On the relationship of the lexicon to syntax
Transcript of On the relationship of the lexicon to syntax
ON THE RELATIONSHIP OF THE LEXICON TO SYNT-?
MARIA LUISA ZUBIZARRETA
Licence, ~ n i v e r s i t g Paris V I I I ( 1 9 7 7 )
Maitrise, ~ n i v e r s i t 6 P a r i s VIII (1978)
SUBMITTED TO THE DEPARTMENT OF LINGUISTICS AND PHILOSOPHY
IN PARTIELL FULFILLMENT OF THE REQUIREMENTS OF THE
DEGREE OF
DOCTOR OF PHILOSOPHY
at the
MASSACAUSETTS INSTITUTE OF TECHNOLOGY
S e p t e m b e r 1 9 8 2
@ Maria L u j s a Z u b i z a r r e t a
The a u t h o r hereby grants t o M.I.T. pe rmis s ion t o r e p r o d u c e a n d t o d i s t r i b u t e copies o f this t h e s i s d o c u m e n t i n w h o l e o r i n p a r t .
S i g n a t u r e of ~ ~ l t i ~ o r : ----- L LwSri y - ~ b ~ . ~ few$-- Department of ~ i n c u i s t i c s U a n d P h i l o s o p h y
J u n e 2 9 , 1982
C e r t i f i e d by :
N o a m Chomsky T h e s i s S u p e r v i s o r
Accepted by:
~ S S K H I J S F T I S IIJ.';TITUTE O f l f f:lftlfll o/;y
ON THE RELATIONSHIP OF TEE LEXICON TO SYNTAX
MARIA LUISA ZL'B I ZAR&TTA
Submi t t ed t o t h e Department o f L i n g c i s t i c s a n d d? l l o s o p h y on June 29, 1982, i n p a r t i a l f u l f i l l n e n t of t h e
r e q u i r e m e n t s far t h e Degree o f D o c t o r o f P h i l o s o p h y -3 ABSTRACT
One o f t h e major t o p i c s cf i n q u i r y i n s y n t a x i s t h e r e l a t i o n between l e x i c a l p r o p e r t i e s a n d s y n t a c t i c s t r u c t u r e s . T h i s t h e s i s i s i n t e n d e d t o b e a c o n t r i b u t i o n t o t h i s i n v e s t i - g a t i o n .
I n C h a p t e r s I and 111, we a r g u e t h a t two t y p e s o f p r e d i - c a t e s a r e t o be d i s t i n g u i s h e d : m a i n - p r e d i c a t e s and ad j u n c t - p r e d i c a t e s . The s e m a n t i c r e l a t i o n s i n d u c e d by them may b e i d e n t i c a l i n c o n t e n t b u t a r e f o r m a l l y d i s t i n c t . For e:tarnpls, i n I t i s o b v i o u s t h a t Mary will pass t h e e x a n and ~ b v i o u s i ~ Mary w i l l p a s s the exam t h e c o n t s n ~ of t h s r e l z t i o n between - t h e a d j e c t i v e c b v i c u s and ~ h e S ( a predicate-argument r e l a t i o n ) and between t h e adverb ob-;iously 2nd t h e S ( a m o d i f i c a t i o ~ r e l a t i o n ) i s t h e same, b u t t h e y z r z s y n t a c t i c a l l y - r e a l i z e d i n d i f f e r e n t ways. B o t h a r e d s f i n e d i n t e r m s of X- theory . N o n e t h e l e s s , t h e y d i f f e r crucially I n the d i z e c t i o n a l i t y o f t h e c a t e g o r i a l desendency i n v o l v e d . A p r e d i c 3 . t ~ - a r g u m e n t r e l a t i o n between X and Y i n some domain D i s t y p i c a l l y a r e l a t i o n o f t h e form " Y i s a d e p e n d e n t o f X", w i t h X ths heaa of D and Y some ctner c a t e g o r y ( c r u c i a l l y , n c t t h e head o f D ) . On t h e o t h e r h a n d , a m o d i f i c a t i o n r e l a t i o n betwegr. X and Y i n some domain T: i s a r e l a t i o n o f t h e form " Y i s a d e p e n d e n t ~f X " w i t h X d i s t i n c t from t h e h e a a o f D and !! some p r o j e c t i o n of t h e h e a d cf D.
W e show t h a t t h - r o l e s a s s i q n e d by a d j u n c t - p r e d i c a t e s a r e i n v i s i b l e fcr the T h - C r i t a r l o n -- a well-fomeciness c o n d i t i o n which a p p l i ~ s a t e v e q s y n t a c ~ l c l e v e l and i n s u r e s t h a t e v e r y t h - r o l e i s a s s l g n e d t o one and o n l y one arqument and e v e r y argument b e a r s one and o n l y one t i - r o l e . Thus, an argumenc may be a s s i g n e d a + h - r o l e b o t h by a m a l n - p r e d l c z ~ e and an a d j u n c t - p r e d i c z t s . For example , i i l Johll i r , c ? n t i o n a l l y has seduced Marv Goth t h e maln verb s e d u c e and. t h e z d j u n c t - p r e d i - c a t e a d v e r b i n t e n t i o ~ a l l i r a s s i g n a t h - r o l e (an arqument t h - r o l e an2 a d j u n c t t h - r o i e , r e s p e c t i v e l y ) t o t h e 9 r y u n e n z i n s u b j e c t p o s l t l o n . Another p r o p e r t y o f a d j u n c t t h - r o l e s , r e l a t e d t o t h e one mentioned a b o v e , i s t h a t t h e y a r e a s s i g n e d a t LF. T h u s , s e z t s n c e s with a s i i b j e c t - o r i e ~ t e d ad-]unct - - p r e d i c a t e chanq2 meanicg u n c e r p a s s i v e . Compare Mary i n t e n - t i o n a l l y has been seduced above.
I n C h a p t e r 11, we show t h a t some t y p e s o f main p r e d i c a t e s t a k e , e i t h e r o p t i o n a l l y o r o b l i g a t o r i l y , an a d j u n c t s u b j e c t ( o r more p r e c i s e l y , an a d j u n c t e x t e r n a l a rgument , a s d e f i n e d i n C h a p t e r I ) . These a r e r a i s i n g p r e d i c a t e s , which a s s i g n a n a d j u n c t t h - r o l e a t LF t o an argument s e l e c t e d by t h e v e r b i n their c l a u s a l complement. The p o s s i b i l i t y f o r p r e d i c a t e s t o t a k e a d j u n c t e x t e r n a l a rguments d e r i v e s from t h e f a c t t h a t t h e s u b j e c t , u n l i k e t h e o b j e c t , i s n o t a s u b c a t e g o r i z e d p o s i t i o n . I t is s u g g e s t e d t h a t t h e e x i s t e n c e o f t h i s t y p e o f p r e d i c a t e h a s i m p l i c a t i o n s f o r t h e t y p o l o g y o f non-over t NPs.
While a d v e r b s f u n c t i o n u n i q u e l y a s a d j u n c t - p r e d i c a t e s and a d j e c t i v e s f u n c t i o n e i t h e r a s main- or a d j u n c t - p r e d i c a t e s , v e r b s a r e m a i n - p r e d i c a t e s " p a r e x c e l l e n c e " . N e v e r t h e l e s s , a s a r g u e d i n C h a p t e r 111, t h e r e i s a c l a s s o f v e r b s , namely t h e modals and a s p e c t u a l s , which can f u n c t i o n i n c e r t a i n l a n g u a g e s a s a d j u n c t - p r e d i c a t e s . For example, w h i l e i n F rench modals a r e main v e r b s , i n E n g l i s h t h e y a r e a d j u n c t - p r e d i c a t e s ( a s shown by well-known s y n t a c t i c t e s t s ) . T h i s d e m o n s t r a t e s once more t h a t s e m a n t i c r e l a t i o n s a r e n o t s o l e l y i d e n t i f i e d by t h e i r c o n t e n t , b u t a l s o and above a l l by t h e i r form.
F u r t h e r m o r e , w e a r g u e t h a t t h e r e a r e o t h e r l a n g u a g e s -- l i k e S p a n i s h and I t a l i a n -- i n which m o d a l ~ and a s p e c t u a l s may be a n a l y z e d s i m u l t a n e o u s l y a s main v e r b s and " s y n t a c t i c a f f i x e s " . A s a f f i x e s t h e y f u n c t i o n a s a d j u n c t - p r e d i c a t e s : i . e . , a s m o d i f i e r s o f t h e v e r b t o which t h e y a r e bound. A number o f p e c u l i a r p r o p e r t i e s o f t h e s e v e r b s ( t h e s o - c a l l e d " r e s t r u c t u r i n g " v e r b s ) a r e t h u s accoun ted f o r . I n a c c o r d w i t h t h e P r o j e c t i o n P r i n c i p l e , which a s s e r t s t h a t s y n t a x i s a p ro - j e c t i o n o f t h e l e x i c o n , w e p r o p o s e t h a t t h e " d o u b l e - l e x i c a l p r o p e r t i e s " o f modals and a s p e c t u a l s i n S p a n i s h and I t a l i a n are e x p r e s s e d by means o f p a r a l l e l - s y n t a c t i c a n a l y s e s . Thus, s e n t e n c e s c o n t a i n i n g t h e s e v e r b s may be a s s o c i a t e d w i t h a p a i r of s t r u c t u r e s -- a t a l l s y n t a c t i c l e v e l s o f r e p r e s e n t a t i o n .
F u r t h e r m o t i v a t i o n f o r p a r a l l e l o r s i m u l t a n e o u s s y n t a c t i c a n a l y s e s i s g i v e n i n C h a p t e r I V b a s e d on t h e Romance c a u s a t i v e c o n s t r u c t i o n . I t i s shown t h a t i n many Romance l a n g u a g e s , c a u s a t i v e s , a l t h o u g h t h e y a r e a rgument - t ak ing p r e d i c a t e s , may a l s o f u n c t i o n a s a f f i x e s , i . e . , a s h e a d s o f a c o m p l e x - p r e d i c a t e . As such t h e y may a l t e r t h e a r g u m e n t - s t r u c t u r e o f t h e v e r b t o which t h e y a r e bound. S e v e r a l phenomena a r e t h u s e x p l a i n e d , i n p a r t i c u l a r , t h e f a c t t h a t c a u s a t i v e s i n t h e s e l a n g u a g e s a p p e a r t o behave a s " i n t r a n s i t i v i z e r s " .
The a n a l y s i s o f n o d a l s and a s p e c t u a l s i n S p a n i s h and I t a l i a n and t h e a n a l y s i s o f t h e Romance c a u s a t i v e s mentioned above i m p l i e s t h a t t h e r e i s no one-to-one r e l a t i o n between morphology and s y n t a x . These e l e m e n t s a r e m o r p h o l o g i c a l l y f u l l p r e d i c a t e s which behave a s s y n t a c t i c a f f i x e s . C o n v e r s e l y , m o r p h o l o g i c a l a f f i x e s -- l i k e t h e J a p a n e s e c a u s a t i v e s u f f i x s a s e ( d i s c u s s e d briefly i n C h a p t e r I! -- may behave s y n t a c - t i c a l l y a s autonomous p r e d i c a t e s .
T h e s i s S u p e r v i s o r : Noam Chomsky
T i t l e : I n s t i t u t e P r o f e s s o r
ACKNOWLEDGEMENTS
I would l i k e t o t h a n k my t e a c h e r s Noam Chomsky and
M o r r i s Halle, who have t a u g h t m e much more t h a n l i n g u i s t i c s .
From them I l e a r n e d what r a t i o n a l i n q u i r y i s a b o u t .
My t h e s i s commit tee h a s p r o v i d e d i n v a l u a b l e h e l p i n t h e
p r e p a r a t i o n o f t h i s t h e s i s . D i s c u s s i o n s w i t h Noam Chomsky
have h e l p e d m e c l a r i f y and make p r e c i s e t h e i d e a s deve loped
h e r e . M o r r i s H a l l e h a s g i v e n m e sound a d v i c e and many u s e f u l
comments, a s w e l l a s encouragement i n d i f f i c u l t moments. I
a m g r a t e f u l t o Ken Hale f o r h i s c o n t a g i o u s e n t h u s i a s m and
g e n e r o u s s h a r i n g o f h i s v a s t knowledge o f l a n g u a g e s .
To t h e s t u d e n t s and v i s i t i n g s c h o l a r s o f t h e d e p a r t m e n t
I owe a g r e a t d e a l . I have l e a r n e d much a b o u t l i n g u i s t i c s
b o t h from t h e i r work and from d i s c u s s i o n s w i t h them. While
w r i t i n g t h i s t h e s i s I have b e n e f i t t e d i n p a r t i c u l a r from
d i s c u s s i o n s w i t h Dick C a r t e r , Jean-Roger Vergnaud, R i t a
Manzini , David P e s e t s k y , Bar ry S c h e i n , Zane Simpson, and Ken
S a f i r . Thanks a r e due t o Maggie C a r r a c i n o f o r t y p i n g t h i s t h e s i s
and t o I s a b e l l e HaZk f o r h e l p w i t h t h e p r o o f r e a d i n g .
TABLE OF CONTENTS
ABSTRACT
ACKNOWLEDGEMENTS
CHAPTER I: SYNTAX AS A PROJECTION OF THE LEXICON
1. The core-semantic relations and their syntactic realization
2. Adjunct-semantic relations and their syntactic realization
Footnotes to Chapter I
CHAPTER I1 : EXTERNAL-ARGUMENTS : ARGUMENT- AND ADJUNCT-SUBJECTS
1. Control and Raising Verbs: Some differences
1. The distribution of expletives and idioms 2. The distribution of the pronoun 'cat 3. Quantifier-scope 4. The distribution of the genitive clitic
'en' (I)
2. Types of npn-overt NPs (I) . A distinguishing feature : -th-role
3. VP as an Adjunct th-role assigner
1. Mixed Verbs: Raising and Control 2. Cases of Obligatory Adjunct th-role
assignment 3. Summary. +A classification of verbs in
terms of -External semantic role and -Obligatory semantic role
4. Non-overt NPs
1. Types of non-overt NPs (114. Other qistinguishing features: -pronominal, -anaphor
- 2. Co-superscripting, S-deletion, and the
i-within-i Condition
1. An argument for the existence of [-th-role, +anaphor, +pronominal] non-overt NPs
3. On the identification of non-overt NPs
1. Condition on the identification of pro. The distribution of the genitive clitic 'en' (11)
Footnotes to Chapter I1
CHAPTER 111: VERBS AS ADJUNCT-PREDICATES
1. Modals as adjunct-predicates and as argument- taking predicates. English versus French
2. Modals and Aspectual Verbs as simultaneously adjunct- and argument- taking predicates. Spanish and Italian
1. The Problem
2. The Romance SE
1. The reflexive se 2. The impersonal se 3. The impersonal se-passive 4. The ergative se and the inherent se
3. Auxiliary Selection
4. A Solution: simultaneous-analyses
1. Clitic-climbing, se-passive, and Aux-selection within a parallel- structures analysis
2. Quantifiers and the parallel- structures construction
3. Why Affixes and not Auxiliaries? 4. On the nature of parallel-structures.
Speculation and Implications
Footnotes to Chapter I11
CHAPTER IV: CAUSATIVES
Part I : The Causative as an intransitivizer
1. The Romance Causative as a bound Verb
2. The Japanese Passive
PAGE
107
109
PAGE
P a r t 11: The Acc/Dat C a u s a t i v e C o n s t r u c t i o n
3 . D i f f e r e n c e s between t h e " f a i r e - p a r " 217 and t h e Acc/Dat C a u s a t i v e Cons t ruc - t i o n
4 . The S t r u c t u r e of Acc/Dat C a u s a t i v e s 223 5. Some remarks and s p e c u l a t i o n s on 244
c a s e , c l i t i c s , and o r d e r i n t h e Acc/Dat C a u s a t i v e s
F o o t n o t e s t o C h a p t e r I V 250
REFERENCES 253
BIOGRAPHICAL NOTE 257
Chapter I: Syntax a s a P r o j e c t i o n ,of t h e Lexicon
1.1 The core-semant ic r e l a t i o n s and t h e i r s y n t a c t i c r e a l i z a t i o n
I n the e a r l y work on g e n e r a t i v e grammar, it was
assumed t h a t grammars c o n s i s t e d o f complex r u l e s t h a t were
meant t o d e r i v e a l l and on ly t h e grammatical s en t ences o f
languages . I n such sys tems , r u l e s e x p l i c i t l y s t a t e d t h e s t r u c -
t u r a l c o n t e x t i n which they a p p l i e d and t h e s t r u c t u r a l changes
t h a t they accomplished. Much i n v e s t i g a t i o n was hence d e d i c a t e d
t o the d e t a i l s o f t h e fo rmula t ion o f r u l e s and t h e i r o r d e r of
a p p l i c a t i o n . I t was then r e a l i z e d t h a t s i n c e r u l e s had common
p r o p e r t i e s , t hey cou ld be reduced t o a n in ima l format and t h e
c o n d i t i o n s on t h e i r a p p l i c a t i o n could be f a c t o r e d o u t a s g e n e r a l
p r i n c i p l e s fo rmula ted a s c o n d i t i o n s on d e r i v a t i o n s . L a t e r , w i th
the development o f t r a c e - t h e o r y it became p o s s i b l e t o s t a t e
t h e s e p r i n c i p l e s as c o n d i t i o n s on r e p r e s e n t a t i o n s r a t h e r t han
as c o n d i t i o n s on d e r i v a t i o n s . The d e r i v a t i o n a l h i s t o r y o f
s e n t e n c e s became v i r t u a l l y i r r e l e v a n t . The a n a l y s i s o f sen-
t e n c e s i s now conceived a s a s e t o f phrase-markers, each
cor responding t o a d i s t i n c t l e v e l o f r e p r e s e n t a t i o n . I n v e s t i -
g a t i o n then s h i f t e d from t h e s t u d y o f r u l e s t o t h e s tudy o f
p r i n c i p l e s which de te rmine o r c h a r a c t e r i z e t h e se t o f w e l l -
formed s y n t a c t i c s t r u c t u r e s .
