of) the case system. The following table, which I borrow from Zwarts
(2005), shows how the case system of Proto-Indo-European has syncretized to
the four-way case system of present day German.
(7)
Spatial
meaning
Proto-IE
Nominative
Vocative
Genitive
Dative
Instrumental
German
Nominative
Genitive
Dative
source
location
extent
goal
Ablative
Locative
Accusative
Accusative
The dominant view is that adpositions that allow both variants have the property
referred to as Doppelrektion (dual case government) (cf. Abraham 2003). The
alternative I wish to explore here (cf. Van Riemsdijk 2007) is that the choice of
the accusative is dependent on certain specific factors, while the dative case is
the elsewhere or default case.
251
The main question that I will address in this section, then, is the following.
What factors determine the choice of the dative and the accusative case in
spatial PPs (in German)?
My argumentation will proceed in the following steps:
The notion of direction must be split up into two distinct subcomponents:
ROUTE and SOURCE/GOAL (Section 2.2).
ROUTE is a major contributor to the choice of the accusative case (cf. Zwarts
2005; 2006) (Section 2.3).
ROUTE can be identified as the main factor determining the accusative case
in GOAL-PPs (Section 2.4).
2.2. Decomposing DIR
Much work on the internal structure of spatial PPs has assumed that there are
separate positions for location and direction, cf. in particular Van Riemsdijk
(1990), Koopman (2000), Den Dikken (2010), Huijbregts and Van Riemsdijk
(2001; 2007) and many others. Others have proposed structures far richer than
these (cf. among others Noonan 2005, Svenonius 2010). In (8) I give the relatively simple structure argued for in Huijbregts and Van Riemsdijk (2001; 2007).
(8)
Pmax
P
N
PDIRo
PLOCo
No
a.
b.
Dach
Die Schnecke kroch auf das
the snail
crept on theACC roof
hinauf /hinab /hinuber.
up/down/across
The snail crept up/down/across onto the roof.
Dach hinauf /hinunter.
Die Schnecke kroch das
the snail
crept theACC roof up/down
The snail crept upward/downward along the roof.
252
The three variants of (9a) correspond to the three motions depicted in (10). In
each case (the top of/upper side of) the roof is the endpoint, the terminus of
the motion, while the three possible postpositional elements corresond to the
orientation of the path or route along which the snail moves. In these examples,
an endpoint of the motion is specified: some position on the roof.
(10)
hinab
hinber
hinauf
In (11), which corresponds to the example (9b), on the other hand, we have
an upward or downward motion without an explicitly indicated starting point
or endpoint. The roof is the ground in relation to which the upward motion is
defined, but there is no implication as to whether the motion takes place on the
top side or the bottom side of the roof.
(11)
The contrast between the two examples shows quite straightforwardly that the
prepositional element serves to pinpoint the goal of the motion while the postpositional element denotes the orientation or the path of the motion. In the
remainder of this article I will use the following terminology and abbreviations:
place/location:
motion/orientation/path/route:
source/goal:
LOCATION
ROUTE
SOURCE
GOAL
LO
RO
SO
GO
253
Pmax
PSOGOo
P
PROo
P
PLOo
N
No
ACCUSATIVE
aus out of
auer outside
bei near
entgegen against
gegenuber opposite
nach to
von from
zu at, to
durch through
entlang along
gegen against
um around
an on
auf on
hinter behind
in in
neben next to
u ber over
unter under
vor in front of
zwischen between
It should be noted that Zwarts ignores the postpositional elements in circumpositional PPs, despite the fact that these elements can occur independently, as
shown in examples like (9) above. Zwarts groups these adpositions according
to the parameters discussed above in the following way:
254
Table 2.
Locative prepositions
Source
Route
Directional
prepositions
Goal
DATIVE
an
auf
bei
gegenuber
hinter
in
mit
neben
u ber
unter
vor
zwischen
aus
von
(entlang
on (hanging)
on (standing)
near
opposite
behind
in
with
beside
over, above
under
in front of
between
out of
from
along)
entgegen
nach
zu
against
to
to
ACCUSATIVE
durch
entlang
u ber
um
an
auf
gegen
hinter
in
neben
u ber
unter
vor
zwischen
through
along
over
around
onto
onto
against
(to) behind
into
(to) beside
over
(to) under
(to) in front of
(to) between
And he draws the following conclusion (in Zwarts 2006), correctly in my view.
DATIVE case goes with locative or source adpositions
ACCUSATIVE case goes with route or goal adpositions
We see immediately that the dative-accusative divide does not correspond to the
locative-directional distinction, but that SOURCE-Ps pattern with LOCATIONPs while ROUTE-Ps pattern with GOAL-Ps. In the next subsection I will try
to argue that both RO-Ps and GO-Ps impose a kind of measure phrase (MP)
interpretation on the PP, which causes the accusative case to show up.4
4. I return to the unexpected datives with GO-Ps (entgegen, nach, zu) in subsection 2.4.3.
255
2.4. A Proposal
The basic observation on which the proposal below rests is this:
(13)
This is true for the adpositions durch (through), entlang (along), u ber
(over), um (um) as well as post-positional elements of the type found in (9).
The complete list of these is given in (14).
(14)
auf
hin
ein (< in)
her
u ber
unter
upwards
inwards
across
downwards
away from X
towards X
Note that the deictic prefix hin- /her- does not denote a source or a goal, but an
orientation. Orientations are properties of paths (RO).
Taking this observation as a point of departure, we may formulate the following hypotheses.
1. It is the ROUTE component that is responsible for the accusative in the
GOAL-PPs (as opposed to the SOURCE-PPs);
2. The object of a ROUTE-P functions like a Measure Phrase (MP);
3. GOAL-Ps imply an (implicit or explicit) ROUTE component, SOURCE-Ps
do not;
4. Any datives showing up are not governed cases but represent the default
case in oblique domains.
The rest of this section will be devoted to some arguments in favor of these
hypotheses.
2.4.1. ROUTE-DPS as Measure Phrases5
A major insight underlying my line of argumentation has its roots in some
diachronical observations and their interpretation by Joost Zwarts:
The behaviour of the dative, straddling the line between locative and directional
uses, can partially be understood historically. The dative and accusative in presentday German PPs evolved out of the richer case system of Proto-Indo-European
(PIE) (Beekes 1995; Blake 1994; Fox 1995). The present-day dative is a syn5. The material presented in this section profited greatly from discussion with and input
from Aniko Csirmaz and Viola Schmitt.
256
cretism of three distinct cases in PIE. It covers the PIE dative, which was a nonspatial case for recipients and benefactives and is still used as such in German and
many other Indo-European languages. However, it has absorbed the locative case
(that was used for location) and the ablative case (for sources). The accusative in
PIE was used for goals (like an allative), which is still reflected in its PP use, but
it was also used for extents, which is very similar to our route use here (what is
called perlative or translative in local case terminologies).
(quoted from Zwarts 2006 emphasis mine, HvR)
a.
b.
257
a.
b.
c.
d.
e.
As (16b) shows, the DP preceding a pure RO-P acts just like the MP in (16a) in
this respect. (16c) shows that a RO-PP that is used as an adjunct acts identically.
In (16d), however, we have a typical GO-PP whose DP cannot be modified by
extent-denoting modifiers. However, the postpositional route component of such
a circumpositional phrase can be modified by the corresponding extent-adverb,
as shown in (16e). The same behavior can be observed in temporal cases that
are expressed by the figurative use of spatial Ps:
(17)
258
a.
b.
This ambiguity is also found in Goal-PPs (as opposed to Source PPs), as argued
in Nam (2004: (24)(26)).
(21)
a.
b.
(22)
a.
b.
259
The same effect is indeed found with other diagnostics for telicity of events:
(23)
a.
b.
c.
(23c) is an atelic activity like (23a): no time-frame and no delimited route; (23b)
however is a telic event (an accomplishment) that typically takes a delimiting DP.
For now we conclude that there is considerable evidence that the DP-object of
a pure RO-postposition is a DMP. The asymmetry between source-PPs and goalPPs that was also evidenced by the examples will be pursued in Subsection 2.4.2.
The conclusion we have reached is not without its problems, however. First,
RO-PPs can take an additional explicit DMP, as shown in (24).
(24)
a.
b.
260
(26)
It is true that such examples are in conflict with the Unique Path Constraint
of Goldberg (1991) and/or the Single Delimiting Constraint of Tenny (1994),
where both impose the uniqueness of delimiters associated with eventualities.
The conclusion must be that the delimiters in (25) or (26) modify distinct entities (Csirmaz p.c.): eventuality time and topic time in (25) and distinct scales
(duration and speed) in (26).
Does this help for (24)? Perhaps. We would have to say that there are two
distinct DMPs, one associated with the extent of the path (sc. 300 m), and one
specifying the actual distance that suffices to exhaust the climber. These two
DMPs and their interpretations happen to be coextensive in this case.
A second potential problem seems to arise when we look at the Japanese
accusative-dative alternation (Fukuda to appear, Kuno 1973, Sugamoto 1982),
which may appear to counterexemplify the connection between goal and accusative. Take (27) from Fukudas paper.
(27)
Apparently the goal (mountain) can be expressed either by the dative or the
accusative. But in actual fact, as Fukuda argues, there is an important difference
between the two variants having to do with the notion of path:
(28)
(29)
As Fukuda puts it, stairs is naturally interpreted as a path while in (29) the roof
is the endpoint of the climbing, but the roof does not define the path. Hence this
may actually turn out to be supporting evidence. Consider again the examples
in (9), repeated here for convenience and with the addition of a third variant
with a preposition only.
(30)
a.
b.
c.
261
The b-example is a case where, unlike example (29), the roof is the path. Hence
we might expect a corresponding example in Japanese to be felicitous with both
case endings, the accusative corresponding to the b-example and the dative to the
interpretation in which the roof is the endpoint of the snails climbing activity:
the roof is reduced to a point without extension. This seems to be confirmed.
(31)
Similarly, (27) is actually ambiguous in the intended way. What remains is the
question as to why the goal-interpretation is associated with the dative case. I
will assume that in Japanese, other than in German, the DMP, which is implicitly
associated with a goal-PP, does not have the force to impose its accusative case
to the object of the goal-P. This actually appears to be a more general property
of Japanese: even though the language does have an overtly marked accusative
case, (adverbial) MPs are caseless.6
Observe, finally, that we have to say that ROUTE is a measure, an extent,
but an extent with an orientation. This is so because if it did not have an orientation, den Berg hinauf (up the mountain) and den Berg hinunter (down the
mountain) would have the same meaning, which they do not. This may well
be true for MPs in other contexts as well. Time is intrinsically oriented in cases
like he slept three hours. Also, presumably, he covered 2 km implies directed
locomotion.
6. Thanks to Yukinori Takubo (p.c.) and Masayuki Oishi (p.c.) for helpful discussion
of the subtle nuances in (27)(29) and (31). Thanks to Oishi-sensei as well for
confirming that Japanese MPs, provided they are adverbial, do not have any overt
case, unless they are used contrastively.
262
The apparent problems for our conclusion, that the object of a pure route-P is
a delimiting DP and hence expected to show up in the accusative case, may thus
be solvable and, what is more, may even turn out to support the hypothesis.7
2.4.2. GOAL vs. SOURCE
In this section I will suggest that the difference between SO-PPs and GO-PPs
can be traced back to the role of the RO-component: I propose that in GO-PPs
there is an implied RO-component which is lacking in SO-PPs. My ideas on
this issue are admittedly quite speculative and the evidence is rather suggestive.
Still, I feel that this is a line of reasoning that is worth pursuing.
