11

Article use across Article use across languages: an OT typologylanguages: an OT typology

HenriHenriëëtte de Swart & Joost tte de Swart & Joost ZwartsZwarts

Utrecht University Utrecht University

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In languages like English, the indefinite In languages like English, the indefinite article is used to set up (discourse) article is used to set up (discourse) referents (Kamp, Heim, etc.).referents (Kamp, Heim, etc.).

A studentA studentii came to my office. He came to my office. Heii had a had a question about the exam.question about the exam.

Discourse pronoun picks up discourse Discourse pronoun picks up discourse referent introduced by indefinite.referent introduced by indefinite.

Referents in conversational Referents in conversational spacespace

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Determined referenceDetermined reference

The definite article is used with The definite article is used with unique/maximal referents, or in unique/maximal referents, or in anaphoric contexts: determined anaphoric contexts: determined reference (Farkas).reference (Farkas).

I love you more than the sun and the I love you more than the sun and the stars. (uniqueness/maximality)stars. (uniqueness/maximality)

A child was playing in the park. The A child was playing in the park. The funny little creature wore a green funny little creature wore a green hat, and purple socks. (anaphoricity) hat, and purple socks. (anaphoricity)

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Plural morphologyPlural morphology

In English, plural morphology is In English, plural morphology is sufficient to introduce a discourse sufficient to introduce a discourse referent.referent.

Mary bought *apple/an Mary bought *apple/an apple/apples/some apples. apple/apples/some apples.

Farkas and de Swart (2003): plural Farkas and de Swart (2003): plural morphology introduces a presupposed morphology introduces a presupposed plural discourse referent (binding of dr plural discourse referent (binding of dr by determiner, or accomodation).by determiner, or accomodation).

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Correspondences in nominal Correspondences in nominal domaindomain

DrDr: A determiner (form) corresponds with the : A determiner (form) corresponds with the presence of a discourse referent (meaning).presence of a discourse referent (meaning).

DefDef: A definite article (form) corresponds : A definite article (form) corresponds with a discourse referent with determined with a discourse referent with determined reference (meaning).reference (meaning).

PlurPlur: Plural morphology on the noun (form) : Plural morphology on the noun (form) corresponds with a predication of plurality on corresponds with a predication of plurality on a presupposed discourse referent (meaning).a presupposed discourse referent (meaning).

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Language variationLanguage variation

Generality of article interpretation: Generality of article interpretation: definite and indefinite articles, and definite and indefinite articles, and plural morphology in other languages plural morphology in other languages make roughly the same contributions make roughly the same contributions to discourse meaning.to discourse meaning.

But: we don’t find plural morphology But: we don’t find plural morphology and article use in all languages.and article use in all languages.

Many languages use Many languages use bare bare nominals.nominals.

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Example: ChineseExample: Chinese

Wò kànjiàn xióng le. Wò kànjiàn xióng le. [Mandarin [Mandarin Chinese]Chinese]

I see bear AspI see bear Asp

‘ ‘I saw a bear/some bears.’I saw a bear/some bears.’ Gou hen jiling.Gou hen jiling.

Dog very smart.Dog very smart.

‘ ‘The dog is intelligent/dogs are The dog is intelligent/dogs are intelligent.’intelligent.’

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Two questionsTwo questions

What is the distribution of articles What is the distribution of articles across languages?across languages?

OT typology of article use OT typology of article use (correspondence rules)(correspondence rules)

What is the interpretation of bare What is the interpretation of bare nominals?nominals?

Cross-linguistic semanticsCross-linguistic semantics

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Universal cognitionUniversal cognition

AssumptionAssumption: setting up referents in : setting up referents in discourse space, and referring to discourse space, and referring to them involves general cognitive them involves general cognitive operations, which are related to the operations, which are related to the way we organize our conversational way we organize our conversational space around the individuals that we space around the individuals that we talk about. talk about.