One o f t h e major P r i n c i p l e s -- and probably t h e one wi th
the most f a r - r e a c h i n g consequences -- i s t h e P r o j e c t i o n
P r i n c i p l e p u t f o r t h by Chomsky i n Lec tu re s on Government and
Binding. I t s t a t e s t h a t s y n t a c t i c dependencies a r e t h e
p r o j e c t i o n o f l e x i c a l d e p e n d e n c i e s . These d e p e n d e n c i e s a r e
r e a l i z e d o r r e p r e s e n t e d i n a s t r u c t u r a l c o n f i g u r a t i o n d e f i n e d . by z - t h e o r y . I n e f f e c t , i n a c o n f i g u r a t i o n o f t h e form:
(i) = a l e x i c a l c a t e g o r y ( V , A , N, P )
(ii) 3 = a and inunedia te ly domina tes g and a
(iii) g = a p o s i t i o n
p i s a s y n t a c t i c dependen t o f a ( i . e a complement o f oc 1 .
Hence, fj must a l s o b e a s e m a n t i c o r t h e m a t i c dependen t o f o!
( i . e . a n argument o f 6 0 . T h i s r e l a t i o n i s r e f e r r e d t o a s
th-marking ( t h f o r thematic) . Then, i n (1) w e s a y t h a t -
th-marks Q. Th-marking i s u n d e r s t o o d t o b e a l e x i c a l p r o p e r t y
o f a l e x i c a l i t e m . A v e r b , a d j e c t i v e , noun o r p r e p o s i t i o n
th-marks a p o s i t i o n i f and o n l y i f i t a s s i g n s a t h - r o l e
( a g e n t , p a t i e n t , theme, s o u r c e , g o a l , l o c a t i o n , e t c . ) t o t h e
c o n t e n t o f t h a t p o s i t i o n . Cons ide r t h e f o l l o w i n g examples:
( 2 ) a- John h i t t h e ' b a l l .
b- John t h i n k s t h a t M a r y l e f t .
c- John i s fond o f M a r y .
d- The B a r b a r i a n ' s d e s t r u c t i o n o f Rome
e- John gave a book t o Mary.
f- John p u t t h e book on t h e t a b l e .
g- John d i d t h e homework w i t h Mary.
I n ( 2 ) a and ( 2 ) b t h e ve rbs h i t and t h i n k th-mark t h e [NP, VP]
p o s i t i o n because t h e y a s s i g n a t h - r o l e t o t h e NP t h e b a l l and
t o the S t h a t Mary l e f t r e s p e c t i v e l y . Likewise, i n ( 2 ) c and
( 2 ) d fond and d e s t r u c t i o n th-mark t h e p o s i t i o n s occupied by
Mary and Rome: [NP, AP] and [NP, NI r e s p e c t i v e l y (of - =
g e n i t i v e case) . The verb 9 i v e i n ( 2 ) e th-marks t w o p o s i t i o n s
i n t h e VP s i n c e it a s s i g n s two t h - r o l e s : one t o a book,
ano the r t o B i l l - - ( t o = d a t i v e c a s e ) . I n ( 2 ) f t h e p r e p o s i t i o n a l
ph ra se a s w e l l a s t h e NP a r e o b l i g a t o r y . Pu t a s s i g n s a t h - r o l e
t o the book and p u t on a s s i g n s a compos i t iona l t h - r o l e t o - t h e
t a b l e ( c f . Rouveret & Vergnaud 1978) . W e may then say t h a t
put th-marks [ N P , VP] and p u t on compos i t i ona l ly th-marks
[ N P , PP] . I n ( 2 ) g , on t h e o t h e r hand, t h e p r e p o s i t i o n a l ph ra se
is o p t i o n a l . - Did a s s i g n s a t h - r o l e t o homework and w i t h a s s i g n s
a t h - r o l e t o Mary. Following William 1981, w e w i l l r e f e r t o
t h e s e arguments a s i n t e r n a l arguments. Unlike t h e ve rbs i n
(2 )a -g , verbs l i k e work and - run i n (3 )a -b do n o t t a k e an i n t e r -
n a l argument. Hence they do n o t th-mark a p o s i t i o n i n s i d e t h e
VP.
( 3 ) a- John worked.
b- John r an .
I n s h o r t , t h e c o n f i g u r a t i o n i n (1) d e f i n e s t h e s t r u c t u r e i n
which a l e x i c a l head and i t s i n t e r n a l arguments a r e syn tac-
t i c a l l y r e a l i z e d .
Unlike t h e presence o f an o b j e c t p o s i t i o n , t h e presence
of a s u b j e c t p o s i t i o n i s independent o f t h e p a r t i c u l a r semant ic
p r o p e r t i e s o f a l e x i c a l i t e m . I f a v e r b t a k e s an e x t e r n a l
argument, it is s y n t a c t i c a l l y r e a l i z e d i n t h e s u b j e c t p o s i t i o n
a s i n examples ( 4 ) a-b:
( 4 ) a- That Mary a r r i v e d l a t e s u r p r i s e d John.
b- John b e l i e v e s t h a t Mary i s f o o l i s h .
But i f a ve rb t a k e s no e x t e r n a l argument t h e s u b j e c t p o s i t i o n
i s s t i l l p r e s e n t . I t i s f i l l e d by an e x p l e t i v e l e x i c a l i t em:
(5) a- I t seems t h a t Mary i s s i c k . - b- I t i s b e l i e v e d t h a t Mary w i l l n o t come. -
Furthermore, a s p o i n t e d o u t i n Chomsky 1981a, t h e o b l i g a t o r y
presence o f t h e s u b j e c t i s a p r o p e r t y o f t h e c l a u s e . I n an
NP t h e s u b j e c t i s o p t i o n a l a s shown i n ( 6 ) .
( 6 ) a- The B a r b a r i a n ' s d e s t r u c t i o n o f Rome
b- The d e s t r u c t i o n o f Rome
The s u b j e c t p o s i t i o n i s then a s y n t a c t i c p rope r ty o f t h e c l a u s e
-- given by t h e p h r a s e - s t r u c t u r e r u l e i n ( 7 ) .
S --+ NP INFL VP
The s t r u c t u r a l r e l a t i o n i l l u s t r a t e d i n (1) between o<
and p is p a r t of a more g e n e r a l s t r u c t u r a l n o t i o n known a s
government . Government i s t h e c o r e c o n c e p t o f t h e Government-
B i n d i n g t h e o r y . I t p l a y s a c r u c i a l r o l e i n t h - a s s i g n m e n t ,
c a s e - a s s i g n m e n t , a n d i n d e f i n i n g t h e p r i n c i p l e s o f t h e B i n d i n g
theory. Government i s d e f i n e d as f o l l o w s : (Cf . Aoun and
S p o r t i c h e , f o r t h c o m i n g )
( 8 ) I n t h e c o n f i g u r a t i o n :
[P 0 . . y .... oc .... . . . . I
(i) a = x O
(ii) where 9 i s a maximal p r o j e c t i o n , 9 domina tes o( i f
and o n l y i f j3 domina tes y . O( g o v e r n s Y .
I f w e assume VP t o be a maximal p r o j e c t i o n ( p o s s i b l y a
p a r a m e t e r ) , i t i s t h e n t h e c a s e t h a t w h i l e a v e r b governs t h e
p o s i t i o n s i n which i t s i n t e r n a l a rguments a r e s y n t a c t i c a l l y
r e a l i z e d , it d o e s n o t govern t h e p o s i t i o n i n which i t s e x t e r n a l
a rgument i s r e a l i z e d -- i . e . , t h e s u b j e c t p o s i t i o n . Consequen t ly ,
it i s c o n s i d e r e d t h a t a v e r b i n d i r e c t l y a s s i g n s a t h - r o l e t o
t h e subject t h r o u g h t h e VP. We may t h e n s a y t h a t a v e r b i n -
d i r e c t l y th-marks t h e [NP, Sl p o s i t i o n . A s n o t i c e d i n Chomsky
1981a, a consequence o f t h e s t r u c t u r a l l y e x t e r n a l s t a t u s of t h e
s u b j e c t i s t h a t it may be a s s i g n e d a c o m p o s i t i o n a l t h - r o l e by
the VP. Thus, n o t o n l y t h e ve rb b u t a l s o i t s i n t e r n a l argu-
ments may p l a y a r o l e i n de t e rmin ing t h e t ype o f t h - r o l e
a s s i g n e d t o t h e s u b j e c t . For example, i n John broke P e t e r ' s
arm t h e s u b j e c t i s unambiguously i n t e r p r e t e d as an a g e n t b u t - i n John broke h i s arm t h e s u b j e c t can be i n t e r p r e t e d e i t h e r
as an a g e n t ( i f John and h i s a r e n o t c o r e f e r e n t i a l ) o r a s a - theme ( i f John and h i s a r e c o r e f e r e n t i a l ) . Another conse- - - quence o f t h i s s u b j e c t / o b j e c t asymmetry, p o i n t e d o u t by
D. Carter ( m s ) , i s t h a t t h e r e can be Verb-Object id ioms b u t
n o t Sub jec t /Verb id ioms . Cf . Fiengo 1974, Higgins 1974,
Vergnaud fo r thcoming f o r a d i s c u s s i o n o f id ioms . Vergnaud
s u g g e s t s t h a t t h e l i t e r a l meaning o f t h e nominal l e x i c a l i t e m
i n a V-NP - id iom i s t o f u n c t i o n a s an o b j e c t . For example, t h e
l i t e r a l meaning o f t h e bucke t i n k i c k t h e bucke t i s t o be a
fo rmal dependent o f k i c k : [ k i c k -- I . The same may be s a i d
of tabs i n keep t a b s . The d i f f e r e n c e between k i ck t h e bucke t
and keep t a b s i s t h a t i n t h e former c a s e t h e l e x i c a l i t e m s a r e
comple te ly vaca t ed o f t h e i r meaning and an i d i o m a t i c non-
compos i t i ona l meaning i s a s s i g n e d t o it wh i l e i n t h e c a s e o f
keep t a b s a me tapho r i ca l i n t e r p r e t a t i o n i s a s s i g n e d t o it on
t h e b a s i s o f t h e meaning o f i t s p a r t s . I f something a long t h i s
l i n e i s c o r r e c t t h e n it f o l l o w s t h a t Subject -Verb idioms cannot
e x i s t s i n c e t h e s u b j e c t i s n o t a dependent o f t h e verb . Another
s u b j e c t / o b j e c t asymmetry i s t h a t a ve rb de t e rmines t h e c a t e -
g o r i a l s p e c i f i c a t i o n o f t h e o b j e c t b u t n o t t h a t o f t h e s u b j e c t .
Thus, an o b j e c t may be e i t h e r an NP o r an S b u t t h e s u b j e c t
i s always an N P a s imp l i ed by r u l e ( 7 ) . I n e f f e c t , a s a rgued
convinc ing ly by Koster 1978, s e n t e n t i a l s u b j e c t s do n o t e x i s t .
Those t h a t appea r t o be c a s e s o f s e n t e n t i a l s u b j e c t s a r e i n
f a c t c a s e s o f t o p i c a l i z a t i o n . This hypo thes i s , b e s i d e s accoun-
t i n g f o r a number o f p u z z l i n g f a c t s a s shown by Kos te r , a l s o
p rov ides an e x p l a n a t i o n o f why t h e r e i s no o b j e c t - t o - s u b j e c t S
movement. Thus t h e c o n t r a s t b e t w e e n * ~ h a t John l e f t seems
and That John l e f t i s obvious fo l lows from K o s t e r ' s hypo thes i s
and t h e assumption t h a t seem s e l e c t s a p r o p o s i t i o n a s an
i n t e r n a l argument whi le obvious s e l e c t s a p r o p o s i t i o n as an
e x t e r n a l argument.
Although t h e presence o f t h e s u b j e c t p o s i t i o n i s no t
d e r i v a b l e from t h e P r o j e c t i o n P r i n c i p l e , it can be i n t e g r a t e d
by i n c l u d i n g t h e VP ( o r p o s s i b l y XP-maximal) i n c o n d i t i o n ( i )
i n (1):
- (i) a- o( = V, N , A , P and y = ol
o r
(ii) immediately dominates p and c*.
(iii) = a p o s i t i o n .
The c a s e where I( i s a p r o j e c t i o n of o( i s now a subcase o f
t h e th-marking con£ i g u r a t i o n s (cf . ( 9 ) (i) a) . The p o s i t i o n s
d e f i n e d i n ( 9 ) a r e r e f e r r e d t o as A-pos i t ions .
Note t h a t p h r a s e - s t r u c t u r e r u l e s -- e x c e p t f o r ( 7 ) -- are p a r t l y d e r i v a b l e from t h e P r o j e c t i o n P r i n c i p l e . I m p l i c i t
i n t h i s s t a t e m e n t i s t h a t a phrase-marker d e f i n e s two t y p e s o f
f o r m a l r e l a t i o n s a t once : t h e l e f t - t o - r i g h t o r d e r i n g o f t h e
c a t e g o r i e s and t h e i r h i e r a r c h i c a l o r g a n i z a t i o n . Grammatical
r e l a t i o n s ( s u b j e c t - o f , o b j e c t - o f ) a r e d e f i n e d i n terms o f t h e
l a t t e r . C f . Aspec t s o f t h e Theory o f s y n t a x . ( W e a r e h e r e
u s i n g t h e n o t i o n s s u b j e c t - o f and o b j e c t - o f synonymously t o
e x t e r n a l and i n t e r n a l argument r e s p e c t i v e l y . ) While t h e Pro-
j e c t i o n P r i n c i p l e c h a r a c t e r i z e s t o a l a r g e e x t e n t t h e w e l l -
formed dominance r e l a t i o n s , t h e o r d e r r e l a t i o n s are s t a t e d i n
t e rms o f i n d e p e n d e n t s t a t e m e n t s such a s :
and p o s s i b l y an ad jacency c o n d i t i o n on case-marking i n t h e
c a s e o f v e r y f i x e d word-order l a n g u a g e s l i k e E n g l i s h . Hence,
s t r u c t u r e s may b e g e n e r a t e d f r e e l y . Those n o t c o m p a t i b l e w i t h
t h e l e x i c a l p r o p e r t i e s o f t h e l e x i c a l i t e m s i n q u e s t i o n w i l l
s imply be f i l t e r e d o u t by t h e P r o j e c t i o n P r i n c i p l e . L ikewise ,
s t r u c t u r e s n o t c o m p a t i b l e w i t h t h e p a r t i c u l a r o r d e r i n g s t a t e -
ments o f t h e l anguage w i l l be r u l e d o u t . and t h o s e t h a t do n o t
obey t h e a d j a c e n c y c o n d i t i o n on case-marking i n l a n g u a g e s t h a t
have s u c h c o n d i t i o n w i l l b e f i l t e r e d o u t by t h e Case F i l t e r
which r e q u i r e s t h a t e v e r y Noun be case-marked ( c f . Chornsky 1978 ,
Rouvere t and Vergnaud 1 9 7 8 ) .
The e x i s t e n c e of free-word o r d e r languages l i k e Japanese
s t r o n g l y s u g g e s t s t h a t t h e grammatical and o r d e r i n g r e l a t i o n s
be c h a r a c t e r i z e d independent ly from each o t h e r . To i l l u s t r a t e ,
c o n s i d e r t h e fo l lowing c a s e i n Japanese:
(10) NPi N P t a b e j -
t a b e i s t h e ve rb ' t o e a t ' . (i, j) = (1, 2 ) o r ( 2 , 1) I
On t h e one hand, t h e s t r u c t u r e o f (10) has t h e fo l lowing
p r o p e r t i e s :
(11) a- t h e r e i s no VP c o n s t i t u e n t
b- t h e s u b j e c t and t h e o b j e c t bo th must precede t h e
verb ( b u t a r e unordered wi th r e s p e c t t o each o t h e r )
I n o t h e r words, t h e s t r u c t u r e o f ( 1 0 ) i s t h e t r e e i n ( 1 2 ) .
On t h e o t h e r hand, t h e s t r u c t u r e of (10) must i nc lude a r ep re -
s e n t a t i o n o f t h e s e t of grammatical r e l a t i o n s involved: it
w i l l have t o i n d i c a t e t h a t NP1 b e a r s t h e r e l a t i o n [NP1, S 1 t o
S and t h a t N P 2 b e a r s t h e r e l a t i o n [ N P 2 , VP] t o VP. ( 1 0 ) must
then have t h e s t r u c t u r e i n ( 1 3 ) .
where NP1 and VP, and NP1 and NP2, a r e unordered .
The s y n t a c t i c a n a l y s i s o f ( 1 0 ) i s hence t h e un ion o f t h e ,two
s t r u c t u r e s ( 1 2 ) and ( 1 3 ) . C f . Chomsky 1980, 1981a. T h i s
union c a n be r e p r e s e n t e d by t h e p a r e n t h e s i z e d t r e e i n ( 1 4 ) .
where NP1 and VP, and NP1 and NP2 a r e unordered .
The t r e e t h a t i n c l u d e s t h e p a r e n t h e s i z e d VP (i .e. ( 1 3 ) ) , w e
s h a l l c a l l t h e v i r t u a l p r o j e c t i o n o f ( 1 4 ) and t h e t r ee t h a t
does n o t i n c l u d e VP ( i . e . (1211, i t s a c t u a l p r o j e c t i o n . S i n c e
VP i s o n l y p a r t o f , t h e v i r t u a l p r o j e c t i o n , w e may r e f e r t o it
as a v i r t u a l VP. The grammar o f J a p a n e s e w i l l t h e n c o n t a i n t h e
f o l l o w i n g two c o n d i t i o n s : VP i s v i r t u a l and V i s r i g h t m o s t .
(More p r e c i s e l y , V i s r i g h t m o s t i n t h e f i r s t n o n - v i r t u a l c a t e -
gory above it -- namely S . But t h i s need n o t be s t a t e d i f it
i s t h e c a s e t h a t o r d e r i n g s t a t e m e n t s a p p l y t o t h e a c t u a l
p r o j e c t i o n o n l y . ) What t h e above c a s e i l l u s t r a t e s t h e n i s t h a t
w e have two sets o f s t a t e m e n t s . The f i r s t se t , which d e f i n e s
t h e domina t ion r e l a t i o n s i n t h e t ree, i s ( 1 5 ) .