The main idea is this. If you move towards an endpoint, a GOAL, it makes
sense to specify the distance in space or time. If you move away from some
SOURCE, this is much less obvious. In other words, we always focus on the
way ahead, not on the path already covered. The distance ahead when we move
away from a source is always indeterminate, unless a GOAL is specified in
addition.
Consider the following examples.
(32)
Confronted with (32), the question arises what these sentences mean exactly. The
picture below suggests three possible interpretations. Consultation with about
a dozen speakers of English and German has revealed a considerable diversity
of judgments as to which interpretation is the one that imposes itself.
7. Note also that our conclusion sheds new light on the old issue of whether English
ago is a true postposition taking a DP-complement, or whether it is an intransitive
preposition taking an obligatory MP.
(i) a. two nights ago
b. *all nights ago
c. the whole night ago
Similarly with German her (ago):
(ii) a. zwei Nachte her
(two nights ago)
b. *alle Nachte her
(all nights ago)
c. *Nachte her
(nights ago)
d. die ganze Nacht her
(the whole night ago)
What my line of reasoning suggests is that this is a non-issue to the extent that
delimiting DPs associated with adpositions are both objects of that adposition and
measure phrase like modifiers.
263
(33)
a.
b.
c.
(35)
a.
500m
b.
c.
264
(36)
I conclude, tentatively, that there is reason to believe that implied MPs (implied
ROs) can be associated with GO-PPs but not, or only with difficulty, with SOPPs. And I conjecture that it is the implied RO-component that is responsible
for the accusative that is assigned in GO-PPs.
2.4.3.What about the DATIVE?
The remaining question at this point is: why do we get the dative case in locationPPs and in source-PPs? The answer I would like to suggest is that there is no
positive property that LO- and SO-PPs share that is responsible for the dative
case. Instead, building on earlier work, I propose that the dative case manifests
itself in these LO/SO-PPs simply as a consequence of the fact that the dative
is the elsewhere or default case in oblique domains such as PPs. This is what I
argued in van Riemsdijk (1983). In other words, when there is a positive reason
for the accusative to be assigned, such as the presence of a DMP-component,
that is what happens. When there is no such factor, the dative automatically
shows up.
In support of this claim, I will summarize some of the main arguments
presented in my (1983) article.
265
A much smaller set of adjectives takes the genitive, modulo those that are Measure Phrase like, such as keinen Heller wert (worth not a penny) that, not
unexpectedly, take the accusative.
Possessive datives
When the adnominal genitive is absorbed by the possessive adjective, the
possessor shows up in the dative case (cf. van Riemsdijk 1983: (42), 244):
(39)
a.
266
assigns a genitive to its internal argument, and the appositive to that argument is
realized with the dative case. In all these cases the dative case on the appositive
DP is perfectly grammatical (though an agreeing genitive is also possible).
(40)
(41)
(42)
Turning now to oblique accusatives, that is, accusatives assigned by a preposition, we see in (43) that here too the dative appositive is acceptable.
(43)
267
In non-oblique contexts, datives are always excluded, as is shown by the appositive to a direct object accusative in (44) and the appositive to a nominative subject
in (45). In other words, in non-oblique contexts case agreement is obligatory.
(44)
(45)
Kurdu
ka
wanti-mi
rdaka
ngulya-kurra.
childABS pres fallNONPAST handABS holeALL
The child falls into the hole with its hand.
268
(47)
Maliki-rli ka
kurdu
yarlki-mi
rdaka.
dogERG
pres childABS biteNONPAST handABS
The dog bites the child in the hand.
(48)
Maliki-rli ka
kurdu
yarlki-mi
kartirdi-rli.
dogERG
pres childABS bitesNONPAST mouthERG
The dog bites the child with its mouth.
(49)
Kurdu
ka-rla
maliki-ki yarnka-rni
ngirnti-ki.
childABS presDAT dogDAT go-forNONPAST tailDAT
The child goes for the dogs tail.
(50)
a.
b.
Yumangi ka
langa-kurra yuka-rni
maliki-kurra.
fly
pres earALL
enterNONPAST dogALL
The fly flies into the dogs ear.
Yumangi ka-rla
langa-kurra yuka-rni
maliki-ki.
fly
presDAT earALL
enterNONPAST dogDAT
The fly flies into the dogs ear.
It is on the basis of these considerations that I claim that the dative found in
spatial PPs needs no separate explanation: it is simply the default case.
2.4.4. Some Residual Cases
There is a relatively small (and diminishing) number of (mostly non-locative)
German adpositions that govern the genitive most of these are denominal or
deadjectival and possibly reducible, at least in part, to an analysis in terms of
an actual or silent N. And there is a very small group of, again mostly nonlocative, adpositions that govern the accusative: fur (for), ohne (without),
wider (against). I will not address these cases here. Instead I will limit myself
to some brief remarks on five spatial adpositions that are interesting in that,
while not fitting completely into the general pattern described above, they do,
at least in part, show properties that are in line with my proposal.
um
entlang
8. The issue of prepositional vs. postpositional order among spatial Ps is one that I have
not considered in the present paper.
269
for some speakers (not for the present author) it can also be a pre-or
postposition that takes the dative case, but this type of construction
is on the way out and tends to be replaced by the prepositional
dative: am See entlang (at the lakeDAT along); instead
with dative case, entlang can be used as a locative preposition:
entlang dem See stehen grosse Villen (along the lake stand large
villas)
In other words, entlang is gradually sliding into the general and regular pattern.
entgegen (towards) is a GO-P that (exceptionally) takes the dative case;
zu
(to) is a GO-P that (exceptionally) takes the dative case, but (perhaps
significantly) this preposition seems more resistant to DMPs than the
other GO-Ps: ??300 m zu mir (300 m to me), ??ein Stuckweit zu
seiner Mutter (a part-of-the-way to his mother);
nach
(to) is a GO-P that takes the dative case, but (significantly) we
only know this by inference from the temporal use (after); nach is
used exclusively with place names without articles that do not overtly
express any case:
nach Berlin (to Berlin)
*nach der Hauptstadt (to the capital)
*nach dem Berlin das Du mir beschrieben hast (to the Berlin that
you described to me)
*nach Peter (to Peter)
*nach dem Pazifik (to the Pacific)
nach Den Haag (to The Hague) vs. *nach Dem Haag (to theDAT
Hague) (cf. im Haag (in theDAT Hague) vs. in Den Haag (in The
Hague))
In other words, we might as well say that spatial nach takes the accusative.9
2.5. Conclusion
I have argued that the accusative in German spatial PPs can be fully attributed
to the delimiting measure phrase character of the DP in ROUTE-PPs and that
the accusative in GOAL-PPs is due to the presence of an (implicit) DMP. The
datives that show up in LOCATIVE-PPs and SOURCE-PPs are manifestations
of the more general principle that dative is the default case in oblique domains.
9. Section 3 takes up the issue of non-case-inflected, not overtly case marked nominal
elements that occur in dative contexts in greater detail.
270
3.
(52)
Viel(es) / alles
/ wenig(?-es) / nichts hatNOM uns
us
much
/ everything / little
/ nothing has
u berzeugt.
convinced
There is much syncretism in the paradigms, but in particular the above examples
with viel show that while case inflection is possible in these contexts, the uninflected form is tolerated, that is, it is compatible with the requirements imposed
by nominative/accusative domains.
The following examples, however, show that in dative contexts it is only the
inflected form that yields a grammatical result. I will call this effect dative
incompatibility.
(53)
10. This section presents an abbreviated and partly improved version of van Riemsdijk
(to appear).
271
(54)
(55)
Some of these words including allerlei, etwas, nichts, was lack a dative form
altogether and consequently they are not tolerated as objects of a verb that
governs the dative case.
However, if the governing element is a preposition, this dative incompatibility disappears (modulo the case-less r-pronouns, cf. Gallmann (1997); van
Riemsdijk (1978)).
(56)
(57)
mitDAT
with
was /
what /
viel / allerlei
/ etwas
/ nichts /
much / all-kinds-of-things / something / nothing /
wenig
little
(58)
beiDAT
with
was /
what /
viel / allerlei
/ etwas
/ nichts /
much / all-kinds-of-things / something / nothing /
wenig
little
These data, which I will refer to as dative incompatibility suppression, essentially admit two types of interpretations:
A. The prepositional dative is a different case from the indirect object or verbgoverned dative. That is, we could distinguish grammatical vs. oblique dative case. We can then say that uninflected pro-forms are compatible with
the oblique dative but not with the grammatical dative case, following van
Riemsdijk (1983, 2007).
B. Dative (in-)compatibility is contextually determined: the pro-forms in question are inherently incompatible with dative case, but prepositions suppress
this inherent feature. This is what, following van Riemsdijk (to appear), I will
argue for in the next section (Section 3.2).
272
None of these tolerate any of the case neutral proforms illustrated in (51)
through (58):
(60)
Second, Bayer and Bader (2007)11 observe that the phonetic weight and the morphological complexity of adpositions may play a role, though there is considerable variation in the judgments. Heavier prepositions yield results significantly
worse than those in (56)(58).
(61)
a.
(during nothing)
(because of all kinds of things)
(thanks to what)
It should be pointed out, however, that the examples in (60) are considerably
worse than those in (61). Furthermore, nach, which is monosyllabic, morphologically simplex and not in any obvious sense denominal, deverbal or deadjectival,
can occur both as a preposition and as a postposition; as a preposition governing
the dative it is used in prepositional objects and as a temporal adposition meaning after; as a postposition it means according to; in these various uses, we
get a clear contrast: the preposition nach tolerates uninflected pro-forms, but
the postposition nach does not.
(62)
(63)
(64)
273
I conclude from these facts that the factor preposition vs. postposition is the
major determinant of whether dative incompatibility is suppressed. Postpositions and verbs both govern leftward in German, as opposed to prepositions.
This suggests that it is the direction of government that plays a decisive role in
whether or not dative incompatibility suppression is active.
This interpretation of the facts is confirmed when we look at adjectives.
Adjectives in German can take DP complements which they govern leftward,
(cf. van Riemsdijk 1983).The case, as argued in van Riemsdijk (1983) and briefly
alluded to above (Section 2.4.3), is mostly the dative case, cf. example (38). In
such a left-governing context, we find no suppression of dative incompatibility,
in other words, the uninflected pro-forms are not tolerated.
(65)
(66)
This observation supports our conclusion that the direction of government determines whether uninflected pro-forms are tolerated under dative government.
Pro-forms such as etwas, nichts, viel, allerlei, was, wenig are inherently specified as nominative/accusative and hence as incompatible with contexts in which
the dative case is required. This dative incompatibility is suppressed, under
non-canonical (that is, left-to-right) case government.12 However, direction of
government is not the only factor determining whether dative incompatibility
suppression (DIS) occurs. Morphological complexity and phonological weight
may also block DIS.
12. I am using the term non-canonical here in view of the overall head-final character of
German syntax: O-V, DP-A, DP-P or P-DP. I am leaving aside the internal structure
of the DP here. If genitive phrases are DPs (and not PPs), they occur both to the
left and to the right of N. Dative phrases in DPs only occur to the left of the N in
possessive constructions, as briefly discussed in 2.4.3.
274
The latter observation invites the conjecture that DIS is an interface phenomenon: uninflected pro-forms survive throughout the syntactic derivation but
the derivation crashes at the PF interface unless the uninflected nominal form
is immediately preceded by a light preposition.
The interpretation of DIS as a PF-interface effect is also supported by considerations related to its interaction with head movement. In their clause final
position verbs cause the dative incompatibility effect, as shown in Section 3.1.