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Central questionCentral question

CentralCentral questionquestion: why do certain : why do certain languages (e.g. English) encode languages (e.g. English) encode these cognitive operations in the these cognitive operations in the functional structure of nominals, functional structure of nominals, whereas other languages (e.g. whereas other languages (e.g. Chinese) do not.Chinese) do not.

Possible answer:Possible answer: parametrization. parametrization.

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ParametrizationParametrization

Chierchia (1998): article use is related Chierchia (1998): article use is related to a (semantic) parameter of universal to a (semantic) parameter of universal grammar, which opposes e.g. English grammar, which opposes e.g. English to Chinese.to Chinese.

Wò kànjiàn xióng le. Wò kànjiàn xióng le. [Mandarin [Mandarin Chinese]Chinese]

I see bear AspI see bear Asp ‘ ‘I saw a bear/some bears.’I saw a bear/some bears.’ John bought *(a) kitten.John bought *(a) kitten.

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Bare singular constructionsBare singular constructions

PredictionPrediction: English never uses bare : English never uses bare (count) singulars.(count) singulars.

John is John is in hospitalin hospital (Location)(Location) the way to use the way to use knife and forkknife and fork (Coordination)(Coordination) Mary Mary is chairis chair of the department of the department (Predication)(Predication) He found He found door after doordoor after door closed closed (Reduplication)(Reduplication) She is She is playing pianoplaying piano for the choir for the choir(Incorporation)(Incorporation)

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Growing interest in bare Growing interest in bare singularssingulars

LocationLocation: Stvan (1998): Stvan (1998) CoordinationCoordination: Heycock & Zamparelli : Heycock & Zamparelli

(2003)(2003) PredicationPredication: Matushansky & Spector : Matushansky & Spector

(2005), de Swart, Winter & Zwarts (2005)(2005), de Swart, Winter & Zwarts (2005) ReduplicationReduplication: Jackendoff (2005): Jackendoff (2005) IncorporationIncorporation: Van Geenhoven (1998), : Van Geenhoven (1998),

Dayal (1999), Farkas & de Swart (2003)Dayal (1999), Farkas & de Swart (2003)

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Bare singulars are specialBare singulars are special

Construction specificity Construction specificity ((in bed/*eat applein bed/*eat apple)) Restricted modification Restricted modification ((in bed/*in double bedin bed/*in double bed)) Non-referentiality Non-referentiality (no antecedent for discourse(no antecedent for discourse

pronoun)pronoun) Number neutrality Number neutrality ((Jan en Marie zijn leraar, Jan en Marie zijn leraar, ‘ ‘Jan and Marie are teacherJan and Marie are teacher’)’) Stereotypical interpretation Stereotypical interpretation ((in jail in jail means means

incarcerated, not visiting, cf. incarcerated, not visiting, cf. in the jailin the jail).).

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Taking stockTaking stock

ConclusionConclusion: we need a more fine-grained : we need a more fine-grained system of interacting constraints, to system of interacting constraints, to distinguish more languages classes, and distinguish more languages classes, and account for exceptions. account for exceptions.

AlternativeAlternative: we can capture the : we can capture the generalizations of a parameter-based generalizations of a parameter-based approach in an OT typology. Furthermore, approach in an OT typology. Furthermore, bi-directional OT accounts for the special bi-directional OT accounts for the special use of bare nominal constructions in use of bare nominal constructions in English.English.

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OT typology of article useOT typology of article use

Typology based on Typology based on conflicting forces, conflicting forces, pulling languages in pulling languages in different directions different directions (economy in form vs. (economy in form vs. faithfulness to faithfulness to discourse meaning).discourse meaning).

Bare form most Bare form most economical formeconomical form

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Language classes (i)-(iii)Language classes (i)-(iii)

(i) no plural morphology, no article (i) no plural morphology, no article use (Chinese)use (Chinese)

(ii) singular/plural distinction, but no (ii) singular/plural distinction, but no articles (Hindi, Slavic languages)articles (Hindi, Slavic languages)

(iii) definite article, but no indefinite (iii) definite article, but no indefinite one (Hebrew).one (Hebrew).