(15 ) S immedia te ly dominates N P a n d VP
VP immedia te ly domina tes NP a n d V
The second set i s reduced t o t h e f o l l o w i n g s t a t e m e n t :
(16) V i s t h e r i g h t - m o s t c o n s t i t u e n t i n S.
The e s s e n t i a l q u e s t i o n s t h a t t h e n a r i s e a r e :
1. What i s t h e fo rmal c h a r a c t e r i z a t i o n o f ( 1 5 ) -- namely,
how a r e dominance r e l a t i o n s c h a r a c t e r i z e d i n d e p e n d e n t l y o f t h e
u s u a l c o n c a t e n a t i o n a l o n g t h e t i m e a x i s o f s p e e c h ?
2 . What i s t h e fo rmal c h a r a c t e r i z a t i o n o f ( 1 4 ) -- namely,
what i s t h e fo rmal s t a t u s o f VP i n J a p a n e s e ?
F o r a n answer t o t h e s e q u e s t i o n s w e refer t h e i n t e r e s t e d
r e a d e r t o Vergnaud and z u a i z a r r e t a 1981. I t i s shown t h e r e
t h a t t h e fo rmal i sm chosen t o c h a r a c t e r i z e ( 1 5 ) p r o v i d e s a
n a t u r a l answer t o ' t h e second q u e s t i o n r a i s e d above. W e w i l l
b r i e f l y i l l u s t r a t e t h e same p o i n t ( i . e . t h a t p h r a s e - s t r u c t u r e s
encode two s e p a r a t e se t o f s t a t e m e n t s ) w i t h a n o t h e r example:
t h e J a p a n e s e c a u s a t i v e c o n s t r u c t i o n .
(i, j , k) = some p e r m u t a t i o n o f (1, 2 , 3 ) . V i s t a b e ( ' t o e a t ' ) , s a s e i s t h e c a u s a t i v e morpheme.
-
- s a s e f u n c t i o n s t h e m a t i c a l l y a s a main v e r b . A s s u c h , it
selects a p r o p o s i t i o n a s argument -- a s a l l c a u s a t i v e s do.
But p h o n o l o g i c a l l y - s a s e - i s a bound morpheme. Hence, i t s
complement S i s a v i r t u a l c a t e g o r y . (17) t h e n h a s t h e s t r u c -
t u r e i n ( 1 8 ) .
t a b e
where t h e o r d e r i n g o f a l l t h e c a t e g o r i e s e x c e p t t a b e - s a s e i s
f r e e and where t h e p a r e n t h e s i z e d c a t e g o r i e s a r e t h e v i r t u a l
c a t e g o r i e s . R e c a l l t h a t i n J a p a n e s e V i s r i g h t m o s t ; namely,
r i g h t m o s t i n t h e f i r s t n o n - v i r t u a l c a t e g o r y above it -- i . e .
t h e m a t r i x S i n (18). T h i s c o n d i t i o n i s m e t s i n c e - s a s e i s
n o t a n i n d e p e n d e n t word: r a t h e r , t a b e and - s a s e form a s i n g l e
u n i t . The a c t u a l p r o j e c t i o n o f ( 1 8 ) i s a s i n ( 1 9 ) .
t a b e - s a s e
where NP1, NP2, NP are unordered . 3
There are arguments t h a t t a b e - s a s e i s n o t a t h e m a t i c u n i t b u t
o n l y a p h o n o l o g i c a l u n i t . For example , i n (18) i f t h e p a s s i v e
morpheme -rare is a t t a c h e d t o t a b e - s a s e , [NP2, S ] may b e - mapped o n t o [NPl, S1 b u t [ N P 3 , VPI may n o t b e mapped o n t o
[NP1, S ] . I f t a b e and - s a s e a r e t h e m a t i c a l l y i n d e p e n d e n t
p r e d i c a t e s a s assumed i n ( 1 8 ) , t h e s e f a c t s a r e s t r a i g h t f o r -
ward ly a c c o u n t e d f o r by t h e Bind ing P r i n c i p l e s (cf . Chap te r 11,
s e c t i o n 4 . 1 ) . See Kuroda 1981 f o r o t h e r arguments .
I n E n g l i s h , u n l i k e J a p a n e s e , t h e a c t u a l and v i r t u a l
c o r e - s t r u c t u r e s a r e i d e n t i c a l (by c o r e - s t r u c t u r e w e mean t h e
s t r u c t u r e d e f i n e d i n ( 9 ) 1 . I n t h e n e x t s e c t i o n , w e s h a l l
s u g g e s t though t h a t t h e r e i s a mismatch i n Eng l i sh . between
t h e a c t u a l s t r u c t u r e and t h e v i r t u a l s t r u c t u r e which e x p r e s s e s
c e r t a i n a d j u n c t s e m a n t i c r e l a t i o n s .
Coming back t o t h e P r o j e c t i o n P r i n c i p l e , a n o t h e r o f i t s
i m p l i c a t i o n s i s t h e e x i s t e n c e o f t r a c e s . Cons ide r a s i m p l e ,
p a s s i v e s e n t e n c e :
John was k i l l e d (by t h e p o l i c e ) .
The v e r b k i l l h a s a n i n t e r n a l t h - r o l e . I n ' t h e a c t i v e form i t
a l s o h a s a n e x t e r n a l t h - r o l e which i s mapped o n t o s u b j e c t
p o s i t i o n . P a s s i v e morphology a l t e r s t h e a r g u m e n t - s t r u c t u r e
of t h e v e r b : t h e e x t e r n a l t h - r o l e i s " i n t e r n a l i z e d " ( i n the
s e n s e o f Wi l l i ams 1981) and it i s o p t i o n a l l y r e a l i z e d i n a
1 a - p h r a s e . Consequen t ly , t h e p a s s i v e v e r b k i l l e d h a s two
2 i n t e r n a l a rguments b u t no e x t e r n a l a rgument . I f t h e P r o j e c -
t i o n P r i n c i p l e i s c o r r e c t , t h e n k i l l e d must govern a n NP
c a t e g o r y . Hence ( 2 0 ) h a s t h e s t r u c t u r e i n d i c a t e d i n (21) .
John w a s k i l l e d [Np e 1 (by t h e p o l i c e ) .
The Extended-Standard t h e o r y a s d e v e l o p e d i n Chomsky
1981a ,b and r e f e r e n c e s c i t e d t h e r e i n p o s t u l a t e s a l e v e l o f
p h o n e t i c form (PF) and a l e v e l o f l o g i c a l form (LF) . The
fo rmer i s a n a b s t r a c t r e p r e s e n t a t i o n o f sound and t h e l a t t e r
i s a n a b s t r a c t r e p r e s e n t a t i o n of meaning. The PF and LF o f
s e n t e n c e s a r e media ted by a b r a c k e t e d - i n d e x e d s t r u c t u r e :
S - S t r u c t u r e . Fur the rmore , a n o t h e r l e v e l -namely D-Structure-
i s p o s t u l a t e d which i s e q u a l t o S - S t r u c t u r e a b s t r a c t i n g away
from movement. The o r g a n i z a t i o n o f t h e grammar i s i l l u s t r a t e d
by t h e schema i n ( 2 2 ) .
D-S
I S-S
A s t r o n g v e r s i o n o f t h e P r o j e c t i o n P r i n c i p l e s t a t e d a s i n
(23) p u t s s e v e r e c o n s t r a i n t s on t h e p o s s i b l e mappings between
D-S, S-Sf and LF.
Extended P r o j e c t i o n P r i n c i p l e
If 0( th-marks g - - d i r e c t l y o r i n d i r e c t l y - - i n g a t Li ( c f . t h e c o n f i g u r a t i o n i n ( 9 ) ) , it d o e s a l s o
T h i s means t h a t a t e v e r y s y n t a c t i c l e v e l D-S, S-S, and LF,
t h e complement s t r u c t u r e o f a l e x i c a l c a t e g o r y i s a p r o j e c t i o n
of i t s t h e m a t i c s t r u c t u r e . I t means moreover t h a t t h e argu-
m e n t - s t r u c t u r e i s n o t a l t e r e d i n t h e c o u r s e o f a s y n t a c t i c
d e r i v a t i o n . ( 2 3 ) has n o n - t r i v i a l i m p l i c a t i o n s . For example
it i m p l i e s t h a t :
1. There i s no r u l e o f s u b j e c t - t o - o b j e c t r a i s i n g .
I .e. , t h e r e i s no d e r i v a t i o n o f t h e t y p e :
( 2 4 ) a - D-S: John b e l i e v e s [Peter t o b e a f o o l ] 8
b- S-S/LF: John b e l i e v e s [ Peter] [ t o b e a f o o l ] d 6
At S-S and LF --but n o t a t D-S-- o( i s a th-marked p o s i t i o n
w i t h r e s p e c t t o b e l i e v e . Hence t h i s d e r i v a t i o n c o n s t i t u t e s
a v i o l a t i o n o f t h e Extended P r o j e c t i o n P r i n c i p l e .
2 . There a r e no s t r u c t u r e - b u i l d i n g r u l e s a t LF. For
example , s t r u c t u r e ( 2 5 ) a c a n n o t b e c o n v e r t e d i n t o s t r u c t u r e
( 2 5 ) b a t LF:
(25) a- D-S/S-S : John c o n s i d e r s [ P e t e r ] [ f o o l i s h ] a b
b- LF: John c o n s i d e r s [ [ P e t e r ] [ f o o l i s h ] ] 1( 6
A t D-S and S-S --but n o t a t LF-- ol i s i n a th-marking con-
f i g u r a t i o n w i t h r e s p e c t t o c o n s i d e r , i n v i o l a t i o n o f t h e
Extended P r o j e c t i o n P r i n c i p l e . For b e l i e v e and c o n s i d e r
( 2 4 ) a and ( 2 5 ) b a r e t h e c o r r e c t s y n t a c t i c s t r u c t u r e s a t
e v e r y s y n t a c t i c level s i n c e t h e y b o t h th-mark one s i n g l e
p o s i t i o n i n t h e VP, i . e . , t h e y b o t h t a k e o n l y one i n t e r n a l
argument .
3 . There are no S-pruning t r a n s f o r m a t i o n s . No complex
s e n t e n t i a l s t r u c t u r e l i k e ( 2 6 ) a may be c o n v e r t e d i n t o a s i m p l e
s e n t e n t i a l s t r u c t u r e l i k e ( 2 6 ) b :
( o r a l t e r n a t i v e l y , D' : lNPl V Vp IV NPJ] I ) S1
A t D-S - -but n o t a t S-S and LF-- S2 i s i n a th-marking c o n f i -
g u r a t i o n w i t h r e s p e c t t o V 1 '
A t D-S NPj i s i n a th-marking
c o n f i g u r a t i o n w i t h r e s p e c t t o V2 and a t S-S and LF it i s i n
a th-marking c o n f i g u r a t i o n w i t h r e s p e c t t o a new-formed v e r b :
vx . The mapping between (26) a and (26) b hence v i o l a t e s t h e
Extended P r o j e c t i o n P r i n c i p l e .
I n s h o r t , t h e Extended P r o j e c t i o n P r i n c i p l e o n l y a l l o w s
for s u b s t i t u t i o n and a d j u n c t i o n t r a n s f o r m a t i o n s -- n e i t h e r
of which a l t e r s t h e c o r e - s t r u c t u r e o f a s e n t e n c e .
The P r o j e c t i o n P r i n c i p l e i s supplemented by a well-formed-
n e s s c r i t e r i o n o f LF:
The t h - C r i t e r i o n
Each argument b e a r s o n e and o n l y o n e t h - r o l e , and
e a c h t h - r o l e i s a s s i g n e d t o one and o n l y one argument .
Arguments a r e NPs (terms) and S s ( p r o p o s i t i o n s ) l i k e
t h e o n e s i n examples ( 2 ) a - g and ( 4 ) a - b a s w e l l a s i n examples
(28) a-c below:
( 2 8 ) a- John r e p o r t e d P e t e r t o be s i c k .
John imagined P e t e r t a l l e r t h a n he i s .
c- Tha t Peter d i d n o t come s u r p r i s e d u s . -
On t h e o t h e r hand it i n examples ( 5 ) a - b i s n o t an argument . -
The argument s t a t u s o f t h e s u b j e c t o f w e a t h e r v e r b s and
of French y a v o i r ( c f . il y a ) and E n g l i s h b e i n t h e r e i s NP -
is less o b v i o u s .
( 2 9 ) a- It snows.
I1 n e i g e . - b- I1 y a d u p a i n . -
There i s b r e a d .
They behave a s arguments i n t h a t t h e y a r e p o s s i b l e c o n t r o l l e r s :
(30) a- I1 n e n e i g e jamais s a n s e p l e u v o i r . - - I t n e v e r snows w i t h o u t e r a i n i n g . - -
b- I1 n e p e u t p a s y a v o i r du v i n s a n s e y a v o i r - - de l ' e a u .
(Word by word t r a n s l a t i o n : There must n e v e r be
wine w i t h o u t t h e r e b e i n g b r e a d . )
Compare ( 3 0 ) a - b w i t h ( 3 1 ) a-b , where t h e s u b j e c t i s a n e x p l e -
t i v e il:
(31) *a- I1 p o u r r a i t sernbler que Pierre es t dgprim6 s a n s
s 1 a v 6 r e r q u ' i l es t malade.
( I t c o u l d seem t h a t P e t e r i s d e p r e s s e d w i t h o u t
t u r n i n g o u t that he i s sick.)
*b- I1 n e p e u t p a s e x i s t e r d e v i e s a n s e x i s t e r d ' e a u - s u r cette p l a n z t e .
( T h e r e c a n n o t e x i s t l i f e w i t h o u t t h e r e e x i s t i n g
water. 1
I n E n g l i s h t h e r e i s no c o n t r o l c o u n t e r p a r t t o t h e French
( 3 0 ) b . C f . ( 3 2 ) . T h i s may b e due t o a n i n d e p e n d e n t r e a s o n .
Avoir (have) a s s i g n s a c c u s a t i v e c a s e w h i l e b e d o e s n ' t . The - p o s t - v e r b a l NP b r e a d i n ( 2 9 ) b is marked nomina t ive a l t h o u g h
it i s n o t i n a n o m i n a t i v e case-marking p o s i t i o n . L e t ' s assume
that t h e r e t r a n s m i t s nomina t ive c a s e t o t h e p o s t - v e r b a l
p o s i t i o n v i a a s p e c i a l r u l e . The p r e s e n c e o f t h e r e i s t h e n
c r u c i a l f o r t h e p o s t - v e r b a l N P t o g e t c a s e . I n t h e w i t h o u t -
c l a u s e i n (32) t h e r e i s a b s e n t . Hence t h e p o s t - v e r b a l N P
w a t e r i s n o t case-marked. The ungra rnmat ica l i ty o f ( 3 2 ) i s
t h u s e x p l a i n e d if l e x i c a l NPs must b e case-marked ( c f .
Chonlsky 1978, Rouvere t & Vergnaud 1978, Chomsky 1981a) .
( 3 2 ) * There must n e v e r b e wine w i t h o u t - b e i n g water.
Another p i e c e o f d a t a t h a t shows t h a t t h e s u b j e c t o f
w e a t h e r v e r b s i s a n argument comes from c e r t a i n Nor the rn
I t a l i a n d i a l e c t s , n o t i c e d by Luc iana B r a n d i and P a t r i z i a
Cordin ( m s 1 9 8 1 ) . I n T r e n t i n o s u b j e c t s which a r e arguments
- - p h o n o l o g i c a l l y r e a l i z e d o r n o t - - c o e x i s t w i t h a c l i t i c i n
t e n s e d s e n t e n c e s .
( 3 3 ) a- i- La ven . - ii-* ven.
(She comes.)
{ comes. )
There i s no s u b j e c t c l i t i c p r e s e n t when t h e s u b j e c t p o s i t i o n
i s n o t o c c u p i e d by a n argument .
4 ( 3 4 ) a- P a r c h e e l Mario e l s i a p a r t l . -
(Seems t h a t Mario - l e f t ) . /
b- *El p a r c h e e l Mario e l s i a p a r t l . - -
I n t e r e s t i n g l y enough, i n t h e case o f w e a t h e r verbs a s u b j e c t
c l i t i c i s o b l i g a t o r i l y p r e s e n t .
(35) a- E l ? iove - (I t r a i n s . )
b- *P iove
( R a i n s . )
I n s t a n d a r d French t h e g e n e r i c s u b j e c t pronoun can
o n l y a p p e a r i n a n argument p o s i t i o n a t D-S. Thus compare
(36)la w i t h ( 3 6 ) b :
(36) a- L e s c o l i s , a r r i v e p a r l a p o s t e .
( A p a r c e l , i t a r r i v e s by m a i l . )
b- *= a r r i v e les c o l i s p a r l a p o s t e .
Compare (36) b w i t h : I1 a r r i v e d e s c o l i s p a r l a p o s t e . - A r r i v e r i s a n e r g a t i v e o r u n a c c u s a t i v e v e r b . I t h a s a n
i n t e r n a l a rgument b u t no e x t e r n a l a rgument . Cf. P e r l m u t t e r
1978, B u r z i o 1981. A s e x p e c t e d , t h e g e n e r i c pronoun c a n
a p p e a r i n t h e s u b j e c t p o s i t i o n of w e a t h e r v e r b s :
(37) a- e p l e u t .
( I t r a i n s . )
b- E n e i g e .
( I t snows.)
I n t u i t i v e l y , it makes s e n s e t o s a y t h a t t h e s u b j e c t o f
w e a t h e r v e r b s h a s s e m a n t i c c o n t e n t . " I t r a i n s " i s u n d e r s t o o d
a s "Something i s r a i n i n g . " I n f a c t , i n S p a n i s h t h e f o l l o w i n g
sounds p e r f e c t l y wel l - formed t o u s :
(38) a- Llueven g r a n d e s g o t a s d e aqua .
(Th ick d r o p s o f w a t e r a r e r a i n i n g . )
b- Q U ~ l l u e v e ? Llueve g r a n i z o .