Observe now that the dative incompatibility effect persists (that is, no DIS effect
arises) when the (finite) verb undergoes Verb Second in root clauses, as shown
in the examples (53)(55). Hence, it is not the case that Verb Second creates a
situation of non-canonical (left-to-right) case government as discussed above
in connection with PRE-positions. This might at first sight be interpreted as an
indication that the DIS effect is truly syntactic. That would be the wrong conclusion, however, since it is predicted by phase theory and in particular phasal
transfer. By the time the finite verb is raised to C, the vP phase has become inaccessible to syntactic operations, with the exception of its head (the finite verb)
and its edge, due to the Head Constraint,13 currently referred to as the Phase
Impenetrability Condition (PIC). In phase theory parlance, the inaccessible elements of vP have already been transferred to spell-out. Therefore Phase Theory
in combination with the proposal that the DIS effect applies at the PF-interface,
that is, at spell-out, correctly predicts that Verb Second does not affect dative
incompatibility.
At first sight, this line of reasoning might be thought to apply to the
preposition-postposition alternation as well, which would be a problem as prepositions, unlike postpositions, do exhibit the DIS effect, as shown in Section 3.1.
Before answering this question, however, we need to know how the prepositionpostposition alternation is accounted for. However, this issue remains largely unsolved. On the one hand, a uniform underlying head-final analysis for languages
like Dutch and German would suggest that adpositions are base-generated in
final position and are fronted to yield prepositions. On the other hand, these
languages might be considered to be underlyingly mixed-headed. Furthermore,
it might also be the case that the adpositional head remains inert and that its
dependents move around.14 There is little question, however, that the relationship between pre- and postpositional structures is a matter that does not involve
domains larger than the (extended projection of the) PP itself. While (pace
13. See van Riemsdijk (1978).
14. See Corver (1997) for enlightening discussion of the corresponding question in Dutch
Adjective Phrases. Corver argues that in AP it is the head that moves, rightward in
his proposal.
275
Chomsky 2008) the PP may well constitute a phase, as argued in van Riemsdijk
(1978), there is every reason to assume that the position of the adposition within
the PP is settled by the time the PP is transferred to spell-out. Hence there is no
reason why the headedness (or quite simply the left- or right adjacency of the
adposition to its complement) should not feed the DIS effect.
These considerations, which support the interpretation of DIS as an interface effect, will be central to our discussion of the behavior of was (what) in
transparent free relative clauses, which I turn to in the following section.
3.3. Was in Transparent Free Relatives
One of the prominent and important properties of headless or free relatives
(FRs) is the matching effect. The FRs wh-word or -phrase, though arguably in
the complementizer position of the relative clause (cf. Groos and van Riemsdijk
1981; van Riemsdijk 2006a), must match the case requirements of the matrix
clause. The matching requirement is sensitive not to the abstract case imposed
in a certain context, but by the surface form of the word or phrase in question.15
The relative pronoun was (what) is syncretic between the nominative and the
accusative case. Hence, an FR introduced by was in German can simultaneously
satisfy a matrix nominative requirement and an accusative requirement in the
relative clause or vice versa, as shown in the following two examples.
(67)
(68)
With datives this does not work. For discussion about the facts, see Groos and
Van Riemsdijk (1981) and Grosu (2003, 2007).
(69)
*Dieses Bild
gleicht DAT was Du gezeichnet hast ACC .
have
this
picture resembles what you drawn
This picture resembles what you have drawn.
15. This property of the matching effect is, of course, fully in line with our earlier conjecture that the case phenomena we are looking at here are situated at the interface.
276
(70)
But the DIS effect is active. A (matrix) preposition suppresses dative incompatibility on the relative pronoun was that initiates the FR. This is fully expected
in view of what we have said about matching in FRs above.
(71)
Die Kinder spielen mit DAT was sie bekommen haben ACC .
have
the children play
with
what they received
The children are playing with what they got.
(72)
This is not the place to argue in detail how FRs, and in particular the matching
effect, should be dealt with in current syntactic theory. Let me just point to
the analysis that I have argued for extensively elsewhere, the so-called graft
analysis (cf. van Riemsdijk 2006b) in which the wh-word (here was) is remerged
twice, once from its base position into the SpecCP position of the relative clause,
an instance of internal merge, and once into the direct object position of the
matrix verb, an instance of a combination of internal and external merge which
I refer to as graft (the example illustrated here is (67)).
(73)
Such an analysis predicts that was displays (case) properties both of the matrix
clause and of the relative clause.
277
Let us now turn to a very special type of FRs, so-called transparent free
relatives (TFRs). These are illustrated by examples such as the following.
(74)
John lost what according to the dictionary are called his marbles
My analysis (cf. van Riemsdijk 2006b and references cited there) for TFRs is
that in an example like this, his marbles and not what is grafted into the matrix
clause to account (among many other properties) for the fact that lose ones
marbles is a local idiom. In other words, it is the predicate nominal that enters
into a matching relationship with the matrix clause. A graft analysis treats such
TFRs as shown in (75).
(75)
Grosus (2003 and elsewhere) has argued against my graft analysis on various
grounds, which space prevent me from discussing here. His alternative analysis
is to assume that TFRs are just like regular FRs and that, due to the predication
relation between was and the predicate nominal, the relevant information about
the predicate nominal is passed along to was and in this way becomes accessible
to the matrix clause. For reasons I have addressed elsewhere (cf. van Riemsdijk
2006b, 2006c), I believe Grosus position is quite untenable.
In a more recent paper (2007), however, Grosu presents a new argument
against my graft analysis which he undoubtedly thinks is the coup de grace.
Indeed, in my analysis of TFRs the DIS effect should not be found since it is the
278
predicate nominal and not was that is grafted into the matrix structure. However,
the DIS effect does obtain.16
(76)
(77)
Sie spricht mit DAT was ich einen Idioten ACC nennen
she speaks with
what I
aACC idiot
call
wurde.
would
She is talking with what I would call an idiot.
Grosu also observes that this effect is not found in non-prepositional contexts,
as expected:
(78)
279
(80)
(81)
(83)
(84)
280
(85)
Clearly, was does not play any role here since its syncretic properties would
predict that in each case both examples are grammatical. In other words, as far
as case matching is concerned, was is out of the picture since not it but the
predicate nominal is grafted into the matrix structure.
So far so good, but then, why do Grosus examples with prepositions (76)
and show (77) the DIS effect? In line with our earlier findings, the DIS effect is a
pure interface effect. Uninflected pro-forms such as was, nichts etc. suppress the
(dative) case inducing requirement on (non-canonically governing) adpositional
elements immediately to their left in the string. And since this effect takes place
at spell-out, it takes place after linearization, as it must in a graft analysis. Hence,
Grosus argument, though interesting in itself, is without force.
Needless to say, the discussion about the DIS effect in this section raises
many questions, many of which I cannot address here. Nevertheless, I will point
out a number of these questions.
First, if dative is the default case in PPs, it is ipso facto not assigned. But then,
how can we maintain that uninflected nominal proforms, and in particular was,
have the power to suppress the (dative) case inducing requirement on (noncanonically governing) adpositional elements immediately to their left in the
string? The answer, I assume, is to be found in the notion of oblique domain
that has been one of the cornerstones of the idea that the dative case is the
default case in oblique domains. Clearly oblique domains must be syntactically
detectable as such. The oblique domains that have played a role in the present
discussion are the PP and the AP. Another way to put things is to say that P and A
mark their domain as oblique. Formulating the DIS effect more precisely, then,
we need to say that uninflected nominals suppress the oblique marking effect of
prepositions (and adjectives17 ). Importantly, this does not turn a preposition into
a structural case marker assigning, say, nominative or accusative. Otherwise we
would expect the same dative incompatibility effect that we find in the domain
of verbs.
But, and this is a second question, why is the DIS phenomenon subject to a
directionality (of government?) effect? Here I can only speculate. What appears
to be at issue is Germans largely head final but in some cases mixed headedness.
17. Given that adjectives take DP complements to their left only, this addition is vacuous.
281
Verbs take their nominal complements on the left and so do adjectives, while
adpositions are ambivalent. Noun phrases are the domain of the genitive case,
which has been left out of consideration here.18
For case government, adjectives pattern with verbs, while nouns do not govern any case (modulo genitives). This makes P the only head that (sometimes)
governs rightward. I suspect that, being exceptional, this is a recessive property
and that it is this property that is at the origin of dative incompatibility suppression and is responsible for the fact that the DIS effect is relegated to the
(PF-)periphery.
Third (and last), why is the DIS effect triggered by function words like
viel, wenig, allerlei, etwas, nichts and was (much, little, all-kinds, some
(thing), nothing, what)? These words can occur as full nouns, but are generally regarded as pro-forms or function words. They waver in terms of their
categorial status. First, they occur as quantificational elements in the functional
structure of (extended) nominal, adjectival and adpositional projections:
(86)
a.
b.
c.
282
Summing up
a.
b.
Das Gewitter
hat etwas nachgelassen.
the thunderstorm has a-bit abated
The thunderstorm has abated a bit.
Peter ist viel herumgekommen in der Welt.
Peter is much around-come
in the world
Peter has travelled a lot around the world.
And possibly, the intermediate clause initial was in partial movement constructions in German also has the status of complementizer.
(iii) Was glaubst du was Peter meint wohin wir fahren sollen?
what believe you what Peter thinks where we drive should
Where do you believe Peter thinks we should drive?
283
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The syntax of specifiers and heads. London: Routledge.
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1990
Functional prepositions. In: Harm Pinkster and Inge Genee (eds.),
Unity in Diversity: papers presented to Simon C. Dik on his 50th
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Riemsdijk, Henk C. van
1998
Categorial feature magnetism: The endocentricity and distribution of
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286
287
0.
(2)
the drawings
(3)
An expression like his singing beautifully carries the activity reading of inflectional -ing, but no progressive meaning. The result nominals carry no activity
whatsoever:
(4)
A parallel set of theoretical questions arise for Phase theory. A number of papers,
beginning with Fu, Roeper, and Borer, have argued for the presence of a VP
within the DP, using ellipsis, adverbs and aspectual evidence, and it is assumed
in most subsequent analyses (Barrie 2006; Alexiadou (et al.) 2007; Sichel 2009).
Under this assumption, two Phases arise:
290
(5)
DP
= Ph2
D
-ing
AspP
Spec
= Ph1
Asp
-ing
Under minimalist theory, if the verb+object moves out of the lower Phase to
the higher Phase, then they are only interpreted at a later point, at which the
lower Aspectual information is no longer available because the Phase is over.
In order to capture these Phase properties correctly, we therefore argue that
aspectual information is only preserved when the interpretation occurs in the
291
first (i.e. lower phase) vP-Phase but blocked when the interpretation occurs in the
second, (i.e. higher) DP Phase. The Phase-Head (e.g. CP) is not transferred, only
the Phase-complement (e.g. IP). In order to execute this mechanism, the lower
verb+object must move into the Phase-Head, which remains for interpretation
until the next Phase, while the Phase-complement undergoes Transfer. This is
just like a wh-word moving into a lower clause CP, before cyclic movement, and
avoiding Transfer of the Phase-complement. Therefore we argue that the lower
verb+object (e.g. mow lawn) moves out of the VP into the ASP node, when VP
is transferred.
A natural question to ask is: why would the verb+object (i.e. mow lawn)
move as a unit? If the object occupies the clitic position, advocated in Keyser
and Roeper (1992), which is a part of a verb and the launching site for incorporation, then they would naturally move together, and be available for incorporation.
Thus, before movement the argument is moved into the clitic position, or alternatively, the THEME is directly projected into the clitic position and forced out
if it is a Phrase not a Head. If the ultimate incorporation occurs within a DP, then
the event is pluralizeable as well, and we predict the possibility of such forms:
(7)
the lawn-mowings
because the Aspect information is too low and could not be interpreted in the
first Phase without the verb present.