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Language classes (iv)-(vi)Language classes (iv)-(vi)

(iv) no definite/indefinite contrast, (iv) no definite/indefinite contrast, presence of determiner on all nominals in presence of determiner on all nominals in argument position (St’át’imcets)argument position (St’át’imcets)

(v) definite and indefinite article in (v) definite and indefinite article in singular, but only definite article in the singular, but only definite article in the plural; definite plurals contrast with bare plural; definite plurals contrast with bare plurals (English) plurals (English)

(vi) definite and indefinite articles in (vi) definite and indefinite articles in singular as well as in plural (French). singular as well as in plural (French).

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WYSIWYG (in syntax)WYSIWYG (in syntax) What You See Is What You Get: What You See Is What You Get:

syntactic projections must be syntactic projections must be motivated.motivated.

[DP [NumP [NP]]].[DP [NumP [NP]]]. If no number distinctions, no NumP.If no number distinctions, no NumP. If no article (determiner), no DP.If no article (determiner), no DP. Higher projections license lower Higher projections license lower

ones: if DP, then also NumP.ones: if DP, then also NumP.

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Markedness constraints Markedness constraints *FunctN: Avoid functional structure *FunctN: Avoid functional structure

in the nominal domain.in the nominal domain. *Art: Avoid Article*Art: Avoid Article {*FunctN, *Art} >> {faithfulness {*FunctN, *Art} >> {faithfulness

constraints governing number, constraints governing number, articles}articles}

Language without number, articles Language without number, articles (Chinese).(Chinese).

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ChineseChinese

{*Art, *FunctN} >> {constraints for {*Art, *FunctN} >> {constraints for number, article use}number, article use}

Wò kànjiàn xióng le.Wò kànjiàn xióng le. [Chinese][Chinese]

I see bear Asp ‘I saw a bear/bears.’I see bear Asp ‘I saw a bear/bears.’ Gou juezhong le.Gou juezhong le. Dog extinct Asp.Dog extinct Asp. ‘Dogs are extinct.’ ‘Dogs are extinct.’ Gou hen jiling.Gou hen jiling. Dog very smart. ‘The dog/dogs are intelligent.’Dog very smart. ‘The dog/dogs are intelligent.’

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FPlFPl

FPl: plural must be expressed in the FPl: plural must be expressed in the functional projection of the nominal.functional projection of the nominal.

FPl >> {*Art, *FunctN}: language FPl >> {*Art, *FunctN}: language projects NumP, but no articles.projects NumP, but no articles.

burtebi goravsburtebi goravs [Georgian][Georgian]

balls:pl:nom roll:3sgballs:pl:nom roll:3sg

‘ ‘Balls/The balls are rolling.’Balls/The balls are rolling.’

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FDefFDef

FDef: determined reference must be FDef: determined reference must be expressed.expressed.

FDef >> *Art: definite/bare contrast.FDef >> *Art: definite/bare contrast. dan ra’a namerdan ra’a namer

[Hebrew][Hebrew] DDan saw tiger an saw tiger ‘Dan saw a tiger’ ‘Dan saw a tiger’ namer/ha-namer hu xaya torefet namer/ha-namer hu xaya torefet tiger/ the-tiger is animal carnivorous tiger/ the-tiger is animal carnivorous ‘ ‘the tiger is a carnivorous animal’the tiger is a carnivorous animal’

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FDrFDr

Fdr: Parse a discourse referent by Fdr: Parse a discourse referent by means of a functional layer above NP.means of a functional layer above NP.

{Fdr, FPl} >> {*Art, *FunctN} {Fdr, FPl} >> {*Art, *FunctN} No bare singulars in argument position.No bare singulars in argument position.