(What r a i n s ? H a i l r a i n s . )
Concerning i l y a and t h e r e is i t i s n o t s e m a n t i c a l l y c o u n t e r -
i n t u i t i v e t o t h i n k o f t h e s u b j e c t a s a n a b s t r a c t l o c a t i o n . A s
f o r i d i o m s , i f t h e y a r e s e m a n t i c a l l y empty ( c f . t h e d i s c u s s i o n
above) it may be assumed a s s u g g e s t e d i n Chomsky 1981a t h a t
t h e y are quas i -a rguments . A word o f c a u t i o n with r e s p e c t t o t h e one and o n l y one
c o n d i t i o n i n t h e s t a t e m e n t : Each argument b e a r s one and o n l y
one t h - r o l e ( c f . 27) . A t h - r o l e i s n o t d e f i n e d a s b e i n g
u n i q u e l y a g e n t o r theme: i . e . , t h e r e i s no b i u n i q u e n e s s r e l a -
t i o n between a t h - r o l e and t h e s e s e m a n t i c n o t i o n s . A t h - r o l e
may be a combina t ion o f t h e s e n o t i o n s o r o f o t h e r more p r i m i -
t i v e n o t i o n s . F o r example , i n ( 3 9 ) a-b John
is t h e theme o f the a c t i o n b u t it may also b e i n t e r p r e t e d
as t h e a g e n t o r c a u s e r o f t h e a c t i o n . (The examples a r e from
B o w e r s 1 9 7 3 . )
(39) a- John r o l l e d down t h e h i l l .
b- John t u r n e d i n t o a pumpkin.
I n ef fect , u n d e r one i n t e r p r e t a t i o n s e n t e n c e s ( 3 9 ) a and ( 3 9 ) b
are synonymous t o ( 4 0 ) a and (40)b r e s p e c t i v e l y :
( 4 0 ) a- John r o l l e d h i m s e l f down t h e h i l l .
b- John t u r n e d h i m s e l f i n t o a pumpkin.
T h - r o l e s are a s s i g n e d t o r e f e r e n t i a l i n d i c e s . I f o n l y
c l a u s e s and t e r m s a r e r e f e r e n t i a l i n some a b s t r a c t men ta l
domain, t h e n it f o l l o w s t h a t o n l y S s and NPs b e a r t h - r o l e s :
i . e . , only S s and N P s are a rguments . More p r e c i s e l y , it may
be assumed t h a t t h - r o l e s are a s s i g n e d t o c h a i n s . The members
of a c h a i n a r e i d e n t i f i e d by a n i n d e x . For example, i n ( 2 1 ) ,
which h a s t h e i n d e x e d - s t r u c t u r e ( 4 1 ) :
John] was k i l l e d L N P i el (by t h e p o l i c e ) .
k i l l e d th-marks a p o s i t i o n w i t h an i n d e x - i. Hence, it a s s i g n s
a t h - r o l e t o t h e c h a i n i ( J o h n , e ) . The t h - r o l e i s b o r n by - - -
t h e argument member of t h e c h a i n , namely John i n ( 4 1 ) .
Whi le t h e P r o j e c t i o n P r i n c i p l e -- as s t a t e d i n ( 2 3 ) -- i s concerned w i t h t h e s t r u c t u r a l p o s i t i o n s i n a s y n t a c t i c
c o n f i g u r a t i o n , t h e t h - C r i t e r i o n i s concerned w i t h t h e c o n t e n t
o f t h e s e p o s i t i o n s . For example, t h e t h - C r i t e r i o n e x c l u d e s
s e n t e n c e s where t h e r e is a n argument i n a non t h - p o s i t i o n
which i s n o t co indexed w i t h a t h - p o s i t i o n o r an e x p l e t i v e i n
a t h - p o s i t i o n a s i n ( 4 2 ) a and ( 4 2 ) b - c r e s p e c t i v e l y :
( 4 2 ) *a- John Vp [seems t h a t he w i l l come]
'b- I t VP - [went t o P a r i s 1 (where - it is n o t r e f e r e n t i a l ) .
*c- B i l l [ e n c o u n t e r e d - i t ] (where i t i s n o t r e f e r e n t i a l ) . -
The W i n ( 4 2 ) a a s s i g n s no e x t e r n a l t h - r o l e . Hence t h e argu-
ment John does n o t b e a r a t h - r o l e . The VP i n ( 4 2 ) b a s s i g n s an
e x t e r n a l t h - r o l e . Consequent ly i t r e q u i r e s a n argument -- n o t
a n e x p l e t i v e -- i n s u b j e c t p o s i t i o n . B e s i d e s a s s i g n i n g a n
e x t e r n a l t h - r o l e , e n c o u n t e r a s s i g n s an i n t e r n a l t h - r o l e .
Hence ( 4 2 ) c r e q u i r e s an argument i n o b j e c t p o s i t i o n .
Also, t h e T h - C r i t e r i o n b l o c k s movement i n t o a t h - p o s i t i o n :
(43) *a- - Johni b e l i e v e s IS e f o o l i s h ] -i
*b- B i l l . b e l i e v e s I S e t o be l i k e l y [ S e t o c a l l ] ] 1 -i -i
I n ( 4 3 ) a b o t h b e l i e v e a n d f o o l i s h a s s i g n a t h - r o l e t o t h e
i n d e x - i . Hence, t h e c h a i n i ( J o h n , e ) h a s t w o t h - r o l e s . I n - - -
( 4 3 ) b b e l i k e l y does' n o t a s s i g n a n e x t e r n a l t h - r o l e b u t
b e l i e v e and c a l l do. Consequen t ly , two t h - r o l e s a r e a s s i g n e d
t o t h e c h a i n i B i l l e , 5 ) . ( 4 3 ) a and ( 4 3 ) b a r e hence r u l e d - - -
o u t by t h e T h - C r i t e r i o n -- which can be r e f o r m u l a t e d as a
wel l - formedness c o n d i t i o n on c h a i n s .
. Each c h a i n must c o n t a i n one and o n l y one argument and ( 4 4 ) must b e a r one and o n l y one t h - r o l e .
Each t h - r o l e must b e a s s i g n e d t o one and o n l y one c h a i n .
The T h - C r i t e r i o n i n s u r e s t h a t i f oc h a s t h e l e x i c a l
p r o p e r t y o f a s s i g n i n g a t h - r o l e t o t h e c o n t e n t o f p , t h e n
it does s o o b l i g a t o r i l y . R e c a l l t h a t d th-marks g i f and
o n l y i f oc a s s i g n s a t h - r o l e t o t h e c o n t e n t o f @ . Hence, i t
f o l l o w s from t h e Extended P r o j e c t i o n P r i n c i p l e t h a t t h e Th-
C r i t e r i o n a p p l i e s n o t o n l y a t LF b u t a l s o a t D-S and S-S. I f
t h e T h - C r i t e r i o n a p p l i e s a t a l l s y n t a c t i c l e v e l s , t h - r o l e
a s s ignment must a l r e a d y t a k e p l a c e a t D - S t r u c t u r e . S i n c e
t h e r e i s no i n d e x i n g a t D-S t ruc tu re o r more p r e c i s e l y no
c o i n d e x i n g which e x p r e s s e s a n t e c e d e n t - t r a c e r e l a t i o n , t h i s
s y n t a c t i c l e v e l i s a p u r e r e p r e s e n t a t i o n o f t h e m a t i c r e l a t i o n s .
S - s t r u c t u r e and D - s t r u c t u r e a r e mapped o n t o e a c h o t h e r v i a
(or media ted by) t h e r u l e Move u . Th-marking t o a l a r g e e x t e n t subsumes s u b c a t e g o r i z a t i o n .
A s d e f i n e d i n A s p e c t s , s u b c a t e g o r i z a t i o n e x p l i c i t l y s p e c i f i e s
b o t h p o s i t i o n a n d c a t e g o r i a l t y p e o f a complement. But
th-marking, a s w e have s e e n , i s concerned o n l y w i t h p o s i t i o n s .
I t makes no r e f e r e n c e t o t h e c a t e g o r y o c c u p i e d by t h e s e p o s i -
t i o n s . A t h e o r y t h a t assumes t h e mechanism o f th-marking
i n s t e a d o f s u b c a t e g o r i z a t i o n w i l l t h e n n o t s p e c i f y the cate-
g o r i a l t y p e o f a complement (NP, S , AP ...) -- i n t h e unmarked
c a s e . Such i n f o r m a t i o n w i l l o n l y be s p e c i f i e d i n t h e l e x i c a l
e n t r y of a v e r b when it i s n o t p r e d i c t a b l e on i n d e p e n d e n t
grounds . For example, it i s u n n e c e s s a r y f o r t h e grammar t o
s p e c i f y t h a t t h e o b j e c t o f - e a t i s a n N P and n o t an S. T h i s
f o l l o w s from o u r knowledge o f t h e w o r l d : " p r o p o s i t i o n s " are
n o t e d i b l e t h i n g s . But s i n c e t h i s i s a v e r y p o o r l y s t u d i e d
a r e a , j u s t which c a s e s a r e p r e d i c t a b l e and which a r e n o t i s
an open q u e s t i o n . Hence, t h r o u g h o u t t h i s t h e s i s w e s h a l l
c o n t i n u e t o u s e t h e t e r m " s u b c a t e g o r i z a t i o n " ( o r " c a t e g o r i a l
s e l e c t i o n " ) a s i f i t were a p r i m i t i v e l e x i c a l p r o p e r t y
-- a l t h o u g h w e b e l i e v e t h a t it i s n o t ( i n t h e unmarked case
a t l e a s t ) . See P e s e t s k y 1982 f o r d i s c u s s i o n o f t h i s i s s u e .
1.2 Adjunct -semant ic r e l a t i o n s and t h e i r s y n t a c t i c r e a l i z a t i o n
I n s e c t i o n 1.1 w e d i s c u s s e d t h e c o n s t r a i n t s t h a t
govern t h e p r o j e c t i o n o f t h e s e m a n t i c r e l a t i o n s t h a t a r e
r e a l i z e d i n t e r m s o f % - t h e o r y . The c a s e of t h e s e m a n t i c
r e l a t i o n NP-VP was i n c l u d e d by a d d i n g VP t o s t a t e m e n t ( i) i n
( 9 ) . But t h e r e a r e o t h e r s e m a n t i c r e l a t i o n s which a r e n o t
e x p r e s s e d i n terms o f z - t h e o r y . A c a s e i n p o i n t i s t h a t o f
A d v e r b i a l s . W e w i l l p u t a s i d e t h e case o f o b l i g a t o r y a d v e r b i a l s
d i s c u s s e d i n J a c k e n d o f f 1972 -- as i n t h e f o l l o w i n g examples
i n which a n a d v e r b i a l o f some s o r t i s r e q u i r e d t o be p r e s e n t
i n t h e VP i n f i n a l p o s i t i o n .
( 4 5 ) a- John worded t h e l e t t e r c a r e f u l l y .
b- John worded t h e l e t t e r i n such a way a s t o c o n f u s e
everyone .
*c- John worded t h e l e t t e r .
( 4 6 ) a- The job p a i d u s handsomely.
b- The job p a i d u s enough t h a t we c o u l d knock o f f
work f o r a few months. *r
*c- The j o b p a i d us .
Note t h a t a d v e r b s a r e n o t a rguments -- i . e . , t h - r o l e b e a r i n g
l e x i c a l i t e m s . Consequen t ly , a c c o r d i n g t o t h e t h e o r y s k e t c h e d
i n t h e p r e v i o u s s e c t i o n t h e u n d e r l i n e d a d v e r b i a l s i n ( 4 5 ) and
( 4 6 ) c a n n o t b e complements o f word and p a i d r e s p e c t i v e l y . I f
t h e y a r e n o t complements t h e n t h e y must be p a r t o f t h e p r e d i -
c a t e . They may be c o n s i d e r e d t o form w i t h t h e v e r b a d i s c o n -
t i n u o u s complex-pred ica te : word ... Adv, p a i d ... Adv. The
o b j e c t s t h e l e t t e r and u s i n ( 4 5 ) and ( 4 6 ) a r e a s s i g n e d a -
t h - r o l e compos i t i ona l ly by t h e complex-predicates word-Adv
and paid-Adv r e s p e c t i v e l y .
The c a s e s t h a t a r e of r e l evance t o o u r d i s c u s s i o n a r e
t h e o p t i o n a l a d v e r b i a l s . W e w i l l r e f e r t o them as ad junc t -
p r e d i c a t e s . The o p t i o n a l , p roduc t ive -- i . e . , n o t l e x i c a l l y
determined -- a d v e r b i a l s a r e found under S i n i n i t i a l , f i n a l ,
and Aux p o s i t i o n -- and i n t h e VP -- i n i n i t i a l and f i n a l
p o s i t i o n . The fo l lowing d i s c u s s i o n i s based on J a c k e n d o f f ' s
s t udy which g i v e s t h e fo l lowing c l a s s i f i c a t i o n of adverbs .
The semant ic s t r u c t u r e of s e n t e n c e s c o n t a i n i n g ad junc t -
p r e d i c a t e adverbs f a l l i n t o t h r e e major t y p e s :
I . Neut ra l o r Speaker-Oriented Adverbs :
L e t S ' deno te t h e s en t ence r e s u l t i n g from removing t h e
Adverb from S . I n t h e pa raphrase o f S , S ' appea r s a s t h e
s e n t e n t i a l complement o f a monadic p red ica t e - ad j e c t i v e .
C f . (i) ve r sus (ii) below.
( 4 7 ) a- (i) E v i d e n t l y , Frank i s avo id ing us .
(ii) I t i s e v i d e n t t h a t Frank i s avoid ing us .
b- (i) C e r t a i n l y , Frank i s avoid ing u s .
(ii) I t i s c e r t a i n t h a t Frank i s avoid ing u s .
( E v i d e n t , l i k e seem, may have a d a t i v e o b j e c t -- which we w i l l
. i g n o r e s i n c e i t i s n o t o b l i g a t o r y . Cf. I t i s e v i d e n t ( t o m e )
t h a t S. I t seems ( t o me) t h a t S.)
11. S u b j e c t - O r i e n t e d Adverbs
The second t y p e o f i n t e r p r e t a t i o n h a s a p a r a p h r a s e i n
which S' a p p e a r s as t h e s e n t e n t i a l complement o f a d y a d i c
p r e d i c a t e a d j e c t i v e . The s u b j e c t o f t h e p r e d i c a t e a d j e c t i v e
i s i d e n t i c a l t o t h e s u b j e c t o f S . Compare (i) w i t h (ii) below:
( 4 8 ) a- (i) C a r e f u l l y , John poured t h e m i l k i n t o t h e pan.
(ii) J o h n w a s c a r e f u l i n p o u r i n g t h e mi lk i n t o t h e pan.
b- (i) C l u m s i l y , John poured t h e m i l k i n t o t h e pan.
(ii) John was clumsy i n p o u r i n g t h e mi lk i n t o t h e pan.
111. Manner, d e g r e e , t i m e Adverbs
The p a r a p h r a s e i n t h i s c a s e c o n s i s t s o f a p r e p o s i t i o n a l
p h r a s e -- manner, e x t e n t , t i m e -- which is added t o S' and
which t h e n f u n c t i o n s a s t h e p i v o t a l e l e m e n t i n a r e l a t i v e
c l a u s e and a s s u b j e c t o f a p r e d i c a t e a d j e c t i v e .
( 4 9 ) a- (i) Dave s p e a k s e l o q u e n t l y .
(ii) The manner i n which Dave s p e a k s i s e l o q u e n t .
b- (i) Bob walks h i s p e t g i r a f f e i n f r e q u e n t l y .
(ii) The t i m e s a t which Bob wa lks h i s p e t g i r a f f e
are i n f r e q u e n t .
c- (i) Ted a t e h i s Whea t i e s c o m p l e t e l x .
(ii) The e x t e n t t o which Ted a t e h i s Wheat ies was
comple te .
Roughly, a d v e r b s o f t h e s e m a n t i c t y p e I and I1 a p p e a r i n
i n i t i a l and i n p r e - and p o s t - a u x i l i a r y p o s i t i o n . The t h i r d
t y p e a p p e a r s i n p o s t - a u x i l i a r y and f i n a l p o s i t i o n . The s e m a n t i c
t y p e -- o r t y p e s -- t o which a n a d v e r b b e l o n g s i s a l e x i c a l
p r o p e r t y o f e a c h p a r t i c u l a r adverb .
The f u n c t i o n o f t h e p a r a p h r a s e i s t o b r i n g o u t t h e seman-
t i c r e l a t i o n s between t h e a d v e r b and t h e c l a u s e -- o r p a r t s o f
t h e c l a u s e -- t o which it i s a t t a c h e d . The p a r a p h r a s e s i n I
show t h a t t h e r e i s a s e m a n t i c r e l a t i o n between t h e a d v e r b and
t h e S . The p a r a p h r a s e s i n I1 show t h a t t h e r e i s a s e m a n t i c
r e l a t i o n between t h e a d v e r b and t h e S and w i t h t h e s u b j e c t o f
S . The p a r a p h r a s e s i n 111 show t h a t t h e r e i s a s e m a n t i c r e l a -
t i o n w i t h t h e VP o f t h e s e n t e n c e . Moreover i n t h e c a s e o f
manner A d v e r b i a l s t h e r e i s a s e m a n t i c r e l a t i o n w i t h t h e a g e n t
of S. For example ( 4 9 ) a - i i m p l i e s t h a t 'Dave i s e l o q u e n t . '
More w i l l be s a i d below a b o u t t h e VP manner a d v e r b i a l s .