These are the extreme cases and many intermediate cases occur with varying
degrees of grammaticality which we will discuss. What happens if the object is
not incorporated, but still in the DP? Then we find that of-insertion occurs to
provide case, as argued classically, pluralization is still possible, but aspect is
still ruled out:1
(9)
We will now present this argument in greater detail and show its connection to
other theories.
1. The form in (9b) is often marked ?? or even * because it appears that it could belong
to the vP level phase. We argue that semantics indicates that it is a part of the DP-level
phase and therefore receives a Manner or Style reading rather than a simple direct
object reading.
292
1.
a.
b.
c.
d.
The corresponding structures for the forms in (10) are the following, where we
assume the two Phases mentioned above and the movement to the Phase Head:
(11)
a.
DP
NP
Ted D
s
NP
Spec
N
N
V+AspP
cutting/*s
AspP
DP
the grass
Asp
Asp
VP
cutting V
cut
DP
the grass
293
DP
b.
DP
DP
TED
NP
Spec
N
N
AspP
V+AspP
grass-cutting/*s
VP
grass-cut
Asp
Asp
ing
VP
NP
VP
grass V
NP
cut
grass
DP
c.
D
the
DP
Spec
N
V+AspP
cut
AspP
n
DP/NP
Asp
VP
V
DP
cut
the grass
294
DP
d.
D
the
DP
Spec
N
V+AspP
grass-cut
AspP
n
Asp
VP
ing/s grass-cut NP
grass
VP
V
NP
cut
grass
While (10c)/(11c) and (10d)/(11d) show that nominal gerunds can be pluralized,
these forms cannot be modified by aspectual PPs or adverbial phrases despite
the fact that they contain aspectual structure, which follows naturally from the
assumption that a Phase boundary blocks access to the lower verbal functional
structure:2
(12)
Also, nothing about everyday meaning rules out the illicit modifications as is
illustrated by the example in (13) where not even under a multiple event reading
the aspectual modifier for hours is licensed:
(13)
*The shootings of Jews for hours in the holocaust did not bother the
participants.
2. Note incidentally that this is absolutely compatible with the assumption that adjunction is Late or at least Later Merge as noted for instance in Boeckx (2008), Chomsky
(1993) and Lebaux (1988).
295
Here again the Phase boundary below the nominalizing -ing suffix blocks access
to the aspectual phrase that is adjoined below the nominal node.
In effect, then, we argue for a distinction between two types of -ing affixes.
One is an aspectual affix that is generated in a lower vP Phase where also
aspectual modifiers are licensed and one is a nominalizing affix that is merged
as the Phase head of a higher Phase.This N-head can thus host plural features and,
by virtue of constituting a Phase boundary, it blocks access to lower functional
structures, in line with the PIC. Further support for making a distinction between
two types of -ing in English comes from German, where the aspectual -ing
structures are nominalized infinitives and the the nominal -ing structures are
-ung nominalizations.
2.
A Closer Look
296
(14)
(14a) illustrates that nominal gerunds license (even telic!) aspectual modifiers,
which are most likely adjoined to the AspP in (11a). Furthermore, non-sentential
adverbial and prepositional modifiers are licensed, as (14b) shows, which again
points to verbal functional structure in these types of nominals. The fact that sentential modifiers are not licensed (cf. (14d)) follows naturally from the structure
in (11a) where TP or higher functional projections are missing. Finally, (14c)
indicates that the appropriate non-tensed form of the do-so anaphor is licensed
as well, which is yet another indication that TP is missing but verbal functional
structure below that and in particular AspP is projected.
Finally, when comparing the forms in (14) to the forms in (15) below, what
prima facie looks like a counter-argument to the analysis suggested here actually
provides further support for the assumptions made:
(15)
a. ?Johns cutting of the lawn for hours but never finishing it was a
problem.
b. Johns cutting the lawn for hours but never finishing it was a problem.
When the DP object stays in situ as it does in (15) b. the aspectual reading is
more naturally available. In (15) a., however, the object raises and the meaning
of the DP is fixed in the 2nd Phase, therefore the first vP/aspectual Phase cannot
be accessed. Notice that in (11) a. a nominal Phase does occur, however, it is
on top of the aspectual node with its -ing head. This is the second Phase, which
adds definiteness that can be seen as creating an implicature of completeness as
is familiar and standardly assumed for cases like the following:
(16)
Hence, the subtle distinctions between (15a) and (15b) corroborate the assumption that the -ing affix is an aspectual affix also in the nominal gerunds, instead
of undermining it.
2.2. Incorporated Non-Plural Nominal Gerunds
The question that immediately arises from the discussion in the previous section is, whether the incorporated forms of nominal gerunds also contain verbal
functional structure or whether the incorporation site is low in the tree, resulting
297
a.
b.
c.
Teds grass-cutting
Teds cutting of the grass
Ted cuts the grass
Following the line of reasoning in Kratzer (1994), van Hout and Roeper (1998)
point out that in (17c) the eventuality variable is closed off via existential closure
by the tensed T head, which leads to the event interpretation of this structure. The
incorporated nominal in (17a), on the other hand, is ambiguous between an event
and a result reading, which is the result of generic binding of the event variable.3
The interpretational difference between the verbal forms and the incorporated
nominals that follows from the different licensing properties of the event variable
(i.e. existential closure vs. generic binding), leads van Hout and Roeper (1998)
to the conclusion that the incorporated element is a non-maximal projection,
i.e. a head. This head is base generated in the abstract clitic position (ACP) of
the verb, originally identified in Keyser and Roeper (1992) for (among others)
verb-particle constructions. Under this analysis clitics are base-generated in a
position to the right of the verb:
(18)
V
V
ACP
play dumb/chess/out
3. In fact, existential closure is not an option in (17b) either, because here (as shown in
Section 2.1) TP is not projected either. So the event interpretation in this structure
might also arise from generic binding.
298
(19)
V(P)
N
grass
V(P)
V
cut
grass
Van Hout and Roeper (1998) go on arguing that the structure in (19) then is
incorporated into a nominalizing affix, which means that in this approach there
is no indication for verbal functional structure on top of the incorporated verbal
form. While this account provides a natural explanation for the interpretational
difference between (17a) and (17c) it remains silent about why the form in
(17b) can get an event interpretation just like the form in (17a) but not the result
interpretation of that latter form. One possible answer is that the variation for the
form in (17a) is due to the fact that the incorporated element is not an argument
of the verb. In fact, Harley (2009) argues that the incorporated element can be
analyzed either as an unanalyzed root with incorporation being triggered by a
case feature or it can be analyzed as having undergone category change to a
nominal category prior to -ing attachment. The distribution of the incorporated
element then is strongly distributional, basically mirroring the effect of the ACP
in van Hout and Roeper (1998). Though Harleys analysis offers a solution for
getting to grips with the two readings of (17a) that correlate with the argument/
non-argument status of the incorporated element, additional problems arise. First
of all, the status of the case-feature that triggers incorporation is left unclear in
her account, thus leaving open the question why overt LF-movement leads to the
two interpretational variants in (17a) while one of these is blocked in the nonincorporated form in (17b). Furthermore, Harleys account, just like van Hout
and Roepers, does not provide for any verbal functional structure on top of the
VP and in both analyses the incorporated forms result from head movement, an
assumption that is not unproblematic in modern minimalist theorizing.
Barrie (2006) avoids the problem of head movement and argues for phrasal
movement of the internal argument, which is forced by a symmetric c-command
relation between the verb and its complement, thus following a weak-antisymmetry approach in the spirit of Moro (2000):
(20)
VP
V
washing
299
VP
N
glass
N
glass
VP
V
washing
N
glass
Here the verb and the internal argument, i.e. a bare N, are in mutual c-command
and thus cannot be linearized (cf. Kayne 1994). This symmetric c-command
relation is dissolved by adjoining the N in the specifier of VP. So, this approach
avoids the problems of head movement but still does not provide an accurate
explanation for the interpretational variants attested for (17a), nor does it license verbal functional structure on top of VP. In fact, Barries analysis does
not provide any information on the status of the -ing suffix, which makes the
verbal projection and the lack of functional projections on top of it even more
problematic and leaves the external nominal distribution of the gerund totally
unaccounted for.
When, in analogy to the non-incorporated forms, the -ing suffix is analyzed
as an aspectual affix the incorporation of the nominal argument can still be
determined by a symmetric c-command relation between that argument and
the verb, resulting in the structure in (11b). Under this account the properties
exhibited in (21) follow naturally:
(21)
Just like for the non-incorporated forms, the relevant form of the do-so anaphor
is licensed (cf. (21a)) and non-sentential adverbial and prepositional modifiers
are licensed (cf. (12b) and (21e)), while the sentential modifier in (21f) is again
illicit. The contrast between (21c) and (21d) illustrates that only atelic modifiers
are licensed, which is expected because the incorporated element is a bare N that
is not quantized. If it were quantized, it would not be in a symmetric c-command
relation to the verb thus not necessitating incorporation in the first place. (21g)
finally shows that even control is possible which again underlines the eventuality
300
(23)
So, the incorporation here establishes a Kind reading, which is in line with
observations originally made in Williams (1981) that incorporated nouns are not
arguments, but rather Manner phrases, which nonetheless absorb the THEME
argument projection of the verb. Thus we have:
(24)
Thus, incorporation refers to Kinds, and differs from object projection via an
of-phrase.4
Incidentally, the Kind vs. Specific distinction offers another way to motivate
movement by meaning. If we assume that the incorporation position can have a
Kind-feature projection, then it could serve as a motivation for movement rather
than an abstract kind of case. We will not explore the question further here.
4. Note, that this cannot be captured under Harleys account either, where the ungrammaticality of (i) is left unexplained:
(i)
Keyser and Roeper (1992) argue that the head is moved into the clitic position from
the argument position after the THEME has been satisfied. Alternatively, one can
allow the verb to project the THEME theta-role to the clitic position. In any case, as
the example above shows it is not a pure adjunct.
301
However, as pointed out for complex event nominals other than -ing of nominals
in Fu, Roeper and Borer (2001) and as discussed in Section 2.2 for nominal
gerunds, adverbial modification is possible in these structures, as long as these
modifiers are generated in a post-head position in the right periphery. This is still
302
expected to hold for nominal gerunds that contain verbal functional structure
below a nominalizing node. The fact that adverbial modifiers are licit only in
the right periphery and adjectival modifiers show up only in the left periphery
is what naturally follows from the configuration in (11c). Hence, the criterion
of adjectival vs. adverbial modification in the left periphery is neither sufficient
to rule out verbal functional structure in nominal gerunds nor does it provide an
argument for the existence of verbal functional structure in verbal gerunds:
(28)
The question that remains, however, is why the forms in (10c)/(11c) license
plural markers. The examples in (29) show that pluralized nominal gerunds do
not show the characteristics that have been pointed out for their non-pluralized
counterparts in Sections 2.1 and 2.2.
(29)
a.
b.
c.
d.
a.
b.
Result:
the cuttings of grass
Event Variation:
The illegal shootings of the deer in the forest happened in very
different circumstances, so different fines were levied.
The renderings of the murder in court testimony were sharply at
odds.
The distinction between a result interpretation and that of a plurality of individualized events rests on the nature of the direct object in so far, as a direct object
that is a definite description allows for the plurality of individualized events
interpretation, while a bare noun object does not:
(31)
a.
b.
303
the roastings of coffee > different roasts, e.g. strong and mild
coffee
the roastings of the coffee > same coffee roasted more than once
The same effect can be observed when the direct object is a plural form:
(32)
a.
b.
c.
d.
e.
f.