Salish languages (Matthewson 1998): in Salish languages (Matthewson 1998): in argument position determiner always argument position determiner always required.required.

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St’at’imcetsSt’at’imcets

tecwp-mín-lhkan tecwp-mín-lhkan ti ti púkw- púkw-aa lhkúnsa lhkúnsa Buy.appl-1sg.sub det book-det todayBuy.appl-1sg.sub det book-det today ‘ ‘I bought a/the book today.’I bought a/the book today.’ No determiner in predicative construction.No determiner in predicative construction. kúkwpi7 kw s-Rosekúkwpi7 kw s-Rose Chief det nom-RoseChief det nom-Rose ‘ ‘Rose is a chief’Rose is a chief’ *ti kúkwpi7-a kw s-Rose*ti kúkwpi7-a kw s-Rose det chief-det det nom-Rosedet chief-det det nom-Rose

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Def/indef contrast Def/indef contrast

{Fdr, FDef, FPl} >> {*Art,*FunctN} {Fdr, FDef, FPl} >> {*Art,*FunctN} With strong number morphology on noun, With strong number morphology on noun,

either Num or D can introduce dr.either Num or D can introduce dr. No bare singulars in regular argument No bare singulars in regular argument

position. Bare plurals OK.position. Bare plurals OK. I bought *(a) book/books.I bought *(a) book/books. [English] [English] *(The) dinosaur is/dinosaurs are extinct.*(The) dinosaur is/dinosaurs are extinct.

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Indefinite singular (English)Indefinite singular (English)

bookbook[-def, -pl][-def, -pl]

FdrFdr FPlFPl *Art*Art *FuncN*FuncN

bookbook **

a booka book ** **

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Bare plural (English)Bare plural (English)

bookbook[-def, [-def, +pl]+pl]

FdrFdr FPlFPl *Art*Art *FuncN*FuncN

bookbook ** **

booksbooks **

indef_pl indef_pl booksbooks

** **

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FrenchFrench

Weak number morphology does not Weak number morphology does not introduce discourse referent; only D introduce discourse referent; only D introduces dr.introduces dr.

J’ai lu *(un) livre/ *(des) livres. J’ai lu *(un) livre/ *(des) livres. [French][French]

I read *(a) book/ *(indef-pl) books.I read *(a) book/ *(indef-pl) books.

I read a book/books.I read a book/books.

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Typology in OT ITypology in OT I

(i)(i) No number, no articles (Chinese): No number, no articles (Chinese): {*Art, *FunctN} >> {*Art, *FunctN} >> {FPl, FDef, Fdr}{FPl, FDef, Fdr}

(ii)(ii) Number, but no articles (Hindi, Slavic): Number, but no articles (Hindi, Slavic): FPl >> {*Art, *FunctN} >> {FDef, FPl >> {*Art, *FunctN} >> {FDef, Fdr}Fdr}

(iii)(iii) Number and definite article (Hebrew): Number and definite article (Hebrew): {FDef, FPl} >> {*Art, *FunctN} >> {FDef, FPl} >> {*Art, *FunctN} >> Fdr.Fdr.

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Typology in OT IITypology in OT II

(i)(i) Number and general determiner Number and general determiner (Salish): {FPl, Fdr} >> {*Art, (Salish): {FPl, Fdr} >> {*Art, *FunctN} >> FDef + deficient number *FunctN} >> FDef + deficient number morphology.morphology.

(ii)(ii) Number and articles in sg (English): Number and articles in sg (English): {FDef, FPL, Fdr} >> {*Art, *FunctN}. {FDef, FPL, Fdr} >> {*Art, *FunctN}.

(iii)(iii) Number and articles in sg/pl (French): Number and articles in sg/pl (French): {FDef, FPL, Fdr} >> {*Art, *FunctN} {FDef, FPL, Fdr} >> {*Art, *FunctN} + deficient number morphology.+ deficient number morphology.