What i s t h e n a t u r e o f t h e s e s e m a n t i c r e l a t i o n s ? The
g e n e r a t i v e - s e m a n t i c i s t s , i n t h e i r r e d u c t i o n i s t a p p r o a c h ,
p roposed t o d e r i v e a d v e r b s from a d j e c t i v e s . Thusf w i t h i n
t h i s a n a l y s i s t h e a d v e r b s i n examples ( 4 7 ) a ( i ) -b ( i) , ( 4 8 ) a ( i) - b ( i ) , ( 4 9 ) a ( i ) - b ( i ) a r e d e r i v e d from t h e p r e d i c a t e a d j e c t i v e s
i n 47a)-b , 4 8 a i - b ( 4 9 ) a ( i i ) - b ( i i ) r e s p e c -
t i v e l y . T h i s a n a l y s i s , b e s i d e s b e i n g unmot iva ted s y n t a c t i -
c a l l y , h a s numerous p rob lems . Cf. J a c k e n d o f f 1972 , C h a p t e r 3
f o r a d e t a i l e d c r i t i q u e . We w i l l assume w i t h J a c k e n d o f f t h a t
a d v e r b s a r e i n s e r t e d i n t h e i r s u r f a c e s t r u c t u r e p o s i t i o n . 3
Moreover, w e s u g g e s t t h a t t h e f a c t t h a t t h e l e x i c a l p r o p e r t i e s
o f a n a d v e r b a r e n o t s y n t a c t i c a l l y r e a l i z e d i n terms o f
;-theory i s n o t a n a c c i d e n t . They are n o t e x p r e s s e d i n t e r m s
of E- theory s imply because a d v e r b s a r e n o t main p r e d i c a t e s ,
t h e y a r e a d j u n c t - p r e d i c a t e s and t h e r e l a t i o n s induced by them
are a d j u n c t s t o t h e S o r VP. Note t h a t VP i s n o t an argument:
i . e . , it i s n o t a r e c i p i e n t o f t h - r o l e s b u t it i s a r e c i p i e n t
of a d j u n c t - s e m a n t i c r e l a t i o n s . ( W e w i l l u s e t h e t e r m ARGUMENT-
r e l a t i o n t o refer t o a l l t y p e s o f s e m a n t i c r e l a t i o n s . )
R e c a l l t h a t i n t h e examples c o n s i d e r e d above t h e r e i s a
s e m a n t i c r e l a t i o n (1) between t h e a d v e r b and t h e S o r VP
which domina tes i t and ( 2 ) between t h e adverb and a n argument
of t h e c l a u s e i n t h e c a s e o f s u b j e c t - o r i e n t e d a d v e r b s and
VP-manner a d v e r b s . A s f o r t h e f i r s t s e m a n t i c r e l a t i o n , i . e . ,
between t h e a d v e r b and t h e S o r VP, i t i s wor thwhi le t o r e c a l l
t h e t r a d i t i o n a l i n t u i t i o n t h a t a d v e r b s a r e r e l a t e d t o s e n t e n c e s
o r v e r b p h r a s e s as a d j e c t i v e s are t o noun p h r a s e s i n c o n s t r u c -
t i o n s l i k e ( 5 0 ) a - b .
(50) a- t h e b e a u t i f u l p a i n t i n g
b- t h e c a r e f u l s p e e c h
As h a s o f t e n been n o t i c e d , t h e i r d i s t r i b u t i o n a r e r emarkab ly
s i m i l a r . F o r example , J a c k e n d o f f wri tes : " i t seems no a c c i -
d e n t t h a t t h e s u r f a c e p o s i t i o n o f a d j e c t i v e s i n noun p h r a s e s
is between t h e d e t e r m i n e r and t h e head , e x a c t l y p a r a l l e l t o
a u x i l i a r y p o s i t i o n o f a d v e r b s i n s e n t e n c e s . I n p a r t i c u l a r ,
t h e p a r a l l e l i s m between a d j e c t i v e s i n d e r i v e d nomina l s and
a d v e r b s i n ge runds i s s t r i k i n g . "
(51 ) a- J o h n ' s r a p i d r e a d i n g o f t h e l e t t e r
b- J o h n ' s r a p i d l y r e a d i n g t h e l e t t e r
Fur the rmore , Jackendof f n o t i c e s t h a t " t h o s e a d j e c t i v e s t h a t
can a p p e a r o n l y p r e n o m i n a l l y , s u c h a s mere, are p a r a l l e l e d
by a d v e r b s t h a t can a p p e a r o n l y p r e v e r b a l l y , such as m e r e l y . "
( J a c k e n d o f f 1972, pp . 59-60) .
Fo l lowing t h e t e r m i n o l o g y o f t r a d i t i o n a l grammar, w e
s h a l l r e f e r t o t h e s e m a n t i c r e l a t i o n between t h e Adverb and S
o r VP and between t h e A d j e c t i v e and t h e Noun i n s t r u c t u r e s
l i k e ( 5 0 ) a-b a s m o d i f i c a t i o n . The s e m a n t i c r e l a t i o n o f
m o d i f i c a t i o n i s r e a l i z e d i n t h e s y n t a c t i c c o n f i g u r a t i o n d e f i n e d
i n ( 5 2 ) .
( 5 2 ) I n t h e c o n f i g u r a t i o n s : [1(
... d .... g . . . ] ,
[ x . . . p . . . . a.. . ] , where
(i) x = a p r o j e c t i o n o f 9
(ii) \d immedia te ly domina tes o( and P (iii) bt = Adj , Adv.
4 m o d i f i e s . ( W e w i l l t h e n s a y t h a t g i s i n t h e
scope o f q . )
Consequen t ly , i n t h e c o n s t r u c t i o n s under d i s c u s s i o n t h e
Adverb must be a d j o i n e d t o t h e node t h a t it m o d i f i e s . S i n c e
t h e Adverb i n s u r f a c e s t r u c t u r e i s n o t a lways i n c o n s t i t u e n t -
i n i t i a l o r c o n s t i t u e n t - f i n a l p o s i t i o n , we s u g g e s t t h a t t h e r e
i s a mismatch between t h e v i r t u a l and a c t u a l p o s i t i o n s o f
Adverbs. R e c a l l t h a t i n E n g l i s h , u n l i k e a f r e e word-order
l anguage l i k e J a p a n e s e , t h e v i r t u a l s t r u c t u r e which encodes
t h e c o r e - s e m a n t i c r e l a t i o n s (cf . I . ( 9 ) i s i d e n t i c a l t o t h e
a c t u a l s t r u c t u r e which e x p r e s s e s s u r f a c e l i n e a r o r d e r . Cf.
t h e d i s c u s s i o n i n s e c t i o n 1.1. But suppose t h a t i n E n g l i s h
t h e v i r t u a l p r o j e c t i o n which encodes a d j u n c t - r e l a t i o n s i s
n o t i d e n t i c a l t o i t s c o r r e s p o n d i n g a c t u a l p r o j e c t i o n . I n
e f f e c t , t h e S and VP i n p a r e n t h e s i s i n ( 5 3 ) a and ( 5 3 ) b a r e
v i r t u a l c a t e g o r i e s . The a c t u a l p r o j e c t i o n s o f ( 5 3 ) a and ( 5 3 ) b
are (53) c and ( 5 3 ) d r e s p e c t i v e l y .
( 5 3 ) a- / s\ Adv (S 1
/ I \ N P INFL VP
NP ,INFL
(VP) Adv
Adv NP INFL VP NP INFL
V . . . Adv
Suppose moreover t h a t o r d e r i n g s t a t e m e n t s i n E n g l i s h ( i . e . x0
i s t h e l e f t m o s t c o n s t i t u e n t i n XP and VP i s t h e r i g h t m o s t
c o n s t i t u e n t i n S ) a p p l y o n l y t o t h e c o r e - s t r u c t u r e . I n ( 5 3 ) a / c
t h e Adverb w i l l t h e n be unordered w i t h r e s p e c t t o N P , I N F L ,
and VP and i n ( 5 3 ) b / d it w i l l b e unordered w i t h r e s p e c t t o V
and t h e s i s t e r - n o d e s o f V . A l l o f t h e a t t e s t e d o r d e r s a r e
t h e n o b t a i n e d : 4
( 5 4 ) a- IS - Adv NP INFL (Aux) VP]
b- I, NP Adv INFL (Aux) VP] - C- [, NP XNFL(AUX) - AdvVP]
d- [, NP INFL(Aux) VP Adv 1 - e- [ s NP INFL(Aux) IVp - Adv V . . . 1 I
f- [s NP INFL(Aux) [Vp V . . .Adv.. . I 1 - g- IS NP INFL(Aux1 IVp V....Adv ] 1 -
Does t h e r e l a t i o n o f m o d i f i c a t i o n obey t h e Extended
P r o j e c t i o n P r i n c i p l e -- i . e . d o e s t h e s e m a n t i c r e l a t i o n
d e f i n e d i n c o n f i g u r a t i o n (52) h o l d a t e v e r y s y n t a c t i c l e v e l ?
S i n c e w e do n o t have any e v i d e n c e t h a t t h e r e l a t i o n o f modi-
f i c a t i o n d o e s n o t obey t h e Extended P r o j e c t i o n P r i n c i p l e , w e
w i l l assume t h a t it does ( i . e . t h e n u l l h y p o t h e s i s ) . Hence
w e r e s t a t e t h e Extended P r o j e c t i o n P r i n c i p l e ( c f . ( 2 3 ) ) a s
f o l l o w s :
( 5 5 ) I f E*. th-marks -- d i r e c t l y o r i n d i r e c t l y -- i n 5 a t Li ( c f . t h e c o n f i g u r a t i o n i n ( 9 ) ) o r i f o( m o d i f i e s 8
i n ]I a t Li (cf. t h e c o n f i g u r a t i o n i n ( 5 2 ) 1 , it d o e s also
L e t u s now t u r n t o t h e r e l a t i o n between t h e Adverb and
t h e Noun P h r a s e (argument o f t h e c l a u s e ) . To i l l u s t r a t e ,
consider J a c k e n d o f f ' s example:
( 5 6 ) V o l u n t a r i l y , John r o l l e d down t h e h i l l .
(56) i m p l i e s ( 5 7 ) :
(57) John i n t e n d e d t o r o l l down t h e h i l l and John
r o l l e d down t h e h i l l .
John i s a s s i g n e d a t h - r o l e by r o l l and a t h - r o l e by volun-
t a r i l y . The argument John t h e n b e a r s two t h - r o l e s . T h i s
i m p l i e s t h a t t h e t h - r o l e a s s i g n e d by t h e Adverb i s i n v i s i b l e
f o r t h e T h - C r i t e r i o n . W e s h a l l r e f e r t o t h e t h - r o l e a s s i g n e d
by a d j u n c t - p r e d i c a t e Adverbs a s a d j u n c t t h - r o l e and t o t h e
t h - r o l e a s s i g n e d by l e x i c a l heads ( N , V , A , P) and VP a s
argument t h - r o l e . S i n c e t h e T h - C r i t e r i o n a p p l i e s o n l y t o
argument t h - r o l e s , w e r e s t a t e ( 4 4 ) a s f o l l o w s :
( 5 8 ) The Argument T h - C r i t e r i o n
Each c h a i n must c o n t a i n one and o n l y one argument and
must b e a r one and o n l y one argument t h - r o l e .
Each a r y u q e n t t h - r o l e must be a s s i g n e d t o one and o n l y
one c h a i n .
Jackendoff n o t i c e s t h a t t h e r e i s a d i f f e r e n c e i n meaning
between t h e a c t i v e and p a s s i v e s e n t e n c e s c o n t a i n i n g S u S j e c t -
O r i e n t e d Adverbs.
( 5 9 ) a- The d o c t o r c l e v e r l y h a s examined John.
b- John c l e v e r l y has been examined by t h e d o c t o r .
(60) a- The p o l i c e c a r e l e s s l y h a s a r r e s t e d Fred .
b- Fred carelessly has been a r r e s t e d by t h e p o l i c e .
(61) a- J o e i n t e n t i o n a l l y h a s seduced Mary.
b- Mary i n t e n t i o n a l l y h a s been seduced by J o e .
The c l e v e r n e s s o r c a r e l e s s n e s s o r i n t e n t i o n i s a t t r i b u t e d t o
t h e s u r f a c e s u b j e c t . Th i s shows t h a t t h e Adverb - Noun
P h r a s e r e l a t i o n i s n o t d e f i n e d a c r o s s a l l l e v e l s o f r ep re -
s e n t a t i o n . The Adverb - argument r e l a t i o n i s e s t a b l i s h e d a t
S-S and/or LF. I f t h e r e l a t i o n h o l d s bo th a t S-S and L F , it
would be somewhat unusua l t h a t it d i d n o t ho ld a l s o a t D-S.
L e t u s t h e n assume t h a t an a d j u n c t - p r e d i c a t e Adverb a s s i g n s
a t h - r o l e o n l y a t LF. Note t h a t t h i s p r o p e r t y of a d j u n c t
t h - r o l e s i s c o h e r e n t w i t h t h e p r o p e r t y e s t a b l i s h e d above:
namely, t h a t a d j u n c t t h - r o l e s are i n v i s i b l e f o r t h e Argument
Th -Cr i t e r i on , which, r e c a l 1 , a p p l i e s a t a l l l e v e l s o f r e p r e -
s e n t a t i o n .
Jackendof f n o t i c e s t h a t VP-manner Adve rb i a l s -- u n l i k e
the Sub jec t -Or i en t ed Adve rb i a l s -- do n o t e x h i b i t a change
of meaning under t h e p a s s i v e . They a t t r i b u t e a manner t o t h e
s u b j e c t i n t h e a c t i v e o r t o t h e %-phrase i n t h e p a s s i v e .
( 6 2 ) a- The d o c t o r examined John c a r e f u l l y .
b- John w a s examined c a r e f u l l y by t h e d o c t o r .
(63) a- The p o l i c e a r r e s t e d F r e d c a r e l e s s l y .
b- F r e d was a r r e s t e d c a r e l e s s l y by t h e p o l i c e .
( 6 4 ) a- J o e s e d u c e d Mary i n t e n t i o n a l l y .
b- Mary was seduced i n t e n t i o n a l l y by J o e .
( C a r e f u l l y , c a r e l e s s l y , i n t e n . t i o n a l l y f u n c t i o n a s S u b j e c t -
O r i e n t e d Adverbs when i n t h e scope o f S . C f . ( 4 8 ) a ( i ) , (60),
( 6 1 ) . They f u n c t i o n a s manner A d v e r b i a l s when i n t h e scope
of VP. Cf. (62)-(64). A s e x p e c t e d , t h e y a r e ambiguous when
t h e y are i n between Aux and t h e VP. Cf. f o r example: John
w a s i n t e n t i o n a l l y examined by t h e d o c t o r . )
Adverbs -- l i k e o t h e r p r e d i c a t e s -- impose s e l e c t i o n a l
r e s t r i c t i o n s on t h e i r a rguments . C a r e f u l l y , c a r e l e s s l y ,
i n t e n t i o n a l l y , a s w e l l a s v o l u n t a r i l y , a s s i g n a n a g e n t r o l e .
Hence t h e y c a n n o t select an ARGUMENT which c a n n o t b e a r an
a g e n t t h - r o l e .
( 6 5 ) *a- Intentionally/voluntarily, t h e rock r o l l e d down
t h e h i l l .
*b- C a r e f u l l y / c a r e l e s s l y , t h e g l a s s b r o k e .
*c- The b o a t sank c a r e f u l l y / c a r e l e s s l y .
*d- The bomb exp loded intentionally/voluntarily.
T h i s shows o n c e more that t h e r e i s a s e m a n t i c r e l a t i o n between
t h e Adverb and a n argument o f t h e c l a u s e .
But n o t e t h a t t h e by-phrase i n ( 6 2 ) b , (63) b , and ( 6 4 ) b
may be a b s e n t :
(66) John was examined c a r e f u l l y .
(67) Fred was a r r e s t e d c a r e l e s s l y .
( 6 8 ) Mary was seduced i n t e n t i o n a l l y .
As i n ( 6 2 ) b , ( 6 3 ) b , and ( 6 4 ) b , ( 6 6 ) - ( 6 8 ) imply t h a t t h e a g e n t
( i .e . t h e unders tood a g e n t i n t h e l a t t e r c a s e ) of examine,
a r r e s t , and seduce i s c a r e f u l , c a r e l e s s o r had an i n t e n t i o n .
This means t h a t VP-manner a d v e r b i a l s do n o t a s s i g n an a d j u n c t
t h - r o l e t o a s y n t a c t i c p o s i t i o n . I n s t e a d , t h e Manner Adverb's
t h - r o l e i s combined w i t h t h e agen t t h - r o l e of t h e ve rb , which
may be r e a l i z e d e i t h e r a s t h e e x t e r n a l argument a s i n ( 6 2 ) a ,
( 6 3 ) a , (64)a, a s an i n t e r n a l argument a s i n ( 6 2 ) b , ( 6 3 ) b ,
(64)b o r it may n o t be r e a l i z e d a t a l l a s i n ( 6 6 ) , ( 6 7 ) ,
(68) .5 Hopeful ly , t h e f a c t t h a t S-Adverbs1 t a r g e t i s t h e
s u b j e c t p o s i t i o n and t h e VP-Adverbs' t a r g e t i s t h e Verb ' s
Agent argument t h - r o l e w i l l f o l l ow from independent cons idera -
t i o n s . A t p r e s e n t , we have no i l l u m i n a t i n g sugges t ion t o
make.
F i n a l l y , n o t e t h a t t h e ungramrnaticali ty o f (65)a-d shows
t h a t a d j u n c t t h - r o l e s must be a s s igned . Hence, we s u g g e s t
t h a t t h e fo l lowing well-formedness c r i t e r i o n f o r a d j u n c t
t h - r o l e s a p p l i e s a t LF:
(69) The Adjunc t Th-Cri t e r i o n
An a d j u n c t t h - r o l e must b e combined w i t h a n argument
t h - r o l e .