304
None of these plural forms allows for a single-type event interpretation. Instead
these forms (just like their non-incorporated counterparts in 2.3) are all interpreted either as a result or as a plurality of individualized events. As expected,
without the plural marker on the -ing suffix the forms can still be interpreted as
results, but an event reading, which actually corresponds to the aspectual -ing
affix, is recoverable:
(36)
a.
b.
c.
d.
e.
305
a.
b.
c.
d.
The incorporated plural forms of -ing of gerunds do not license aspectual modifiers, non-sentential adverbial modifiers, prepositional modifiers or the do-so
anaphor either, nor is control of PRO licit here:
(38)
a.
b.
c.
d.
e.
As argued for the non-incorporated forms in 2.3, these modifiers are not licensed, because lower verbal functional structure is not accessible to material
adjoined by Later-Merge, in a higher cycle. Once again the Edge Property of
the Phase-inducing nominalizing -ing affix blocks the lower projections which
again determine the crucial contrast between an exclusive result interpretation
for incorporated mass terms and that of a plurality of individualized events for
bare N incorporations.
In effect, the pluralized forms show the same variation between the incorporated forms and their non-incorporated counterparts with respect to the interpretation of the direct objects as the singular forms, where the -ing affix is an
aspectual affix. If the object DP is incorporated it is not an argument and it gets
a Kind-reading.
Our analysis comports well with other recent approaches to morphology. Just
like in the non-plural cases incorporation can be seen as forced by a symmetric
306
c-command relation between the verb and its complement (cf. Barrie 2006;
Moro 2000; Kayne 1994) that is resolved by Comp to Spec roll-up. As a result,
the V+N complex is merged with the nominalizing -ing affix as a complex head
and thus can escape the lower Phase.
If the DP is not incorporated though, it moves to AspP separately. From there,
however, it cannot move together with the V-head to the nominalizing node,
which is in a higher Phase. This is why these forms are blocked and why only
non-THEME DPs can be merged in this position. So, here the higher Phase,
which is instantiated by the nominalizer -ing, does not only block aspectual
modifiers but also prevents THEME objects in Spec,Asp in the non-incorporated
forms.
(39)
*DP
D
AspP
V+Asp n
DP/NP
Asp'
VP
V
DP
THEME
Hence, the higher Phase has the effect of allowing objects only when they are
incorporated, which has the effect of creating a set of DP-events whose aspectual
structure is completive by virtue of the implications of the DP itself. This is why
the multiple event reading is available in addition to the result reading. The
aspectual structure in the lower Phase, however, cannot be accessed here, nor
can it be accessed in the non-incorporated plural cases:
(40)
In sum, the two Phase analysis, based on the SMT and the Phase-head Phasecomplement distinction, which is linked in turn to a verbal clitic position allowing Verb+object to move as a unit, provides a syntactic analysis with independent
roots but which, as we have demonstrated, provides a semantic (interepretive)
analysis of subtle aspectual behavior in nominalizations.
3.
307
a.
b.
(42)
a.
b.
das Spalten
des
Holzes
the split-en-inf of-the wood
the splitting of the wood
das Holzspalten
the wood-split-en-inf
the wood-splitting
die Spaltung des
Holzes
the split-ung of-the wood
the splitting of the wood
die Holzspaltung
the wood-split-ung
the wood-splitting
308
(43)
a.
b.
c.
d.
das Kussen
the kiss-en-inf
the kissing
das Laufen
the run-en-inf
the running
das Geben
the give-en-inf
the giving
das Rasieren
the shave-en-inf
the shaving
As far as the modificational properties are concerned, German nominalized infinitives again reflect the same pattern that has been outlined for English gerunds
that host an aspectual affix. Prepositional modifiers and non-sentential adverbial modifiers are licensed in incorporated and non-incorporated nominalized
infinitives in German:
(44)
a.
b.
(45)
a.
b.
das Mahen
des Rasens
mit einer Sense
the mow-en-inf the lawn-gen with a
scythe
the mowing of the lawn with a scythe
das Rasenmahen
mit einer Sense
the lawn-mow-en-inf with a
scythe
the lawn-mowing with a scythe
das Mahen
des Rasens
gestern /heute abend
the mow-en-inf the lawn-gen yesterday/this evening
the mowing of the lawn yesterday/this evening
gestern /heute abend
das Rasenmahen
the lawn-mow-en-inf yesterday/this evening
the lawn-mowing yesterday/this evening
a.
das Mahen
des Rasens
in zwei Stunden / fur
the mow-en-inf the lawn-gen in two hours
/ for
zwei Stunden
two hours
the mowing of the lawn in two hours/for two hours
b.
309
das Rasenmahen
fur zwei Stunden / *?in zwei
the lawn-mow-en-inf for two hours
/
in two
Stunden
hours
the lawn-mowing for two hours/in two hours
As has been observed above for nominal gerunds in English, in the incorporated
forms only atelic aspectual modifiers are licit. This follows from the fact that the
incorporated element is not quantized and thus does not license a telic reading
(cf. e.g. Borer 2005).
Another parallel between the German and English structures can be observed
when looking at control phenomena:
(47)
a.
b.
des Rasens.
Jacki bevorzugt das PROi Mahen
Jack prefers
the PRO mow-en-inf the lawn-gen
Jack prefers the mowing of the lawn.
Jacki bevorzugt das PROi Rasenmahen.
Jack prefers
the PRO lawn-mow-en-inf
Jack prefers (the) lawn-mowing.
a.
b.
This in turn can be seen as yet another indication that German nominal infinitives host verbal functional structure below the N-node, and in particular an
aspectual projection in which the distinction not only between quantized and
non-quantized direct objects but also between progressive and non-progressive
is reflected.
As for the incorporated structures of the nominalized infinitives in German,
it is worth noticing that only accusative marked direct internal arguments can
be incorporated. External arguments cannot be incorporated:
310
(49)
a.
Der
The
b. das
the
c. *das
the
Mann lauft.
man runs
Laufen
des Mannes / des Mannes Laufen
run-en-inf the man-gen / the man-gen run-en-inf
Mannlaufen
man-run-en-inf
In the nominalized form the genitive marked external argument can precede or
follow the nominalization, but incorporation is not possible, this is only licit for
direct internal arguments such as Marathon in (50):
(50)
a.
b.
c.
(51)
a.
(52)
b.
das
the
c. das
the
d. *das
the
(53)
Geben
des Geschenks an den Jungen
give-en-inf the present-gen to the boy-acc
Geschenkgeben
an den Jungen
present-give-en-inf to the boy-acc
Jungegeben
des Geschenks
boy-give-en-inf the present-gen
In both languages the direct internal argument (which is marked for accusative
Case in German) can be incorporated into the nominal form, but the indirect
internal argument is not licensed as an incorporation under nominalization. This
is what is expected under dynamic antisymmetry in the sense of Moro (2000).
311
The verb and the internal argument are in a symmetric c-command relation
that violates the linear correspondence axiom of Kayne (1994). This symmetryrelation is resolved by complement specifier roll-up (cf. Barrie 2006) and thus
leads to LCA compliance at Spell-Out. External arguments and indirect internal
arguments, however, are not generated under symmetry, hence, they should not
be available for incorporation in the first place. The same logic applies to the
reflexive structures in (54):
(54)
a.
b.
c.
d.
e.
Der
the
das
the
*das
the
das
the
*das
the
Berg
spiegelt sich im
Wasser.
mountain reflects self in the water
Spiegeln
(des Berges)
im
Wasser
reflect-en-inf (the mountain-gen) in the water
Wasserspiegeln
water-reflect-en
Sich-Spiegeln
(des Berges)
im
Wasser
self-reflect-en-inf (the mountain-gen) in the water
Bergspiegeln
im
Wasser
mountain-reflect-en-inf in the water
In (54a) the verb spiegeln is a reflexive form that can be nominalized without
incorporation as in (54b).5 This reflexive form is the only one that is available
for incorporation and it blocks incorporation of any other arguments (cf. (54c)
and (54e)). Again this is the logical consequence from the reflexive being the
only constituent that is available for a symmetric c-command relation in the first
place. All other constituents are embedded under V asymmetrically and thus
need not move to a higher projection to break symmetry in order to be LCA
compliant upon Spell-Out.
Further evidence for this claim comes from the derived structure with particles in English, where no incorporation is possible if there is a particle, although
the thematic role remains a THEME:
(55)
a. apple-picking
b. *apple-picking up cf. [pick apples up]
Thus our account of this morphological operation fits the symmetry diagnostic
for movement in syntax.
312
a. *die
the
b. *die
the
c. *die
the
d. *?die
the
Kussung
kiss-ung
Laufung
run-ung
Gebung
give-ung
Rasierung
shave-ung
a.
b.
der
the
der
the
Kuss
kiss
Lauf
run
While these forms, that might potentially block the forms in (56a) and (56b), do
exist, there are no zero derived result nominals for the forms in (58) that could
lead to blocking effects:
(58)
*die Singung, die Schreibung, die Liebung, die Jagung, die Gehung,
die Sehung, die Essung, die Kratzung, die Kommung, . . .
Transitivity on the other hand seems to be a vital criterion for the formation
of -ung nominals. All intransitive verbs lack this type of nominalization (while
they are fine as nominalized infinitives as has been shown in Section 3.1). As the
examples in (59) illustrate, however, transitivity is a necessary but not a sufficient
criterion for nominalization in -ung. The transitive verb schreiben cannot be
nominalized while the prefixed verbs beschreiben and ausschreiben can:
(59)
313
Quite remarkably though, whether the prefix can be stranded under nominalization or not does not play any role for the availability of the nominalized
form:
(60)
a.
b.
This transitivity sensitivity suggests that, much like English -ing of nominal
gerunds where the -ing affix is a nominalizing affix, verbal structure is involved
in the forms in (59). Again, paralleling the characteristics of their English counterparts and in stark contrast to German nominalized infinitives, German -ung
nominals can be pluralized:
(61)
a.
b.
(62)
a.
b.
What the examples in (61) and (62) show is that in German the distinction between what has been identified as a result interpretation in English and that of
a plurality of individualized events depends on the nature of the direct object
as well and is determined here by whether the direct object is marked for plural or not. This distinction naturally gets lost under incorporation, because, as
expected, only one form is available for incorporation.
(63)
a.
b.
314
However, the fact that the non-incorporated forms are sensitive to this distinction
is yet another indication that verbal structure is involved in these forms.
Not surprisingly, though, the -ung nominalizations do not license non-sentential adverbial modifiers or prepositional modifiers nor aspectual modifiers
neither in their incorporated nor in their non-incorporated variants:
(64)
a. *die
the
b. *die
the
c. *die
the
d. *die
the
Spaltung
splitt-ung
Spaltung
splitt-ung
Spaltung
splitt-ung
Spaltung
splitt-ung
des
the
des
the
des
the
des
the
(65)
a. *die
the
b. *die
the
c. *die
the
d. *die
the
Holzspaltung
wood-splitt-ung
Holzspaltung
wood-splitt-ung
Holzspaltung
wood-splitt-ung
Holzspaltung
wood-splitt-ung
Holzes
wood-gen
Holzes
wood-gen
Holzes
wood-gen
Holzes
wood-gen
gestern
yesterday
in zwei Tagen
in two days
fur zwei Tage
for two days
mit der Axt
with an axe
in zwei Tagen
in two days
fur zwei Tage
for two days
gestern
yesterday
mit der Axt
with an axe
Just like for the English -ing of nominal gerunds, this inaccessibility of the
lower verbal functional projections can be explained by the fact that the -ung
affix is generated under a category changing, nominalizing node on top of the
embedded functional structure that induces a Phase.Adjunction understood as an
operation of Later Merge is thus not possible for structures that are not located on
the Phase Edge. Since the functional projections are in the complement domain
of the nominalizing node, these will thus not be accessible. Interestingly, -ung
nominalizations can be interpreted reflexively only via a PROarb reading (cf.
also Sichel 2009), which can be seen as yet another indication that a Phase is
involved which cannot be accessed after nominalization:
(66)
a.
b.
die
the
das
the
Anmeldung
register-ung
Anmelden
register-en
der
the-gen
der
the-gen
Gaste
guests
Gaste
guests
(67)
a. *die
the
b. das
the
Sich-Anmeldung
self-register-ung
Sich-Anmelden
self-register-en
der
the-gen
der
the-gen
315
Gaste
guests
Gaste
guests
The ungrammaticality of the form in (66a) is even more surprising and significant, when taking into account that incorporation in -ung nominals is not
limited to direct internal arguments. In fact, indirect arguments of ditransitives
or reflexives and modifiers can be incorporated:
(68)
a.
b.