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From typology to semanticsFrom typology to semantics

So farSo far: OT typology provides alternative for : OT typology provides alternative for parameter-based approach. More language parameter-based approach. More language classes, because of interacting constraints.classes, because of interacting constraints.

Cross-linguistic semantics of bare nominalsCross-linguistic semantics of bare nominals: : Why do bare nominals in different languages Why do bare nominals in different languages have different meanings?have different meanings?

AnswerAnswer: bi-directional OT links semantics to : bi-directional OT links semantics to ranking of syntactic constraintsranking of syntactic constraints

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English bare plurals are English bare plurals are indefiniteindefinite

Non-Non-definitedefinite

meaningmeaning

DefiniteDefinite

meaningmeaning

Bare Bare pluralplural

Definite Definite pluralplural

Strong bidirectional OT: English bare plurals are non-definite, because definiteness is explicitly encoded in the definite article.

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Definite/indefinite bare Definite/indefinite bare nominalsnominals

Bare nominals are indefinite in all Bare nominals are indefinite in all languages that have an overt definite languages that have an overt definite article (English, Hebrew)article (English, Hebrew)

Bare nominals in languages that Bare nominals in languages that have no definite/indefinite contrast have no definite/indefinite contrast are neutral with respect to are neutral with respect to determined reference (Hindi, determined reference (Hindi, Chinese)Chinese)

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Discourse referentiality of bare Discourse referentiality of bare nominalsnominals

Fdr >> *Art (English, French, Salish) Fdr >> *Art (English, French, Salish) implies: no bare singulars in argument implies: no bare singulars in argument position.position.

ArgArg: parse an XP in argument position : parse an XP in argument position as a discourse referent (where X = N,Num,D).as a discourse referent (where X = N,Num,D).

In argument position, Fdr (syntax) and Arg In argument position, Fdr (syntax) and Arg (semantics) work together: An XP that is (semantics) work together: An XP that is parsed as a discourse referent must be parsed as a discourse referent must be marked as such.marked as such.

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Indefinite singulars in Indefinite singulars in EnglishEnglish

Non-Non-referentireferentialal

DiscoursDiscourse e referentireferentialal

Bare sgBare sg

IndefinitIndefinite sge sg

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Bare singulars in EnglishBare singulars in English

Prediction 1Prediction 1: bare singulars in : bare singulars in languages like English do not occur languages like English do not occur in regular argument positions.in regular argument positions.

I saw *bear/a bear/the bear/bears/the I saw *bear/a bear/the bear/bears/the bears.bears.

Prediction 2Prediction 2: bare singulars in English : bare singulars in English can occur if we escape Arg (nominal can occur if we escape Arg (nominal in non-referential position).in non-referential position).

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Non-referential bare Non-referential bare singulars singulars

John is John is in hospitalin hospital (Location)(Location) the way to use the way to use knife and forkknife and fork

(Coordination)(Coordination) Mary Mary is chairis chair of the department of the department (Predication)(Predication) He found He found door after doordoor after door closed closed

(Reduplication)(Reduplication) She is She is playing pianoplaying piano for the choir for the choir

(Incorporation)(Incorporation)

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No antecedent for discourse No antecedent for discourse pronounpronoun

Pat is in prison. ?It is a 3-story Pat is in prison. ?It is a 3-story concrete building. (Stvan 1998)concrete building. (Stvan 1998)

Door after door was closedDoor after door was closed. ?It was . ?It was securely locked. securely locked.

Ik weet dat Peter viool speelt. ?Kan Ik weet dat Peter viool speelt. ?Kan hij ‘m meenemen? (hij ‘m meenemen? (I know that Peter I know that Peter plays the violin. Can he take it plays the violin. Can he take it along?)along?)

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Number neutralityNumber neutrality

If bare singulars lack a Num projection, If bare singulars lack a Num projection, no singular/plural semantics.no singular/plural semantics.