To summarize, w e have e s t a b l i s h e d t h r e e t y p e s of s e m a n t i c
r e l a t i o n s :
1. argument t h - r e l a t i o n s d e f i n e d i n ( 9 )
2 . m o d i f i c a t i o n r e l a t i o n s d e f i n e d i n ( 5 2 )
3 . a d j u n c t t h - r e l a t i o n s
The f i r s t t y p e o f s e m a n t i c r e l a t i o n s i s induced by argument-
t a k i n g p r e d i c a t e s . The second t y p e o f s e m a n t i c r e l a t i o n s i s
i n d u c e d by a d j u n c t - p r e d i c a t e s . The d i f f e r e n c e between t h e
two d o e s n o t l i e i n t h e c o n t e n t . F o r example, c e r t a i n i n It
i s c e r t a i n t h a t John w i l l come and c e r t a i n l y i n C e r t a i n l y ,
John w i l l come do n o t d i f f e r i n meaning. L ikewise , b e a u t i f u l
i n t h e b e a u t i f u l p a i n t i n g and t h e p a i n t i n g i s b e a u t i f u l have
e x a c t l y t h e same The d i f f e r e n c e between t h e r e l a -
t i o n of m o d i f i c a t i o n and t h e argument t h - r e l a t i o n l i e s i n how
t h e y a r e f o r m a l l y r e a l i z e d . Semant ic r e l a t i o n s a r e d i r e c t i o n a l
and t h e d i r e c t i o n i s d i f f e r e n t i n t h e two c a s e s . The r e l a t i o n
of m o d i f i c a t i o n d e f i n e d i n a domain 8 i s a r e l a t i o n from a
non-head o f t o a p r o j e c t i o n o f t h e head o f $ . The argu-
ment t h - r e l a t i o n d e f i n e d i n a domain ij i s a r e l a t i o n from t h e
head o f t o a non-head o f ' d m B e s i d e s h a v i n g a r e l a t i o n w i t h a n S o r VP, c e r t a i n c l a s s e s
af Adverbs a l s o have a r e l a t i o n w i t h an argument c o n t a i n e d i n
t h e modi f i ed S o r VP. T h i s i s t h e t h i r d t y p e o f s e m a n t i c
r e l a t i o n , which we r e f e r t o a s a d j u n c t t h - r e l a t i o n . Unlike
argument t h - r e l a t i o n s , a d j u n c t t h - r e l a t i o n s need t o be s a t i s -
f i e d at LF o n l y . And hence, as expec ted , a d j u n c t t h - r o l e s
are i n v i s i b l e f o r t h e Argument Th-Cr i te r ion which, r e c a l l ,
a p p l i e s a t eve ry s y n t a c t i c l e v e l .
F o o t n o t e s t o C h a p t e r 1
1) When t h e " i n t e r n a l i z e d " e x t e r n a l t h - r o l e is n o t r e a l i z e d
i n a %-phrase, it i s s t i l l p r e s e n t a t LF as shown by t h e
f o l l o w i n g c o n t r a s t ( p o i n t e d o u t by Manzini 1980 and Marantz
1 9 8 1 ) .
a . The f a c t o r y was b u r n t t o c o l l e c t t h e i n s u r a n c e .
*b. The f a c t o r y b u r n t t o c o l l e c t t h e i n s u r a n c e .
I n t h e p a s s i v e c o n s t r u c t i o n t h e n o n - r e a l i z e d a g e n t o f b u r n
c o n t r o l s t h e s u b j e c t o f c o l l e c t . I n t h e a n t i - c a u s a t i v e
c o n s t r u c t i o n b u r n h a s no e x t e r n a l a g e n t t h - r o l e . Hence, - t h e r e i s no a g e n t i v e argument t o c o n t r o l t h e s u b j e c t o f c o l l e c t
and t h e s e n t e n c e i s r u l e d o u t a t LF. S t r i c t l y s p e a k i n g , t h e
p a s s i v e c o n s t r u c t i o n w i t h no a - p h r a s e i s a v i o l a t i o n o f t h e
T h - C r i t e r i o n g i v e n i n ( 2 7 ) . But s e e f . n . 7 i n Chap te r 111.
2 ) Note t h a t a n o t h e r p l a u s i b l e h y p o t h e s i s i s t h a t p a s s i v e
morphology d o e s n o t a l t e r t h e argument s t r u c t u r e o f a v e r b .
I t s imply b l o c k s t h e mapging o f t h e e x t e r n a l argument o n t o
s u b j e c t p o s i t i o n . The e x t e r n a l argument i s o p t i o n a l l y r e a l i z e d
i n a &-phrase a d j o i n e d t o t h e VP (i . e . , it i s s t i l l " e x t e r n a l "
t o t h e VP). Cf. Marantz 1981, Chomsky 1981a. See Chap te r I V
f o r a rguments i n f a v o r o f t h e " i n t e r n a l i z a t i o n " h y p o t h e s i s .
3 ) S-Adverbs may o c c u r i n i t i a l l y , b e f o r e and a f t e r t h e
a u x i l i a r y , and f i n a l l y . VP-Adverbs o c c u r b e f o r e t h e v e r b ,
f i n a l l y , and a t v a r i o u s p l a c e s i n between. Adverbs may n o t
a p p e a r between t h e v e r b and i t s d i r e c t o b j e c t i n E n g l i s h .
T h i s i s p r o b a b l y due t o a n i n d e p e n d e n t r e a s o n : t h e a d j a c e n c y
c o n d i t i o n on case -ass ignment ( c f . S t o w e l l 1981) .
4 ) R e c a l l t h a t i n E n g l i s h Adverbs c a n n o t o c c u r between a
v e r b and i t s o b j e c t . T h i s means t h a t i n E n g l i s h t h e a c t u a l
s t r u c t u r e i s r e l e v a n t t o case -ass ignment i f S t o w e l l 1981 i s
correct. Cf . f o o t n o t e 3 .
5 ) The f a c t s i n ( 6 6 ) - ( 6 8 ) c o n s t i t u t e f u r t h e r e v i d e n c e t h a t
when t h e " i n t e r n a l i z e d " e x t e r n a l t h - r o l e i s n o t r e a l i z e d i n
a &-phrase , it i s s t i l l p r e s e n t a t LF. Cf. f o o t n o t e 1.
6 ) A d j e c t i v e s s t a t e an a t t r i b u t e o f t h e t a r g e t noun. But
as i s well-known, when an a d j e c t i v e f u n c t i o n s a s a m o d i f i e r
it may s e r v e t o f i x t h e r e f e r e n c e o f t h e noun. T h i s i s n o t
due t o an i n t r i n s i c p r o p e r t y o f t h e a d j e c t i v e b u t t o t h e
r e f e r e n t i a l p r o p e r t y o f t h e noun. Thus, i n one r e a d i n g t h e - b e a u t i f u l p a i n t i n g i s synonymous t o t h e p a i n t i n g i s b e a u t i f u l
( t h e " p u r e " a t t r i b u t i v e mean ing) . I n a n o t h e r r e a d i n g b e a u t i f u l
n o t o n l y s t a t e s an a t t r i b u t e of p a i n t i n g , it f u r t h e r m o r e s e r v e s
t o f i x t h e r e f e r e n c e o f p a i n t i n g ( i . e . , which p a i n t i n g among
t h e s e t o f p a i n t i n g s t h e N P r e f e r s t o ) .
C h a p t e r I1 : External-ARGUMENTS: argument- a n d a d j u n c t - s u b jects
I n t h i s c h a p t e r w e w i l l a r g u e t h a t t h e r e a r e p r e d i c a t e s
which a s s i g n e i t h e r an argument t h - r o l e o r an a d j u n c t t h - r o l e
t o t h e s u b j e c t p o s i t i o n . S t i l l , t h e r e a r e o t h e r s t h a t o b l i -
g a t o r i l y a s s i g n an a d j u n c t t h - r o l e t o t h e s u b j e c t . Note t h a t
the p r o p e r t y o f s u b j e c t s t o be e i t h e r an argument t h - p o s i t i o n
o r a n a d j u n c t t h - p o s i t i o n i s n o t t o o s u r p r i s i n g s i n c e t h e
s u b j e c t , u n l i k e t h e o b j e c t , i s n o t a s u b c a t e g o r i z e d p o s i t i o n
as w e have s e e n i n 1.1. W e w i l l f u r t h e r m o r e s u g g e s t t h a t the
l e x i c a l p r o p e r t y o f a c l a s s o f p r e d i c a t e s t o t a k e a n a d j u n c t
external-ARGUMENT have i m p l i c a t i o n s f o r t h e typo logy o f
non-over t NPs.
11.1 C o n t r o l and R a i s i n a Verbs: Some d i f f e r e n c e s .
There a r e some well-known and some less well-known
d i f f e r e n c e s between s t r u c t u r e s o f t y p e 2 ( r a i s i n g s t r u c t u r e s )
and s t r u c t u r e s o f t y p e 1 ( c o n t r o l s t r u c t u r e s ) .
(1) a- P e t e r d e c i d e d [ e t o l e a v e 1
b- T e t e r t r i e d [ e t o l e a v e 1
( 2 ) a- P e t e r seems [ e t o b e s i c k 1
b- P e t e r i s l i k e l y [ e t o be s i c k 1
1.1 The d i s t r i b u t i o n of e x p l e t i v e s and id ioms
An e x p l e t i v e may a p p e a r i n t h e m a t r i x s u b j e c t p o s i t i o n
o f ( 2 ) b u t n o t o f (1) .
( 3 ) * a- I t d e c i d e d t o b e o b v i o u s t h a t Peter had a l r e a d y l e f t . - * b- I t t r i e d t o t u r n o u t t h a t P e t e r had a l r e a d y l e f t . -
( 4 ) a- - I t seemed t o b e o b v i o u s t h a t P e t e r had a l r e a d y l e f t .
b- I t was l i k e l y t o t u r n o u t t h a t P e t e r had a l r e a d y l e f t . -
O b j e c t s o f id ioms may a p p e a r a s t h e s u r f a c e s u b j e c t
of i 2 ) b u t n o t a s t h e s u r f a c e s u b j e c t o f (1).
(5) * a- Headway d e c i d e d t o be made.
* b- Tabs t r i e d t o be k e p t on John . -
(6 a- Headway seems t o have been made.
b- Tabs a r e l i k e l y t o b e k e p t on John . - The c o n t r a s t between ( 3 ) and ( 4 ) and between ( 5 )
and ( 6 ) i s r e l a t e d t o t h e f a c t t h a t v e r b s i n (1) and v e r b s i n
( 2 ) have a d i f f e r e n t l e x i c a l p r o p e r t y : t h e v e r b s i n (1)
a s s i g n an argument t h - r o l e t o t h e s u b j e c t a s a l e x i c a l p ro -
p e r t y whereas t h o s e i n ( 2 ) do n o t . A s w e have s e e n i n Chap te r
I , g i v e n t h i s l e x i c a l d i f f e r e n c e between t h e v e r b s i n ( 2 )
and t h e v e r b s i n (1) i t f o l l o w s from t h e Argument T h - C r i t e r i o n
t h a t a n e x p l e t i v e may a p p e a r i n t h e s u b j e c t p o s i t i o n o f t h e
former b u t n o t i n t h e s u b j e c t p o s i t i o n o f t h e l a t t e r . Like-
w i s e , g i v e n t h e l e x i c a l d i f f e r e n c e between t h e v e r b s i n (1)
and t h e v e r b s i n ( 2 ) , it f o l l o w s from t h e Extended P r o j e c t i o n
P r i n c i p l e t h a t an argument i n t h e m a t r i x s u b j e c t p o s i t i o n i n
a r a i s i n g c o n s t r u c t i o n b u t n o t i n a c o n t r o l c o n s t r u c t i o n i s
t h e D - S t r u c t u r e s u b j e c t o f t h e v e r b i n t h e embedded c l a u s e .
I n e f f e c t , i n (2) P e t e r i s n o t t h e D - S t r u c t u r e s u b j e c t o f
seem/is l i k e l y and i n (1) P e t e r i s t h e D - S t r u c t u r e s u b j e c t o f
d e c i d e / t r y . I n ( 2 ) b u t n o t i n (1) P e t e r h a s been moved from
t h e embedded s u b j e c t p o s i t i o n i n t o t h e m a t r i x s u b j e c t p o s i t i o n .
Recall t h a t t h e o b j e c t of id ioms may o n l y a p p e a r i n o b j e c t
p o s i t i o n a t D-S t ruc tu re ( c f . s e c t i o n 1.1.). Hence, t h e o b j e c t
of id ioms can o n l y s e r v e as a n t e c e d e n t t o a p o s i t i o n f rom
which it h a s been moved. T h i s e x p l a i n s t h e c o n t r a s t between
(5) a-b and ( 6 ) a-b. The D - S t r u c t u r e s o f ( 2 ) a - b and ( 6 ) a - b are
then ( 7 ) a-b and ( 8 ) a-b r e s p e c t i v e l y . They are mapped o n t o
S - S t r u c t u r e s ( 9 ) a - b and ( 1 0 ) a-b v i a Move q .
[ e ] seems Is Peter t o be s i c k I ]
is l i k e l y IS Peter t o b e s i c k
( 8 ) a- [S [ e I seems [ [ e I t o have been made headway I ] S
b- IS [ e 1 a r e l i k e l y l S [ e I t o be k e p t t a b s on John I ]
( 9 ) a- [ P e t e r i seems [ L e l i t o be s i c k 1 1 S S
b- [ S P e t e r i i s l i k e 1 I S [ e l i t o b e s i c k 1 1
(10) a- [S Headwayi seems [ S [ e l i t o have been made [el i 1 1
b- [, Tabs a r e l i k e l y L S [el t o b e k e p t [el on John ] ] i
The m a t r i x and embedded s u b j e c t p o s i t i o n s a r e t h e n members o f
one same t h - c h a i n i n t h e r a i s i n g c o n s t r u c t i o n w h i l e t h e m a t r i x
and embedded s u b j e c t p o s i t i o n s i n t h e c o n t r o l c o n s t r u c t i o n
c o n s t i t u t e two i n d e p e n d e n t t h - c h a i n s .
1 . 2 The d i s t r i b u t i o n o f t h e pronoun qa
The d i s t r i b u t i o n o f t h e pronoun i n French , l i k e t h e
i d i o m - f a c t s d i s c u s s e d above , s h o w s t h a t a n argument i n t h e
m a t r i x s u b j e c t p o s i t i o n i n t h e r a i s i n g c o n s t r u c t i o n i s s e l e c t e d
by t h e v e r b i n t h e embedded c l a u s e .
As w e have s e e n i n C h a p t e r I t h e pronoun may o n l y
a p p e a r i n argument p o s i t i o n . I t may r e f e r t o a p r o p o s i t i o n .
Thus, it can a p p e a r a s t h e s u b j e c t o f e n n u y e r , i m p r e s s i o n e r
b u t n o t a s t h e s u b j e c t o f s e m h l e r , s ' a v g r e r .
(11) a- Que J e a n p a r t e m'ennuie /m' impress ionne . ( T h a t John l e f t boLhers / impresses m e . )
b- m'ennu ie /m ' impress ionne que J e a n p a r t e .
*c- I1 m'ennuie /m' impress ionne que J e a n p a r t e . -
( 1 2 ) *a- Que J e a n e s t p a r t i sernble /s l a v z r e .
*b- s e m b l e / s ' a v a r e , que J e a n e s t p a r t i .
c- I1 s e r n b l e / s ' a v s r e que J e a n e s t p a r t i . - ( I t seems / tu rns o u t t h a t John l e f t . )
A s e x p e c t e d , i f a v e r b w i t h a p r o p o s i t i o n a l s u b j e c t i s embedded
u n d e r sembler ( s 1 a v 6 r e r ... 1 , t h e n can apppear i n t h e s u b j e c t
p o s i t i o n o f s e m b l e r ( s ' a v g r e r . . . ) .
(13) a- Que P i e r r e p a r t e semble t ' e n n u y e r .
( T h a t P e t e r l e a v e seems t o b o t h e r y o u . )
b- @ semble t ' e n n u y e r , que P i e r r e p a r t e .
Note that both and the expletive il can appear in the -
subject position of predicative adjectives: possible, proba-
ble, - 6vident . . .
(14) a- Que Jean ait 2 partir est possible/probable/~vident.
(That John has to leave is possible/probable/obvious.)
b- C' est possible/probable/~vident, que Jean ait 2 - partir.
c- - I1 est possible/probable/~vident que Jean ait 2
partir .
This means that predicate Adjectives, unlike Verbs, may assign
an argument th-role either internally or externally. In
effect, (14)b and (14)c do not have the same structure. In
(14)b que S is in dislocated position and in (14)c it is in
complement position. This is shown by the following fact:
wh-extraction is possible from (14)c but not from (14)b.
(15) a- Qui est-il 6~ident/~ossible/~robable que Jean ait vu?
(Who is it obvious/possible/probable that John saw?)
*b- ~ui( est-ce cela est-il 6vident/possible/probable, que Jean
ai t vu?
(In English (14) b and (14) c cannot be distinguished because
in English the referential pronoun that corresponds to French
and the expletive pronoun have the same morphological form:
it.) -
May 1 9 7 7 has p o i n t e d o u t t h a t a q u a n t i f i e r i n t h e ma t r ix
subject p o s i t i o n i n a c o n t r o l s t r u c t u r e may on ly have wide
scope with r e s p e c t t o t h e m a t r i x p r e d i c a t e b u t i n a r a i s i n g
s t r u c t u r e it may a l s o have narrow scope.
(16) Nobody t r i e d t o l e a v e .
(17) Nobody seemed t o have l e f t .
I n e f f e c t , (18) i s a c o n t r a d i c t i o n b u t ( 1 9 ) i s n o t .
(18) Nobody t r i e d t o l eave b u t somebody t r i e d t o l eave .
Nobody seems t o have l e f t b u t somebody seems t o
have l e f t . ( 1 9 ) may be t r a n s l a t e d a s fo l lows :
(20) ( V x (x does n o t seem t o have l e f t ) ) b u t
(seems ( 3 x (x have l e f t ) ) )
I n t h e f i r s t p a r t of ( 2 0 ) -- b u t n o t i n t h e second p a r t -- seem i s p r e d i c a t e d o f x : i .e. , i n the f i r s t p a r t seem has
narrow scope , i n t he second p a r t seem has wide scope.
Likewise , a q u a n t i f i e r i n t h e embedded c l a u s e o f a rai-
s i n g c o n s t r u c t i o n may have scope o v e r t h e ma t r ix s u r f a c e
s u b j e c t . Thus, s en t ence ( 2 1 ) i s three-ways ambiguous a s shown
i n ( 2 2 ) .
Some p o l i t i c i a n i s l i k e l y t o a d d r e s s e v e r y r a l l y
i n J o h n ' s d i s t r i c t .
( 2 2 ) a- There i s a p o l i t i c i a n , e . g . R o c k e f e l l e r , who i s
l i k e l y t o a d d r e s s a l l o f t h e ra l l ies i n J o h n ' s d i s -
t r i c t .
b- It i s l i k e l y t h a t t h e r e i s some p o l i t i c i a n ( o r o t h e r )
who w i l l a d d r e s s a l l of t h e ra l l ies .
c- I t i s l i k e l y t h a t f o r e a c h o f t h e ra l l i es , t h e r e is
some p o l i t i c i a n who w i l l a d d r e s s i t ( i . e . , t h e r e
may b e a d i f f e r e n t p o l i t i c i a n f o r e a c h r a l l y . )
On t h e o t h e r hand , i n a c o n t r o l s t r u c t u r e " t h e m a t r i x q u a n t i -
f i e r i s a lways c o n s t r u e d a s h a v i n g scope w i d e r t h a n t h e q u a n t i -
f i e r i n t h e complement c l a u s e . " (May 1977, p . 201) . Thus,
(23) is unambiguous.