(69)
a.
b.
(70)
a.
b.
die Stadtfuhrung
city-guide-ung
Er fuhrt sie durch die Stadt.
He guides them through the city.
die Wasserspiegelung (*des Berges) /?des Berges
the water-reflect-ung (the mountain-gen)
Wasserspiegelung
Der Berg
spiegelt sich im
Wasser.
the mountain reflects self in the water
die
the
Der
the
Flussbiegung
river-bend-ung
Fluss biegt sich.
river bends self
a.
b.
c.
316
principle is at play in (69) and most likely also in (70), where the argument Fluss
is an internal argument of the unaccusative verb bend. Thus, the examples show
that for incorporation there still needs to be a symmetric c-command relation
between the incorporated element and the nominalized form. Intervening arguments that are closer to the -ung form block incorporation if they are realized
overtly. This is perfectly in line with the motivation for incorporation being a
symmetry relation (cf. e.g. Moro 2000).
In contrast to the relatively unconstrained incorporation possibilities illustrated in (68)(71) there is a relatively strict limitation on the incorporated
element. Similar to the pattern found in nominal root compounds (cf. Bauke
2009), the incorporated element in -ung nominals must be specified for plural,
for genitive case or it must be a bare stem. Nominalized infinitives, on the other
hand, are much less restrictive here:
(72)
a.
die
the
b. *die
the
c. *die
the
Straenkreuzung
street-pl-cross-ung
Straekreuzung
street-sg-cross-ung
Strakreuzung
street-stem-cross-ung
(73)
a.
Straekreuzen
street-sg-cross-en-inf
Straenkreuzen
street-pl-cross-en-inf
b.
das
the
das
the
Consequences
It has been argued that two types of nominal -ing of gerunds need to be distinguished in English. Both of these types project verbal functional structure on
317
top of a V-node, and in particular an aspectual projection. The distinction between the two types of gerunds identified rests on the projection site for the -ing
affix. When this affix is projected under the aspectual head licensing of aspectual modifiers, of non-sentential adverbial and prepositional modifiers, of the
anaphor do-so and of a PRO-element is what is expected and attested. Sentential modifiers are not licensed, which can likewise be explained by the absence
of a licensing TP or higher projection. Naturally, nominal gerunds of this type
cannot be pluralized either, because the -ing suffix is not a nominal affix and
thus unable to host nominal inflectional morphology.
When the -ing affix is projected under the nominal node instead, plural morphology is licensed. This does not mean, however, that this type of nominal
gerund does not project verbal functional structure below the nominalizing
node. On the contrary, the sensitivity to the quantized nature of the nominalized
verbs internal argument the sensitivity to non-incorporated THEME DPs and
the distinction between Kind- vs. Specific-interpretations point into the opposite
direction. This functional structure is not accessible for those modifiers that are
licensed with the other type of nominal gerund, however, because the nominalizing node is a Phase boundary whose Edge Property blocks accessibility of
projections in the complement domain of the Phase-head.
Both types of nominal gerunds allow for incorporation structures and the distinction between the incorporated and non-incorporated forms of the respective
types of nominal gerunds reduces to a symmetry-distinction. If the direct internal argument is licensed in an of-clause the nominalized verb and its argument
enter into an asymmetric c-command relation and incorporation is blocked. In
the absence of such a projection, a bare internal argument enters into a symmetric c-command relation that is dissolved by moving this argument from the
complement to a higher specifier position.
In sum, this paper follows the tradition that syntactic principles should apply
in the lexicon. We have argued that the abstract notion of Phase and the SMT
in fact predict exactly where subtle interpretive differences linked to aspect can
occur. It is precisely the ability of a theory to predict seemingly peripheral data
which illustrates its strength.
318
References
Abney, Steven Paul
1987
The English Noun Phrase in Its Sentential Aspect. Doctoral Dissertation. Massachusetts Institute of Technology.
Artemnis, Alexiadou, Gianna Iordachioaia and Elena Sorare
2009
Plural marking in argument supporting nominalizations. In: P. Cabredi-Hofherr and B. Laca (eds.), Layers of Aspect. Stanford, CA: CSLI
Publications.
Barrie, Michael
2006
Dynamic antisymmetry and the syntax of noun incorporation. PhD
dissertation. University of Toronto.
Bauke, Leah
2009
Nominal root compounds in German. Ms. University of Massachusetts, Amherst.
Boeckx, Cedric
2008
On the locus of asymmetry in UG. Ms. Harvard University.
Boeckx, Cedric
2008a
Bare Syntax. Oxford: Oxford University Press.
Borer, Hagit
2005
Structuring Sense Vol I+II. Oxford: Oxford University Press.
Chomsky, Noam
1970
Remarks on nominalization. In: Roderick Jacobs and Peter Rosenbaum (eds.), Readings in English Transformational Grammar, 184
221. Waltham, MA: Georgetown University Press.
Chomsky, Noam
1993
The Minimalist Program. Cambridge, MA: MIT Press.
Chomsky, Noam
1995
Bare Phrase Structure. In: Gert Webelhuth (ed.), Government and
Binding and the Minimalist Program, 383440. Cambridge, MA:
Basil Blackwell.
Chomsky, Noam
1995
Minimalist inquiries: the framework. In: Roger Martin, David
Micheals and Juan Uriagereka (eds.), Step by Step: Essays on Minimalist Syntax, 89155. Cambridge, MA: MIT Press.
Chomsky, Noam
2001
Derivation by Phase. In: M. Kenstowicz (ed.), Ken Hale: A life in
language, 152. Cambridge, MA: MIT Press.
Chomsky, Noam
2008
On Phases. In: R. Freidin, C. Otero and M.-L. Zubizarreta (eds.),
Foundational Issues in Linguistic Theory, 133166. Cambridge, MA:
MIT Press.
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320
Marantz, Alec
2007
Phases and Words. Ms. NYU.
Moro, Andrea
2000
Dynamic Antisymmetry. Cambridge, MA: MIT Press.
Roeper, Thomas and Angeliek Van Hout
1999
The impact of passive -able and middle: Burzios generalization and
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Roeper, Thomas, William Snyder and Kazuko Hiramatsu
2002
Learnability in a Minimalist framework: Root compounds, merger,
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Roeper, Thomas and William Snyder
2005
Language learnability and the forms of recursion. In: A. M. Di Sciullo (ed.), UG and external systems, 155169. Amsterdam: John Benjamins.
Roodenburg, Jasper
2006
The role of Number within Nominal Arguments. Rutgers University:
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2009
New evidence for the structural realization of the implicit external
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1997
Gerundive Nominals and the Role of Aspect. In: J. Austin and A. Lawson (eds.), Proceedings of the Fourteenth Eastern States Conference
on Linguistics, 170179. Ithaca: CLC Publications.
Van Hout, Angeliek and Thomas Roeper
1998
Events and aspectual structure in derivational morphology. In:
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Williams, Edwin
1981
Argument structure and morphology. The Linguistic Review 1: 81
114.
Many prepositions show scopal interaction with quantifiers like only but no verb
does:
(1)
a.
b.
John can box only with his left arm. =/ John can box with only his
left arm.
John only lost / sold /deified / reified /reanimated /transmogrified
his left arm.
= John lost /sold /deified /reified / reanimated / transmogrified only
his left arm.
Since there are thousands of verbs this is a curious finding but I believe there is
a good explanation of it.
The Representation Theory (RT) model of the grammatical system embeds
direct objects and complement clauses under different regimes for a variety of
reasons which are detailed in Williams (2003) and listed in Section 4 below.
The clausal regime is called Level Embedding (under the Level Embedding
Conjecture) and the direct object regime is called Cogeneration. But in that
earlier work I did not specify the regime for other phrase types. Here I will
suggest that Prepositional Phrases are embedded under the Level Embedding
regime, and I will support that proposal with predictions of the scopal behavior
of the direct objects of PPs that follow from the RT model in a way that cannot be
easily matched in a theory without the distinction between the two regimes, and
the overall architecture. I will begin by exploring some facts about differences
in implicatures between direct objects of verbs and direct objects of PPs; the
obvious implementation of the resulting conclusions in RT will then lead to
some further predictions about the differences between objects of verbs and
objects of Ps.
* I wish to thank audiences in Vienna, Frankfurt, and St. Petersburg for hearing me
out. I would particularly like to thank Klaus Abels, Gennarro Chierchia, Ad Neeleman, Oystein Nilsen, Martin Prinzhorn, Norvin Richards, Henk van Riemsdijk, Viola
Schmitt, and Benjamin Spector for useful conversation on the topic.
322
1.
Edwin Williams
As just observed, in general placing only before the verb or between the verb
and the direct object does not change the meaning of a sentence; but this is so
only in the absence of Focusing differences:
(2)
a.
b.
c.
d.
(2a) has the same meaning as (2b). On the other hand, (2b) does not have the
same meaning as (2c). These facts are readily understood in terms of focus
association and QR, which together will neutralize the superficial difference
between (2a) and (2b). (2c) on the other hand has focus on HAS, and so focus
association will work differently on (2c) than on (2a), and so the meanings will
not be the same.
But for NPs in some prepositional phrases, the meanings are not the same,
even with Focusing differences neutralized:
(3)
a.
b.
(4)
Examples (3a) and (3b) are the same in meaning, but (4a) and (4b) are sharply
different. I have marked (4a) as ungrammatical, which is not really right, it does
in fact even have a meaning, but not one remotely like (4b). The inequivalence
in (4) is especially surprising given the near equivalence of (3b) and (4b) to
the innocent, to pay X for Y is synonymous with buy Y for X. I will speak of
only commuting with paid in (3), but failing to commute with buy for in (4).
The simple expressions with which only fails to commute are diverse. In (5)
we have the telic/atelic diagnostics in and for; only commutes with for but not
with in:
(5)
a.
b.
c.
323
Again the star on (5a1) indicates non-equivalence with (5a2); (5c) shows that
(5a) does have a meaning, but not one related to (5b).
Perhaps the most revealing failure of commutation is where one of the two
forms is ambiguous and the other is not:
(6)
a.
b.
(5b) can be used to describe two different situations. In one, each blanket is
sufficient to cover the object by itself, and so the blankets are piles on top of
one another. But there is also the meaning under which no blanket is sufficient,
and only taken together do the blankets form a patch-wise complete covering.
(5a) does not have this last meaning.
The generality of the phenomenon goes beyond only in the following we
see that not even also participates:
(7)
a.
b.
c.
(7a) and (7b) are the same, but (7c) is different. Clearly not interacts with for in
a way similar to the way only does; at least, neither commutes with it.
Finally, the phenomenon is not limited to cases with numbers, as the following shows:
(8)
a.
b.
(8a) and (8b) are different in this way: (8a) means something like the only
arrangement of that piece I have played is one for harmonica but (8b) means
I managed to play that piece with nothing more than a harmonica.