Jan en Sofie zijn leraarJan en Sofie zijn leraar [Dutch] [Dutch]Jan and Sofie are teacherJan and Sofie are teacher‘‘Jan and Sofie are teachers’Jan and Sofie are teachers’

Mari bélyeget gyüjt.Mari bélyeget gyüjt. [Hungarian][Hungarian]Marie stamp.Acc collectMarie stamp.Acc collect‘‘Marie collects stamps.’Marie collects stamps.’

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Restricted modificationRestricted modification

If adjectives do not attach to NP, but If adjectives do not attach to NP, but higher, modification is restricted.higher, modification is restricted.

*in American hospital*in American hospital *He bought black hat and checkered shirt*He bought black hat and checkered shirt *Annie is experienced head of *Annie is experienced head of

departmentdepartment *miserable day after awful day*miserable day after awful day *Peter is playing attuned guitar*Peter is playing attuned guitar

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Bare consequencesBare consequences

Arguments Arguments ~ referents ~ projections~ referents ~ projections No No arguments arguments Construction Construction

specificityspecificity No discourse referent No discourse referent Non- Non-

referentialityreferentiality No projections No projections Number neutrality Number neutrality No projections and no discourse No projections and no discourse

referent referent Restricted modification Restricted modification

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StereotypicalityStereotypicality

Stereotypical meanings are Stereotypical meanings are enrichmentsenrichments

of underspecified lexical meaningsof underspecified lexical meanings driven by convention, driven by convention, encyclopedic encyclopedic

knowledge, cultural models, qualia, knowledge, cultural models, qualia, frames, scripts and scenariosframes, scripts and scenarios,,

defining what is normal, natural, defining what is normal, natural, typical, customary, institutionalized.typical, customary, institutionalized.

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Strongest meaning Strongest meaning hypothesis hypothesis

Strength favours stronger, more Strength favours stronger, more informative, richer meanings.informative, richer meanings.

in (a/the) jail Strength

x [ in(x,y) & jail(y) *!

x [ in(x,y) & jail(y) & of(y,x) ]

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Strength and *Art togetherStrength and *Art together

*Art Strength

in jail, x [ in(x,y) & jail(y) & of(y,x) ]

in the jail, x [ in(x,y) & jail(y) & of(y,x) ]

*

in jail, x [ in(x,y) & jail(y) ] *

in the jail, x [ in(x,y) & jail(y)] * *

Strength and *Art togetherStrength and *Art together

*Art Strength

slager zijn, x CAP(butcher’)(x)

een slager zijn, x CAP(butcher’)(x)

*

slager zijn,

x REL(butcher’)(x)

*

een slager zijn,

x REL(butcher’)(x)

* *

Where CAP represents the stronger professional, capacity reading, and REL the weaker, Carlsonian realization reading (de Swart, Winter and Zwarts 2007)

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Typological resultsTypological results

Not all languages use plural morphology and Not all languages use plural morphology and articles, but they all convey the same articles, but they all convey the same discourse meanings.discourse meanings.

The OT typology links the presence/absence The OT typology links the presence/absence of morpho-syntactic structure in the nominal of morpho-syntactic structure in the nominal domain to the tension between markedness domain to the tension between markedness constraints (preference for bare forms) and constraints (preference for bare forms) and faithfulness constraints (correspondence faithfulness constraints (correspondence between discourse meanings and form).between discourse meanings and form).

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Semantic resultsSemantic results

Strong bi-directional OT links the cross-Strong bi-directional OT links the cross-linguistic semantics of bare nominals to linguistic semantics of bare nominals to the constraint ranking of the grammar.the constraint ranking of the grammar.

Weak bi-directional OT accounts for the Weak bi-directional OT accounts for the exceptional distribution and exceptional distribution and interpretation of bare (count) singular interpretation of bare (count) singular constructions in languages like English.constructions in languages like English.