(23) Some p o l i t i c i a n d e c i d e d t o a d d r e s s e v e r y r a l l y i n
J o h n ' s d i s t r i c t .
I n o r d e r t o r e p r e s e n t t h e scope o f q u a n t i f i e r s , May 1977
s u g g e s t e d a r u l e o f Q u a n t i f i e r R a i s i n g (QR) which a d j o i n s a
q u a n t i f i e r t o S i n LF. Thus t h e ambigu i ty o f ( 2 4 ) a i s r e p r e -
s e n t e d a s i n (24)b and ( 2 4 ) c :
( 2 4 ) a- Some p o l i t i c i a n w i l l a d d r e s s e v e r y r a l l y i n J o h n ' s
d i s t r i c t .
b- IS Some p o l i t i c i a n ] [ [ eve ry r a l l y i n J o h n ' s s e
d i s t r i c t ]
L S O( w i l l add re s s 4 I ] 1
c- I [ every r a l l y i n J o h n ' s d i s t r i c t ] IS l o : some Q p o l i t i c a n l IS q w i l l add re s s p ] ] ]
I n ( 2 4 ) b p i s i n t h e scope o f r r : i . e . , t h e r e f e r e n c e of p
i s dependent upon t h e r e f e r e n c e o f or . I n ( 2 4 ) c t h e r e v e r s e
i s t r u e . o< i s i n t h e scope of 8: i . e . , t h e r e f e r e n c e of oc
i s dependent upon t h e r e f e r e n c e of p . The r u l e o f QR is clause-bounded. Hence sen t ence 23,
r e p e a t e d a s (25 ) a, i s unambiguous. I t cannot have represen-
t a t i o n ( 2 5 ) c f o r example. I t may on ly have r e p r e s e n t a t i o n
( 2 5 ) b i n which p has narrow scope.
(25) a- Some p o l i t i c i a n dec ided t o a d d r e s s every r a l l y i n
J o h n ' s d i s t r i c t .
b- IS I, Some p o l i t i c i a n ] [ s c* dec ided I, [ P every
r a l l y i n J o h n ' s d i s t r i c t l [ NP* t o add res s p ] ] ] ] S
*c- IS lQ every r a l l y i n J o h n ' s d i s t r i c t ] [S lc<Some
p o l i t i c a n l [ o: dec ided IS NP* t o add res s g 1 1 I ] s
But r e c a l l t h a t r a i s i n g cons t ruc t ions l i k e (17) and ( 2 1 )
a r e ambiguous. To account f o r t h e narrow scope i n t e r p r e t a -
t i o n o f (17 ) and f o r t h e i n t e r p r e t a t i o n s ( 2 2 ) b and ( 2 2 ) c of
( 2 1 ) , May proposes a r u l e o f Q u a n t i f i e r Lowering (QL). QL
p u t s a q u a n t i f i e d NP back i n i t s D-Structure p o s i t i o n and i t
is then r a i s e d by QR. The wide-scope i n t e r p r e t a t i o n o f (17)
cor responds t o r e p r e s e n t a t i o n ( 2 6 ) b -- where QL has n o t
a p p l i e d -- and t h e narrow scope i n t e r p r e t a t i o n of (17) c o r r e s -
ponds t o r e p r e s e n t a t i o n ( 2 6 ) c -- where QL has a p p l i e d .
(26) a- Nobody seemed t o have l e f t . (= ( 1 7 ) )
b- [, [, Nobody 1 I S w seemed t o have l e f t ] ]
c- ISuseemed L S [ M N ~ b o d y l [ S N P * t o have l e f t ] ] ]
I n t e r p r e t a t i o n ( 2 2 ) a corresponds t o r e p r e s e n t a t i o n ( 2 7 ) b .
I n t e r p r e t a t i o n s (22) b and ( 2 2 ) c correspond t o r e p r e s e n t a t i o n s
( 2 7 ) c and ( 2 7 ) d r e s p e c t i v e l y .
(27) a- Some p o l i t i c i a n i s l i k e l y t o add res s every r a l l y
i n J o h n ' s d i s t r i c t . (= ( 2 1 ) )
b- [ S I, Some p o l i t i c i a n ] [S or i s l i k e l y [ S g eve ry
r a l l y i n J o h n ' s d i s t r i c t l L S NP* t o add res s pill]
C- lS oc i s l i k e l y t S L, some p o l i t i c i a n ] [S [ + every
r a l l y i n J o h n ' s d i s t r i c t l [ NP* a d d r e s s p l111 S
d- Is ol i s l i k e l y IS [ p eve ry r a l l y i n J o h n ' s d i s t r i c t ]
[s some p o l i t i c i a n ] [ NP* t o add res s 1 I ] 1 s 6
May a t t r i b u t e s t h e i m p o s s i b i l i t y o f QL i n c o n t r o l cons t ruc-
t i o n s (cf. ( 1 6 ) , ( 2 3 ) ) t o t h e fo l lowing well-formedness
c o n d i t i o n :
11' , ""I' "
Every v a r i a b l e i n a n argument p o s i t i o n o f a p r e d i -
cate must b e c-commanded by a n a n t e c e d e n t .
S i n c e t h e s u b j e c t o f a c o n t r o l v e r b i s an argument p o s i t i o n ,
a v a r i a b l e i n t h i s p o s i t i o n must b e c-commanded by an a n t e -
c e d e n t . Hence, a q u a n t i f i e d s u b j e c t o f a c o n t r o l v e r b must
b e moved t o a p o s i t i o n which c-commands i t s t r a c e : i . e . , it
may b e r a i s e d b u t n o t lowered.
Bu t QL e n c o u n t e r s some d i f f i c u l t i e s . Namely, it makes
a wrong p r e d i c t i o n w i t h r e s p e c t t o t h e scope o f n e g a t i o n .
L ike Adverbs, t h e n e g a t i v e l e x i c a l i t e m - n o t may have scope
o v e r VP o r o v e r S . l ~ h u s ( 2 9 ) a i s ambiguous. I t may have
i n t e r p r e t a t i o n ( 2 9 ) b (where - n o t m o d i f i e s t h e VP) o r i n t e r p r e -
t a t i o n ( 2 9 ) c (where - n o t m o d i f i e s S and c o n s e q u e n t l y t h e sub-
ject o f S ) .
( 2 9 ) a- Everyone w i l l n o t come.
b- ( x (X w i l l n o t come))
c- Not ( x ( x w i l l come) ) ( i .e . , Only some w i l l come) .
But ( 3 0 ) a i s n o t ambiguous c o n t r a r y t o what QL p r e d i c t s ( c f .
( 3 0 ) b ) . ( T h i s f a c t w a s b r o u g h t t o my a t t e n t i o n by N . Chomsky. )
( 3 0 ) a- Everyone i s l i k e l y n o t t o come.
i s l i k e l y [ everyone. I a 1
t o cdme I 1 1
( 3 0 ) a does n o t have t h e i n t e r p r e t a t i o n : I t i s l i k e l y t h a t n o t
eve ryone w i l l come. Not may n o t have s c o p e o v e r eve ryone . 2 - I n any case, w h a t e v e r t h e c o r r e c t r e p r e s e n t a t i o n o f quan-
t i f iers ' s c o p e i n r a i s i n g c o n s t r u c t i o n s t u r n o u t t o b e , May's
i n t u i t i o n remains . I n e f f e c t , t h e s c o p e ambigu i ty i n t h e s e
c o n s t r u c t i o n s i s due t o t h e f a c t t h a t t h e m a t r i x s u b j e c t
p o s i t i o n i s n o t a t h - p o s i t i o n and i s a member o f t h e s a m e t h -
c h a i n t h a t t h e embedded s u b j e c t i s . T h i s c o n s t i t u t e s t h e
b a s i s f o r some s o r t o f r e c o n s t r u c t i o n .
Another example , f o r m a l l y s i m i l a r t o t h e o n e s d i s c u s s e d
above, t h a t i l l u s t r a t e s t h e d i f f e r e n c e between a c o n t r o l and
a r a i s i n g c o n s t r u c t i o n i s g i v e n i n B u r z i o 1981. Compare ( 3 1 ) a
and (31)b.
(31) a- One i n t e r p r e t e r e a c h seems t o have been a s s i g n e d
t o t h e v i s i t i n g d i p l o m a t s .
*b- One i n t e r p r e t e r e a c h t r i e d t o b e a s s i g n e d t o t h e
v i s i t i n g d i p l o m a t s .
B u r z i o a l s o p o i n t s o u t t h e c o n t r a s t between ( 3 2 ) a and
( 3 2 ) b a n d between ( 3 3 ) a and ( 3 3 ) b .
( 3 2 ) a- They a s s i g n e d one i n t e r p r e t e r e a c h t o t h e v i s i t i n g
d i p l o m a t s .
*b- They s e n t one i n t e r p r e t e r each w i t h t h e v i s i t o r s .
( 3 3 ) a- One i n t e r p r e t e r e a c h was a s s i g n e d t o t h e v i s i t i n g
d i p l o m a t s .
*b- One i n t e r p r e t e r e a c h t a l k e d t o t h e v i s i t o r s .
From t h e s e f a c t s B u r z i o c o n c l u d e s t h a t e a c h i n t h e one N e a c h
c o n s t r u c t i o n behaves as a n anaphor a t LF. H e p r o p o s e s t h a t
t h e o u t p u t o f t h e r u l e which a s s i g n s -- by c o i n d e x i n g -- a
p l u r a l a n t e c e d e n t t o e a c h i s s u b j e c t t o t h e Bind ing C o n d i t i o n s .
C f . , 11.4.1 f o r a d i s c u s s i o n o f t h e Bind ing Theory . T h i s means
t h a t a t LF e a c h must b e c-commanded by i t s p l u r a l a n t e c e d e n t .
T h i s r e q u i r e m e n t i s f u l f i l l e d i n ( 3 2 ) a ( c o n s i d e r i n g t o t o be a -
case-marker) b u t n o t i n ( 3 2 ) b s i n c e t h e a n t e c e d e n t t h e v i s i t o r s
i s c o n t a i n e d i n a P r e p o s i t i o n a l P h r a s e . Nor i s t h e c-command
r e q u i r e m e n t f u l f i l l e d i n (33) b . On t h e o t h e r hand, i n t h e
p a s s i v e s e n t e n c e ( 3 3 ) a t h e s u b j e c t and o b j e c t p o s i t i o n s a r e
part o f t h e same t h - c h a i n , which a l l o w s f o r some k i n d o f recon-
s t r u c t i o n t o t a k e p l a c e and t h e c-command r e q u i r e m e n t t o b e
f u l f i l l e d . S i m i l a r l y i n t h e r a i s i n g s e n t e n c e ( 3 1 ) a -- b u t n o t
i n t h e c o n t r o l s e n t e n c e ( 3 1 ) b -- t h e m a t r i x s u b j e c t , t h e
embedded s u b j e c t , and t h e embedded o b j e c t p o s i t i o n s a r e mem-
b e r s o f t h e same t h - c h a i n . Consequen t ly , i n ( 3 1 ) a b u t n o t i n
( 3 1 ) b t h e c-command r e q u i r e m e n t may b e f u l f i l l e d v i a recon-
s t r u c t i o n .
But t h e r e i s a n o t h e r p r o p e r t y o f t h e one N e a c h c o n s t r u c -
t i o n which must be a c c o u n t e d f o r and which p r o b a b l y i s a l s o
a t t h e b a s i s of t h e c o n t r a s t between ( 3 1 ) a and ( 3 1 ) b . Note
that t h e r e i s a c o n t r a s t i n meaning between t h e one N e a c h
c o n s t r u c t i o n and a s e n t e n c e w i t h t h e q u a n t i f i e r e a c h i n t h e
s p e c i f i e r p o s i t i o n .
(34) a- One i n t e r p r e t e r e a c h w a s a s s i g n e d t o t h e v i s i t i n g
d i p l o m a t s .
b- One i n t e r p r e t e r w a s a s s i g n e d t o e a c h v i s i t i n g
d i p l o m a t .
I n ( 3 4 ) a t h e r e is e x a c t l y a one-to-one mapping between t h e s e t
of i n t e r p r e t e r s and t h e se t o f v i s i t i n g d i p l o m a t s . T h i s i s
n o t n e c e s s a r i l y t r u e i n ( 3 4 ) b . I n t h i s case one same i n t e r -
p r e t e r may be a s s i g n e d t o more t h a n one v i s i t i n g d i p l o m a t . I n
( 3 4 ) a , b u t n o t i n ( 3 4 ) b , t h e r e f e r e n c e o f one i n t e r p r e t e r i s
dependen t on t h e r e f e r e n c e o f v i s i t i n g d i p l o m a t s and v i c e -
v e r s a : i .e., t h e y a r e r e f e r e n t i a l l y m u t u a l l y dependen t . The
m u t u a l l y dependen t i n t e r p r e t a t i o n i s undoub ted ly due t o t h e
s t r u c t u r e o f one N e a c h . I n ( 3 4 ) a e a c h i s bound t o v i s i t i n g
d i p l o m a t s . But each i s a l s o a s p e c i f i e r o f t h e N P one i n t e r -
p r e t e r o r more p r e c i s e l y , it i s a s p e c i f i e r o f t h e s p e c i f i e r
one ( P a r a l l e l t o t o o many i n one N t o o many -- c f . , Bresnan - 1 9 7 3 ) . Hence t h e indexed s t r u c t u r e o f ( 3 4 ) a i s a s i n ( 3 5 ) .
( 3 5 ) [ [ Onek i n t e r p r e t e r ] e a c h I was a s s i g n e d t o [k t h e v i s i - k
t i n g d i p l o m a t s . I
Whatever t h e c o r r e c t r e p r e s e n t a t i o n o f mutual r e f e r e n t i a l
dependencies might be , it may be assumed t o be clause-bounded
as o t h e r c a s e s of r e f e r e n t i a l dependencies between q u a n t i f i e d
NPs are. I n e f f e c t , i n ( 3 1 ) a -- b u t n o t i n ( 3 1 ) b -- one - i n t e r p r e t e r i n t h e m a t r i x c l a u s e may be r e f e r e n t i a l l y depen-
d e n t on v i s i t i n g d ip lomats i n t h e embedded c l a u s e because
one i n t e r p r e t e r i s n o t i n a t h - p o s i t i o n and it belongs t o a
th -cha in c o n t a i n e d i n t h e same c l a u s e t h a t v i s i t i n q d ip lomats
is . Hence, once more a cha in w i t h a q u a n t i f i e d N P i n a non
t h - p o s i t i o n s e r v e s a s t h e b a s i s f o r some s o r t of r econs t ruc -
t i o n , t h u s a l l owing t h e mutual r e f e r e n t i a l dependency i n t e r -
p r e t a t i o n t o be r e a l i z e d i n (31) a.
The d i s t r i b u t i o n o f t h e q e n i t i v e c l i t i c ' e n ' ( I )
Ruwet 1972 n o t i c e d t h a t ve rbs l i k e s t r e , d e v e n i r , sembler ,
p a r a 4 t r e , r e s t e r , a v o i r l ' a i r , s e r 6 v & l e r , s ' a v g r e r , s e t r o u v e r ,
and p a s s i v e s a l l o w e n - c l i t i c i z a t i o n from t h e adnominal comple- -
ment of t h e i r s u r f a c e s u b j e c t .
( 3 6 ) a- L a p o r t e de l a c a t h 6 d r a l e para?t /semble o u v e r t e .
(The door o f t h e c a t h e d r a l appears/seems open.)
b- La p o r t e en para?t/sernble o u v e r t e . -
( 3 7 ) a- L e l i v r e de Zola d e v i e n t i n t g r e s s a n t 2 p a r t i r du
deuxisme c h a p t t r e .
( Z o l a ' s book becomes i n t e r e s t i n g s t a r t i n g from t h e
second c h a p t e r . )
b- Le l i v r e - en d e v i e n t i n t g r e s s a n t 2 p a r t i r du deuxi&me
c h a p e t r e .
( 3 8 ) a- L a p rg face du l i v r e e s t f l a t t e u s e .
(The i n t r o d u c t i o n t o t h e book i s f l a t t e r i n g . )
b- La p rg face - en es t f l a t t e u s e .
(39) a- La l e c t u r e de c e l i v r e a 6t6 conse i l l e ' e aux g tu-
d i a n t s p a r l e p r o f e s s e u r .
(The r ead ing o f t h i s book h a s been adv i sed t o t h e s t u -
d e n t s by t h e p r o f e s s o r . )
b- L a l e c t u r e - en a 6t6 c o n s e i l l g e aux e t u d i a n t s p a r
le p r o f e s s e u r .
( 4 0 ) a- La s o l u t i o n du problsme semble a v o i r 6 t 6 pub l ige .
(The s o l u t i o n t o t h e problem seems t o have been pub l i shed . )
b- La s o l u t i o n sernble - en a v o i r 6 t 6 p u b l i 6 e .
(41) a- Le chef de l a bande s ' e s t av&r&/rGvglg/a l ' a i r
d ' s t r e magnanime.
(The c h i e f o f the band tu rned o u t / r e v e a l e d h imse l f /appears
t o be magnanimous. )
b- Le chef s ' e s t av6r&/rgv&le//a l ' a i r d ' e n - Z t r e
magnanime.
Couquaux 1979 sugges ted t h a t t h e common p rope r ty o f verbs
t h a t a l low - e n - c l i t i c i z a t i o n from t h e i r s u r f a c e s u b j e c t i s t h a t
they do n o t t a k e an e x t e r n a l argument: t hey a r e r a i s i n g ve rbs .