In explicating (6) I used the notion sufficiency, and I think that notion is
relevant for all the cases discussed so far. Certain Ps instantiate an operator that
imposes sufficiency conditions. That operator can be further observed in the fact
that the entailment in (9a) holds, but not the one in (9b):
(9)
a.
b.
(9a) more strongly implies that the screwdriver was the only tool needed than
(9b) does.
324
2.
Edwin Williams
Scales
a.
b.
This again is hardly surprising. But it is perhaps surprising that verbs always
commute with only, if it is so. The story told here is only incidentally about
only, rather it is about the difference between verbs and prepositions. Before
proceeding to it though it will be worthwhile to get a more precise idea about
what the difference in meaning is in the non-commuting cases.
If we look at some of the contexts used in the first section, we can find a
further semantic difference between the commuting and non-commuting cases
( means entails):
(12)
325
(12a)(12c) show that have X manifests the familiar scalar entailments and
implicatures (12a) shows that having X dollars entails having any positive
amount less than X, and (12b) shows that having X dollars implicates having no
amount greater than X, and that that implicature can be canceled. But the context
did it in X in (12d)(12f) works oppositely the entailments are reversed
from those in (12a), and so are the implicatures doing X in 5 minutes entails
doing X in 6 minutes (with time to spare). The difference between (12b, c)
and (12e, f) show that have X and do it in X have opposite implicatures,
of the kind expressed in (12j) and (12k). And in fact do it for X also works
opposite to do it in X, as (12g)(12i) show.
Taken together these facts suggest that in but not for (of for 5 minutes)
introduces an entailment-reversing and implicature-reversing operator, and that
it is that operator with which only cannot commute. And if this is so, then we
should conclude further that verbs (or at least have) do not introduce such an
operator, and so commutation of V with only occurs freely.
I will not at attempt to fully characterize the semantics of the operator involved in these cases but will give some suggestive remarks about it. First, the
operator is not a downward entailing operator:1
(13)
a.
b.
(13) shows that play it with is an upward entailing environment, and since
only does not commute with play it with this shows that the operator blocking
commutation is not a downward entailing operator. Second, the operator in the
cases discussed seem to involve the notion of sufficiency. So the entailment in
(14) seems valid:
(14)
a.
b.
This is consistent with the earlier observation that pay, but not buy for, commutes
with only. Buy Y for X entails that X was sufficient by itself for obtaining Y;
1. I am grateful to Benjamin Spector for clarification on this point.
326
Edwin Williams
but pay does not seem to have this as an entailment, but only as an implicature.
So for introduces the same sufficiency operator as with. The same notion of
sufficiency can be brought out by embedding the two predicates under manage:
(16)
a.
b.
The LFs differ as to whether the quantifed NP has been raised. When it has not
been raised, in LF1, it is interpreted in situ, and is understood to be subordinate
to the sufficiency operator introduced by with, and the meaning is that 5 blankets
together was sufficient, with the implicature that 4 would not have been. When
the quantified NP has raised, as in LF2, the sufficiency operator has scope over
only the trace of the quantified NP, and so the meaning is that for each of the
5 blankets, that blanket was sufficient (and there were only 5 such blankets,
and I covered it with each of them). So sufficiency is involved in both cases,
but with different scopes with respect to the quantified NP. We can then readily
understand now why the sentence is not ambiguous when only appears before
the verb:
(18)
Only can associate with the quantified NP only if it raises, and so we get only
one of the interpretations.2
So we may draw some preliminary conclusions: some prepositions, but so far
no verb, carry an operator having to do with sufficiency that interacts scopally
2. Example (18) actually has a couple of other irrelevant readings where only does not
associate with [5 blankets] at all: The only thing I did was cover it with 5 blankets,
which is itself ambiguous with respect to the scope of with and the quantified NP.
327
with quantified NPs. Furthermore, these same prepositions can take scope over
their quantifed objects.
3.
It is not obvious that no verb should ever have scope over its object, especially
since some prepositions do. In standard typed semantic theories verbs never take
scope over their direct objects because transitive verbs are <e <e, t things, and
quantified direct objects (Generalized Quantifiers (GQs)) are e, t> t> things,
and the types dont match, so Quantifier Movement must take place, leaving an
<e> trace. But this is a stipulation, as there is no reason, semantic or otherwise,
why there could not be verbs of the type e, t> t> <e, t, that is, verbs which
took GQs as their semantic complement directly. The lack of such verbs is all
the more striking given Ps that do take such arguments, if the conclusion of the
previous section is correct. It is also a stipulation in the standard account that
the trace is of type <e>.
And it can be shown that it is exactly the P itself that takes the GQ as its
argument, and not some larger unit like V + P:
(19)
(19a) is like the examples already discussed; the (19b/c) distinction however
shows that it is the P, not the V, with which only cannot commute. The *s in
these examples indicate that there is no scalar reading equivalent to (19c); each
has a different reading. (19d) and (19e) each have reasonable meanings, but are
not equivalent. They show that the preposition with fails to commute with only
in cases where the PP not modifying the verb, but the entire clause, indicating
again that the verb is irrelevant to the failure of commutation.
So our central empirical claim is the following:
(20)
328
Edwin Williams
No comparable claim can be made for Ps. In fact we can find numerous minimal
comparisons that substantiate this difference between Vs and Ps. Especially
compelling are pairs where the meanings would be the same except for the
effect of (20):
(21)
a. John only used 5 nails to fix it. =/ *John only fixed it with 5 nails.
b. John only juggled with 5 balls. =/ John only juggled 5 balls.
c. *I only jingled with my keys. =/ I only jingled my keys.
d. The water level only reached 50 feet = reached only 50 feet.
e. The water level only dropped to 30 feet =/ dropped to only 30 feet.
In what remains, I will refine and generalize (20), then explain it in terms of
regimes of embedding, and then reanalyze some apparent counterexamples to it.
A more general version of (20) is the following:
(22)
We have seen that it is the presence of such an operator that is responsible for
the failure of only to commute with certain prepositions. The claim is then that
there are no verbs like those prepositions.
We associated the notion of sufficiency with such prepositions. We then
expect there to be no verbs that instantiate such a notion of sufficiency. So, we
expect there to be no verb like suffice* that could be used as in (23a) below:
(23)
Nor could there be verbs which mean to do X with Direct Object as sufficient
means, as in
(24)
a.
b.
In addition, (22) dictates that there can be no verbs which instantiate downward
entailing operators, and the following cases with negative verbs support that
conclusion:
(25)
329
It is especially surprising that only commutes with the negative verb lack, since
it does not commute with dont have. So we might express (22) in a more general
way:
(26)
From (26) it follows that no verb can mean, to do something to everyone except
Direct Object:
(27)
I *beat-excluded Bill.
meaning: I beat everyone except Bill.
a.
b.
Clearly deny and doubt each has scope over its complements and its contents,
as they license NPIs there. We must narrow (26) to the following:
(29)
The problem then is to explain why is (29) true, and especially why (26) is not.
Also, we must explain why the following is not true:
(30)
4.
The rationale for the conclusions of the previous section will be found in the
embedding schemes of Representation Theory (Williams 2003). In that theory
3. It is necessary to add at all to these examples because otherwise the NPs can be
construed as free choice expressions compatible with any verb, not just negative
ones.
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Edwin Williams
there are two embedding regimes, one for NPs (Cogeneration), and one for
clauses (Level Embedding).
The derivation is driven by F-structure. The derivational apparatus consists
of the workspace and the F-structure clock, which determines the timing
of events in the workspace. The derivation of an entire multi-clause sentence
occurs in one sweep of the hand of the F-structure clock. The following is a
snapshot of a point in the derivation of a well-known sentence:
(31)
F0
{ }
Present
F23
workspace at F23:
F123
[colorless
green ideas]
[sleep furiously]
F0
F23
F44
F67
F82
F107
=
=
=
=
=
=
FTheta
Faccusative , Fagreement
Fevery
FNP-movement
FTP , FSmall Clause
Fthat , FCP , FWH-movement
We reserve F0 for the lexical head at the bottom of an F-structure. The two
embedding regimes can now be defined in terms of this derivational apparatus.
The co-generation regime proceeds as follows. The direct object of a verb is
merged with the verb at F0 , before any higher functional structure is introduced,
so the structure at F0 is [V0 N0 ]V . The workspace still contains the original V
and N, so the workspace consists of at least { V, N, [V N]} in further derivation,
that is, further advancement of the F-clock, and further features, morphemes,
etc., are added to each of V and N, so [V N] grows to [Vi Ni ] at Fi , and so on.
The model needs some account of how Xi is spelled out; see Williams (2008) for
331
Derivations
F0
F17
F23
F44
...
LEC:
SC: {V,V,N}
CP: {V,V,N}
...
...
{V [V,N]}
{V [V,N]}
{[Vphi Nacc]}
phi
. . . {V
phi acc
, [V N ]}
...
F82
F107
...
...
{[V107 CP]TP}
The line across the top is the F-clock, from F0 to F107 . Three embeddings are
shown, one Cogeneration and two Level Embeddings (one small clause and one
CP). The point at which the embedding takes place is shown in bold underline.
For Cogeneration embedding is immediate, at, or just after, F0 ; for Level Embedding the embedding is at the point at which the to-be-embedded clause is
built up to the level required by the embedding verb.
There were a number of arguments in Williams (2003) for these two very
different embedding regimes. Here I will simply list them; for detailed discussion
read the book. For an account of morphosyntax compatible with the model see
Williams (2008).
First, there is a pointwise parallel between the N F-projection and the V Fprojection, as the following diagram suggests; such a parallelism follows from
Cogeneration.
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Edwin Williams
(34)
DP: [Quniv...[Dem...[Numord...[RC...[Numcard...[Cl...[A...NP]]]]]]]
(Cinque 2005)
Second, V selects for C of its complement clause, never V; but for N of its direct
object, never D.
Third, DPs and Ss differ in their behavior in polysynthetic languages; basically, according to Baker (1995), NPs act like adjuncts instead of arguments,
but clauses occupy argument positions just as they do in English. In present
terms, Cogeneration is suspended in polysynthetic languages, but not Level
Embedding.
Fourth, the Level Embedding Conjecture (LEC) derives a generalized version
of the Improper Movement condition. In addition, it derives an extension of
improper movement to Quantifier Raising: if a Quantifier is raised out of a
clause of size i, it must move to a position j, j > i, in the embedding clause.
Fifth, the LEC derives a generalized theorem about reconstruction: a process
defined at Fi reconstructs for a process defined at Fj only if i>j.
Sixth, the LEC derives the kind of locality condition that depends on clausal
size a process defined at Fi can extract from a clause of size j (defined at Fj )
only if i > j.
Seventh, the LEC derives a theorem about remnant movement; specifically,
the rule creating the movement is at Fi and the rule moving the remnant is at Fj ,
then j > i.
Eighth, and most relevant for the findings in Section 3, V never takes scope
over its direct object. Importantly for this last point, scope is determined by
when something enters the derivation, not where it is in the derived structure. Its
positioning in derived structure is determined by a set of parameterized rules of
morphosyntax detailed in Williams (2008). Specifically, at FQuantifer , {[ Vi Ni ]}
could be morphosyntactially realized as any of the following, depending on the
language and the quantifier involved:
(35)
a.
b.
c.
d.
e.
[[V+af]i Ni ]
[Vi [Ni +af]
[Vi [every Ni ]]
[Vi +af [every Ni ]]
[every [Vi Ni ]]
333
but scope will be uniquely [Every [Vi Ni ]]. So a verb will never have scope
over its direct object. From this flows the conclusions of the previous section
about commutation with only and about negative verbs not triggering NPI direct
objects.
And ninth, alongside the last prediction, it is predicted that a verb will have
scope over its sentential complement (and its contents), as that embedding is
done under the Level Embedding regime. The last two predictions account for
the absence of verbs which have scope over their direct objects, the consequent
absence of verbs which can trigger NPI direct objects, but the possibility of
verbs which will have scope over their sentential complements, including verbs
which can trigger NPIs in their sentential complements.
5.
There are some problems with the claim that no verb has scope over its direct
object. But there is a reanalysis of such cases which reconciles them with the
claims made here. The problem cases look like the following:
(36)
a.
b.
c.
d.
There are interpretations for all of these in which the expression one intermission
or no intermission has scope beneath the matrix verb. However, it is plausible
to suppose that there is a clausal analysis for these cases, with most of the
embedded clause invisible. Den Dikken, Larson and Ludlow (1996) have found
several arguments for such a position. For example, in (36b) and (36d) above,
there is a future time adverb, which normally cannot modify the present tense,
and in any case in these examples does not specify the time of wanting, but
rather the time of there being one intermission. So a plausible structure for
(36b) is:
(37)
with the parenthesized material silent. So want does not directly have scope
over its apparent direct object; rather it has scope over a mostly silent clause
containing the apparent object, and so the principle in (29) is preserved.
4. I only need one intermission tomorrow on the other hand is not ambiguous, probably
because need is not a Neg-raising verb.
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Edwin Williams
This kind of analysis draws a useful distinction when we return to the downward entailing verbs:
(38)
a.
b.
1.
2.
1.
2.
For the original example in (38a1) there is no reasonable analysis with a mostly
silent clause; (38a2) is an attempt at one. But for a different kind of case, one like
(38b1) there is, namely (38b2), and (38b1) is in fact grammatical. The difference
between the two cases I think supports the silent clause analyses of such verbs,
and further defends (29) as correct.
But there is a problem with the silent sentence hypothesis. The silent material
indicated in (38b2) is perhaps not exactly right. (38b1) means something more
specific than (38b2) indicates; it means that John denied that he had any connection to the mob. In other words, John is construed as one of the arguments of the
relational noun connection as in Johns connection to the mob. But if we admit
he had as a candidate for the silent material in these analyses, we overgenerate;
for example,
(39)
Apparently the admissible cases of hidden clauses are restricted to ones in which
the remaining NP is a nominalization with an open argument. Such a restriction
of this sort is not found for normal, non-hidden clauses, so as long as the source
of such a restriction is not understood, these examples cast doubt on the hidden
clause analyses.
On the positive side the present analysis predicts something further. From
what we have observed so far, one might conclude that the telling difference between NPIs as direct objects of licensing verbs and NPIs inside of complements
to licensing verbs is that in the former the NPI item any is on the top layer of the
DP, whereas in the latter, the NPI is inside of the clause. Then a principle of some
kind could be engineered to rule out licensing in the configuration [V [any . . . ]]
but permit it in [V [. . . any . . . ]]. But in fact this is both incorrect, and predicted
to be incorrect by the RT model. Consider:
(40)
335
The relevant sort of case is (40a), and is ungrammatical. (40b) shows the
workspace for the VP at F0 . Since there is only one F0 level for any sentence
(by which I mean utterance, not clause) all thematic embedding is done at that
level; so, the structure on the right is formed immediately. Neither reports nor
wars has any D level structure at that point, and so doubt does not have scope
over the direct object or its complement.
6.
Adjuncts
So, NPs and clauses are embedded under different regimes, the consequences of
which are enumerated in the previous section. By what regimes are other phrases
embedded? We already have preliminary evidence that prepositional phrases are
embedded under the Level Embedding Scheme, for the simple reason that some
Ps, unlike any Vs, do have scope over their objects, as detected by failure of
commutation:
(41)
a.
b.
c.
We also find PPs, and no Vs, which license NPI direct objects:
(42)
a.
b.
So,
(43)
Some Ps, and no Vs, have scope over their direct objects.
Prepositions are used to express both adjuncts and arguments. If we accept the
argument of Cinque (1999), we expect PPs to be merged with their modifiees
at the appropriate tick of the F-clock. So,
(44)
Ps can thus be labeled as PFi , as they are simply the mark of the embedding at
the Fi level.
If we take the findings in (43) and (44) together, we derive I think a remarkable prediction in the RT model. (43) tells us that PPs are subject to the Level
Embedding Scheme; that is, the embedding context and the object of the PP are
built up separately, and then at the appropriate point on the F-clock, the PP is
336
Edwin Williams
formed and adjointed to its modifee in the workspace. (44) tells us, for each P,
what that point is, so for P17 we have the following:
(45)
a.
Fo {N, V} . . . F16 :{N16 , V16 } F17 :{[V17 [P17 N17 ]PP ]PP
...
a.
b.
F-clock: F0 . . . Finstrumental . . .
At Finstrumental Workspace = {[did it], [Bills help]} [did it [with
Bills help]]
The remarkable part of the prediction is that by the Level Embedding regime,
the size of the embedding context (V16 in (45)) will be the same size as the direct
object of the P. This will cash out in practical terms as the following corollary
about the scope of the object of PPs:
(46)
The higher in structure a PP is, the more likely its P will have scope
over its direct object.
The reason (46) follows is that the higher a PFi is in structure the bigger i is, on
the assumption that merge is simple adjunction for PPs; but the higher i is, the
more likely the direct object Ni is to have grown to the size of a full DP at the
point at which P is merged with Ni , and that is what it takes for P to take scope
over its direct object.
The prediction is actually the obverse of the prediction that the LEC makes
about locality for clauses. For clauses, the LEC predicts that the bigger a clause
is, the less likely something can be removed from it; for PPs, it predicts that the
bigger a PP is, the more likely it is that a DP direct object can take scope in situ.
They are really the same prediction.
We can find some ready validation of this prediction, but we need some
auxiliary assumptions to generate cases. Specifically, that both Qs and Ps enter at
particular F-structure points, and that there is some F-structure position beneath
which a particular Q can never enter. Without sequencing F-structure fully,
we may nevertheless surmise that at least Ps which introduce arguments enter
beneath any F-structure positions for quantifiers. Given this, we expect that
prepositions that introduce arguments can never fail to commute with only, and
this seems to be the case:
(47)
a.
b.
337
That is, there could not be a negative counterpart to to (say, from*) for (48a)
which licensed NPIs; the argumental use of from cannot license NPIs, and
there cannot be a negative counterpart to argumental with (say without*) which
licenses NPIs.
These facts stand in contrast to adjunct PPs, where we find some which have
negative counterparts that can license NPI direct objects:
(49)
a.
b.
a.
b.
a. I made do.
b. *I did.
(51a) has the same idiomatic meaning as (50a), meaning that the without phrase
is an adjunct, but the without in (50b) introduces an argument (which in fact
itself can be omitted: I did without). It follows from this that the without of (50a)
can license an NPI direct object, but not the without of (50b), and this is correct:
(52)
a.
b.
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Edwin Williams
So at the margin we have found some evidence for (46). We may say in fact
that the discrimination in (52) follows from the RT architecture with minimal
additional assumptions.
The most important of the assumptions is that Ps embed and are embedded
under the Level Embedding regime, and that is why they take scope over their
objects.There is an available alternative explanation, and that is that the operatorinstantiating prepositions that we have examined with /without, to, for, in, are
actually subject to the hidden clause analysis that we invoked for verbs like
deny, want, and doubt. At first glance this would appear to be implausible, for
none of these prepositions actually allows an overt clause in the relevant use,
except possibly without:
(53)
a.
b.
c.
d.
e.
So we are left with the tentative conclusion that Ps, like Cs, are embedded under
a different regime from Ns.
Appendix: Formalization of Embedding in RT Derivation
In describing the difference between Cogeneration and Level Embedding here
and elsewhere, I have said that items that are merged under the Cogeneration
regime can each get further elaboration in later levels, and I have represented
such further elaboration as {[N V]} {[N V ]}, where both items grow
simultaneously. This is actually a shorthand for a more formal definition of the
Cogeneration regime, and of the derivational regime in general, which I shall
now sketch.
At a minimum, the workspace must be updated at each point of the F-clock in
such a way that it shows what embeddings have been done and what is available
for further elaboration. Cogeneration requires something like the following.
Assume that every item enters the workspace with a new index. The fundamental
law of the workspace is that each index can occur only once. When the workspace
= {Xi ,Yj . . . } and Y is to be embedded as the complement to X, the workspace
becomes { [Xi j]i , Yj . . . }. In other words, Xi is replaced by the complex [Xi
j]i , where j is a pointer to Yj , and Yj , the non-head of the new construction,
is retained in the workspace. Further operations can be done on Yj , as it is a
top-level member of the workspace, although it is also represented as embedded
339
a.
b.
This algorithm, and the resulting representation of the workspace, achieves two
things. First, it indicates what is embedded in what, and what is available for
further elaboration. Only top-level members of the workspace are available
for further elaboration. Heads of complex units are not available for further
elaboration, only their projections, but any non-head will be represented as itself
or as a complex projection of itself as a top-level workspace member. Second,
it guarantees that the workspace will never contain two items subscripted the
same, as a head which is elaborated with specifier or complement will always
be replaced by the elaboration.
It is not evident to the eye that the workspace represented at F7 above is a
unified structure, much less represents a structure of the form [see [pictures of
[wild dogs]]], but in fact it does, all that needs be done is to repeatedly substitute
the expressions subscripted by X for the pointers to them, as follows:
(55)
But this operation is not part of the actual syntactic derivation. It could conceivably be a part of interpretation, semantic or phonological, but it is presented
here as a simply a pretty-printing of the workspace for easy viewing, and also
as a demonstration that the workspace does indeed represent a single structure.
Various binary operations defined in Williams (2003), like case/agreement,
will apply to such items as [V2 1]2 in the last workspace of (54a). The operation
will access V2 as the head of [V2 1]2 , but will access the NP1 via its pointer
[V2 1]2 . Since only top-level items in the workspace can be operated on, pointers
are necessary for this kind of case as well.
Instead of using pointers for embedding, we could have simply used a copy
of Yj to show the embedding; then (54a) would look like this:
340
(56)
Edwin Williams
The problem is that in the end we will have to update all of the constituents
which contain N3 , by replacing N3 with [A4 N3 ]3 , so we were really simply
using N3 as a pointer to updatable content anyway. Representing the derivation
as in (54) does this directly.
The Level Embedding scheme for clauses and PPs will work differently from
Cogeneration. A fully developed phrase is suddenly itself embedded directly
as the complement to V, not a pointer to it, and no copy is left in the workspace:
(58)
In the first line, two clauses are built up, [4 [V1 3]]1 and [5 [V2 ]]2 . Now suppose
that V2 is a verb that can take a clausal complement of the size that has been
built up so far as [4 [V1 3]]1 then [4 [V1 3]]1 can be embedded at that point
under V2 , and it disappears from the workspace, now appearing strictly as a part
of [5 [V2 [4 [V1 3]]1 ]]2 in the last workspace representation in (58). It therefore
cannot be the target of any further operations, binary or otherwise, that target
top-level members of the workspace.
341
References
Baker, Mark C.
1995
The Polysynthesis Parameter. Oxford: Oxford University Press.
Cinque, Guglielmo
1999
Adverbs and Functional Heads: A Cross-Linguistic Perspective. Oxford: Oxford University Press.
Den Dikken, Marcel, Richard Larson and Peter Ludlow
1996
IntensionalTransitiveVerbs and Concealed Complement Clauses. Rivista di linguistica 8: 2946.
Williams, Edwin
2003
Representation Theory. Cambridge, Mass.: MIT Press.
Williams, Edwin
2008
Merge and Mirrors. Ms., Princeton University. lingBuzz/000747.