I n t h e c a s e o f t h e p a s s i v e ( c f . ( 3 9 ) ) movement i s from o b j e c t
t o s u b j e c t p o s i t i o n . I n t h e o t h e r c a s e s movement i s from sub-
ject t o s u b j e c t p o s i t i o n . I n e f f e c t , t h e verbs a t r e , deven i r ,
sembler , e t c . may be cons ide red t o subca t ego r i ze f o r a s m a l l
c l a u s e ( c f . examples ( 3 6 ) , ( 3 7 ) , ( 3 8 ) ) . I n f a c t a l l of t h e s e
ve rbs excep t f o r s t r e and d e v e n i r subca t ego r i ze f o r a non-
sma l l c l a u s e ( c f . examples (40) , ( 4 1 ) ) . The s u r f a c e s u b j e c t
i n examples ( 3 6 ) , ( 3 7 ) , and ( 3 8 ) a s w e l l a s i n examples (40)
and ( 4 1 ) i s t h e D-Structure s u b j e c t o f t h e p r e d i c a t e o f t h e
c l a u s a l complement. Thus, t h e above examples c o n t r a s t w i t h
t h e fo l lowing s imple and c o n t r o l s en t ences :
( 4 2 ) a- L 'eau de l a r i v i G r e coule doucement.
(The wate r o f t h e r i v e r runs smoothly . )
*b- L'eau - en coule doucement.
( 4 3 ) a- Les missiles de l a NASA o n t a t t e i n t l e u r c i b l e s .
(The m i s s i l e s of t h e NASA h i t t h e i r t a r g e t s . )
*b- Les missiles en o n t a t t e i n t l e u r c i b l e s . -
( 4 4 ) a- L e chef de l a bande a dgc id6 d ' s t r e magnanime.
(The c h i e f o f t h e band dec ided t o be magnanimous.)
*b- Le chef a dgcid6 d ' e n - Gtre magnanirne.
( 4 5 ) a- L ' a u t e u r de ce , l i v r e a o u b l i 6 d ' s t r e 2 l ' h e u r e .
(The a u t h o r o f t h i s book f o r g o t t o be on t i m e . )
*b- L ' a u t e u r a o u b l i 6 d ' e n Gt re 2 l ' h e u r e . -
Verbs l i k e c o u l e r , a t t e i n d r e , d g c i d e r , o u b l i e r do a s s i g n an
argument t h - r o l e t o t h e s u b j e c t .
Note t h a t i n n e i t h e r ( 4 0 ) , ( 4 1 ) n o r i n ( 4 4 ) , ( 4 5 ) may
the g e n i t i v e c l i t i c en c l i t i c i z e on to t h e m a t r i x ve rb - -
( 4 6 ) *a- Le chef s ' e n e s t avgr6/r6v616/a l ' a i r d ' e t r e -
magnanime.
fb- La s o l u t i o n en sernble a v o i r e't6 ~ u b l i g e . - *c- Le chef en a dgcidg d ' s t r e nagnanime. -
*d- L ' a u t e u r en a o u b l i 6 d ' g t r e 2 l ' h e u r e . -
How should t h e d i s t r i b u t i o n of en be c h a r a c t e r i z e d ? This -
q u e s t i o n w i l l be addressed i n s e c t i o n 11 .4 .3 .1 . For t h e t ime
be ing it i s s u f f i c i e n t t o keep i n mind t h a t a t l e a s t one o f
t h e r e l e v a n t f a c t o r s i n c h a r a c t e r i z i n g t h e phenomenon of en- -
c l i t i c i z a t i o n from s u b j e c t p o s i t i o n i s t h e argument s t a t u s of
t h i s p o s i t i o n .
To summarize, i n s e c t i o n 11.1 w e have seen how t h e d i s t r i -
b u t i o n o f e x p l e t i v e s , id ioms, of t h e pronoun E, and t h e geni-
t i v e c l i t i c en a s w e l l a s t h e scope of q u a n t i f i e r s may - d i s t i n g u i s h r a i s i n g from c o n t r o l c o n s t r u c t i o n s . W e saw t h a t
t h e r e l e v a n t d i f f e r e n c e between t h e two i s t h a t r a i s i n g verbs
do n o t s e l e c t an argument s u b j e c t wh i l e c o n t r o l verbs do. I n
t h e r a i s i n g c o n s t r u c t i o n t h e NP i n t h e m a t r i x s u b j e c t p o s i t i o n
i s a n argument o f t h e embedded v e r b . Consequen t ly , t h e m a t r i x
and embedded s u b j e c t p o s i t i o n s a r e members o f t h e same t h -
c h a i n . On t h e o t h e r hand, i n t h e c o n t r o l c o n s t r u c t i o n t h e
m a t r i x and embedded s u b j e c t s be long t o d i f f e r e n t t h - c h a i n s .
The t w o p o s i t i o n s a r e o n l y r e f e r e n t i a l l y r e l a t e d .
B e f o r e d i s c u s s i n g a mixed c l a s s o f v e r b s which e n t e r i n
both r a i s i n g and c o n t r o l c o n s t r u c t i o n s , some p r e l i m i n a r y
remarks on t h e n a t u r e o f non-over t NPs w i l l be made.
1 1 . 2 Types o f Non-overt NPs ( I ) . A D i s t i n g u i s h i n g F e a t u r e :
+ - t h - r o l e .
The non-over t NPs i n ( 1 ) a - b and ( 2 ) a - b a r e i n t e r -
p r e t e d a s c o - r e f e r e n t i a l w i t h t h e m a t r i x s u b j e c t . I n e f f e c t ,
t h e r e f e r e n c e o f t h e s e non-over t NPs is f i x e d by t h e i r a n t e -
c e d e n t s -- j u s t l i k e t h e m s e l v e s f i x e s i t s r e f e r e n c e on t h e
b a s i s o f t h e r e f e r e n c e o f i t s a n t e c e d e n t t h e y i n ( 4 7 ) .
( 4 7 ) Theyi wanted f o r themse lves i t o l e a v e .
Hence, ( 2 ) a-b have i n d e x e d - s t r u c t u r e s ( 9 ) a-b and (1) a-b have
i n d e x e d - s t r u c t u r e s ( 4 8 ) a-b.
( 4 8 ) a- Peteri d e c i d e d [ [e l i t o l e a v e ]
b- P e t e r i t r i e d [ [e l i t o l e a v e ]
The q u e s t i o n t h a t t h e n a r i s e s i s : are t h e non-over t NPs i n
( 9 ) a - b and (48Ja -b o f a d i f f e r e n t n a t u r e o r n o t ? Is t h e r e
more t h a n one t y p e o f non-over t NP?
I t i s t o b e n o t i c e d t h a t t h e non-over t NPs i n b o t h
( 9 ) a - b and ( 4 8 ) a - b may be c o n s i d e r e d t o c o n t a i n f e a t u r e s l i k e
p e r s o n , number, and gender which a r e n o t p h o n o l o g i c a l l y
r e a l i z e d . T h i s i s shown by examples l i k e (49) a-c and ( 5 0 ) a-b.
* (49) a- Youi seem [NP t o admire y o u r s e l f . 1 i 1 *
b- Shei i s l i k e l y [NPi t o k i l l h e r s e l f i ] *
c- The boysi want [Npi t o wash themse lves i ]
* ( 5 0 ) a- Mariai q u i e r e [NP ser p r e s e n t a d a a 1 d i r e c t o r ] i
( M a r y wants t o be i n t r o d u c e d (fern-sing) ) *
b- Los n i n o s p a r e c e n [NP e s t a r en fe rmos] i i
(The boys seem t o b e s i c k (masc. p l . ) )
I n (49) a - c , t h e r e f l e x i v e a g r e e s i n p e r s o n , number, and
gender w i t h t h e n o n - p h o n o l o g i c a l l y r e a l i z e d s u b j e c t o f i t s
c l a u s e , and s o does t h e p a s t - p a r t i c i p l e i n ( 5 0 ) a and t h e a d j e c -
t i v e i n ( 5 0 ) b . The non-over t s u b j e c t i n t u r n a g r e e s w i t h i t s
a n t e c e d e n t i n s u b j e c t p o s i t i o n .
Another p i e c e o f e v i d e n c e t h a t non-over t NPs have f e a -
t u r e s is found i n I c e l a n d i c . The f a c t s a r e d i s c u s s e d i n
~ h r d i n s s o n 1979 ( b a s e d on work by Avery Andrews). I n Ice-
l a n d i c a non-over t NP c o n t a i n s n o t o n l y p e r s o n , number, and
gender f e a t u r e s b u t a l s o c a s e f e a t u r e . I n t h e c a s e o f
c o n t r o l l e d non-overt s u b j e c t s t h e r e i s o f t e n more than one
p o s s i b l e cho ice o f c a s e , depending on t h e c l a s s o f ve rb and
on t h e c o n t r o l l e r i n t h e m a t r i x s e n t e n c e . The fo l lowing
examples a r e s u f f i c i e n t t o make o u r p o i n t . Consider (51)a-b .
(51) a- aria bad ad Vera g~dir/goda/*godum.
(Mary asked them (m. p l . Acc.) t o be good ( m . p l .
Nom/Acc/*Dat) )
b- bg s a g d i henni ad Vera f l j o ' t / f i j d t r i / * f l j 6 t a .
(I t o l d h e r (f. s g . D a t . ) t o be qu ick ( f . s g . Nom/
Dat/*Acc) )
The p r e d i c a t i v e a d j e c t i v e a g r e e s ( o v e r t l y ) w i t h i t s s u b j e c t
i n gender , number, and c a s e . The c a s e o f t h e non-overt sub-
j e c t i s e i t h e r t h e unmarked nominative c a s e o r t h e c a s e o f t h e
m a t r i x c o n t r o l l e r : a c c u s a t i v e i n ( 5 1 ) a and d a t i v e i n ( 5 1 ) b .
I n I c e l a n d i c t h e r e i s a c l a s s o f ve rbs whose s u b j e c t s have
i n h e r e n t (non-nominative) c a s e ( v a n t a (need , l a c k ) , reka
( d r i f t ) w i t h a c c u s a t i v e s u b j e c t , l i k a ( l i k e ) w i t h d a t i v e sub-
j e c t , e tc . Cf. Levin 1980 f o r an i l l u m i n a t i n g d i s c u s s i o n o f
t h e s e ve rbs . When t h e s e ve rbs a r e embedded i n a c o n t r o l
c o n s t r u c t i o n t h e i r non-overt s u b j e c t e i t h e r has t h e c o n t r o l l e r ' s
c a s e ( b u t n o t a lways) o r it has i t s i n h e r e n t c a s e . Consider
t h e fo l lowing examples: (The word e i n n (one, a l o n e ) shows
t h e same s o r t o f agreement a s a d j e c t i v e s . )
( 5 2 ) a- gg (nom) vonas t ti1 ad van ta e k k i einn/einan/*einum
e f n i : r i t g e r d i n a .
(I hope no t t o l a c k a lone ( m . s g . Nom/Acc/*Dat) )
m a t e r i a l f o r t h e t h e s i s . )
b- ig (norn) h lakka e k k i ti1 ad r eka a l e i n n / a l e i n a n /
*aleinurn l a n d .
(I d o n ' t look forward t o d r i f t i n g a lone ( m . s g .
Nom/Acc/*Dat) a sho re . )
The same phenomenon can be observed i n t h e s o - c a l l e d imper-
s o n a l p a s s i v e s where a non-accusat ive o b j e c t i s p a s s i v i z e d
and s t a y s g e n i t i v e o r d a t i v e .
(53) a- Henni v a r n e i t a d um bad.
(She ( d a t . ) was den ied i t . )
b- in v a r v i t j a d .
( I (Gen.) was v i s i t e d . )
( 5 4 ) a- ~ 6 n vonas t ti1 a d verda e k k i n e i t a d * e i n / e i n n i um pad.
(She hopes n o t t o be a lone (*Nom/Dat) den ied i t .)
b- ig hlakka ti1 a d verda v i t j a d * a l e i n n / a l e i n s morgun.
(I look forward t o be v i s i t e d a lone (*Nom/Gen)
tomorrow. )
( I n t h e s e c a s e s t h e nominative i s n o t a c c e p t a b l e f o r some r eason . )
I n the A r b i t r a r y c o n t r o l s t r u c t u r e s , t h e non-overt
s u b j e c t a l s o b e a r s c a s e i n I c e l a n d i c .
[ ~d v a n t a e i n a n skdl e n f u r d a l e g t .
(To lack a l o n e (Acc. masc. s i n g . ) s h o e s i s t e r r i b l e . )
C o n s i d e r f i n a l l y some r a i s i n g examples :
( 5 6 ) a- Eg t e l [ ~ a r i u Vera g o d a ~ .
( I b e l i e v e Mar ia ( A c c ) t o be good ( A c c ) )
b- ~ a r l a e r t a l i n Vera go&/*goda.
(Mary (Nom) i s b e l i e v e d t o b e good (Nom/*Acc) . ) c- Pennan b i t e r t a l i d h a f a r e k i h e i n a n a d l a n d i .
( T h i s b o a t ( A c c ) i s b e l i e v e d t o be d r i f t i n g
a l o n e ( A c c ) t o s h o r e . )
The a d j e c t i v e and e i n n i n ( 5 6 ) a - b and ( 5 6 ) c r e s p e c t i v e l y
agree n o t o n l y i n p e r s o n , number, and g e n d e r f e a t u r e s w i t h
t h e embedded non-over t s u b j e c t b u t a l s o i n case. The non-
overt s u b j e c t i n ( 5 6 ) b and ( 5 6 ) c i n t u r n a g r e e s w i t h i t s a n t e -
c e d e n t i n m a t r i x s u b j e c t p o s i t i o n .
W e may conc lude t h e n t h a t p e r s o n , number, g e n d e r , and
case f e a t u r e s do n o t d i s t i n g u i s h one non-over t NP from a n o t h e r .
But t h e non-over t NPs i n r a i s i n g and c o n t r o l s t r u c t u r e s a r e
d i f f e r e n t . One r e s p e c t i n which t h e y are d i f f e r e n t -- i m p l i c i t
i n t h e d i s c u s s i o n i n s e c t i o n 11.1 -- i s t h a t t h e non-over t N P
i n a c o n t r o l c o n s t r u c t i o n b e a r s a t h - r o l e w h i l e t h e non-over t
NP i n a r a i s i n g c o n s t r u c t i o n d o e s n o t . I n e f f e c t , r e c a l l t h a t
i n a r a i s i n g c o n s t r u c t i o n t h e non-over t NP and i t s a n t e c e d e n t
a r e members o f t h e same t h - c h a i n . T h e n o n - o v e r t N P i s i n a n
argument p o s i t i o n . Hence, it i s a s s i g n e d a n argument t h - r o l e .
Its a n t e c e d e n t i s an argument i n a non-argument p o s i t i o n .
The non-over t NP must c o n s e q u e n t l y t r a n s m i t i t s t h - r o l e t o i t s
a n t e c e d e n t . I n c o n c l u s i o n , one f e a t u r e d i s t i n g u i s h i n g among
+ non-over t NPs i s - t h - r o l e . F o r a d i s c u s s i o n o f o t h e r d i s -
t i n g u i s h i n g f e a t u r e s o f non-over t NPs see s e c t i o n 11 .4 .1 .
1 1 . 3 VP as a n Adjunc t t h - r o l e A s s i q n e r
I n s e c t i o n 11.1 we d i s c u s s e d v e r b s t h a t a s s i g n a n
argument t h - r o l e t o t h e s u b j e c t p o s i t i o n and v e r b s t h a t do
n o t a s s i g n a t h - r o l e t o t h e s u b j e c t p o s i t i o n . I n t h i s sec -
t i o n w e w i l l shcw t h a t t h e r e a r e v e r b s t h a t a s s i g n a n a d j u n c t
t h - r o l e t o t h e s u b j e c t p o s i t i o n .
3.1 Mixed Verbs : R a i s i n g and C o n t r o l
Ruwet 1972 d i s c u s s e s a c l a s s o f v e r b s t h a t have mixed
l e x i c a l p r o p e r t i e s w i t h r e s p e c t t o t h e s t a t u s o f t h e i r sub-
ject. These v e r b s have b o t h p r o p e r t i e s o f r a i s i n g v e r b s
-- i . e . , t h e i r D-S t ruc tu re s u b j e c t may be empty -- and p r o p e r -
t i e s o f n o n - r a i s i n g v e r b s -- i .e . , t h e i r S - S t r u c t u r e s u b j e c t
may b e t h e i r D-S t ruc tu re s u b j e c t .
Cons ide r t h e f o l l o w i n g examples :
( 5 7 ) .a- Pierre nous menace de mor t .
( P e t e r t h r e a t e n s u s w i t h d e a t h . )
b- P i e r r e nous menace de nous t u e r .
( P e t e r t h r e a t e n s u s t o k i l l u s . )
c- La c o u r s e aux armements menace l a p a i x .
(The arms r a c e t h r e a t e n s t h e peace . )
d- L a cou r se aux armements menace de provoquer une
g u e r r e .
(The arms r a c e t h r e a t e n s t o provoke a war. )
e- ' L e chef de l a bande menace d ' 8 t r e impi toyable .
(The c h i e f o f t h e band t h r e a t e n s t o be m e r c i l e s s . )
(58) a- Je vous promets une b e l l e s u r p r i s e .
(I promise you a n i c e s u r p r i s e . )
b- Je vous promets de vous f a i r e une b e l l e s u r p r i s e .
(I promise t o g ive you a n i c e s u r p r i s e . )
c- Les pornmiers p rome t t en t beaucoup de f r u i t s c e t t e
anne'e . (The a p p l e t r e e s promise a l o t o f f r u i t t h i s y e a r . )
d- L e s pomnliers p rome t t en t de donner beaucoup de f r u i t s
cet te ann6e.
(The app le t r e e s promise t o g ive a l o t o f f r u i t t h i s
y e a r . )
e- L e chef de l a p o l i c e promet d ' s t r e magnanime.
(The c h i e f o f p o l i c e promises t o be magnanimous.)
( 5 9 ) a- L e chef de l a p o l i c e e x i g e une r6compense.
(The c h i e f o f p o l i c e demands a reward.)
b- Le chef de p o l i c e e x i g e d ' g t r e pour s e s s e r v i c e s .
(The c h i e f of p o l i c e demands t o be payed f o r h i s
s e r v i c e s . )
c- C e l i v r e e x i g e une l e c t u r e so igneuse .
(Th i s book demands a c a r e f u l r e a d i n g . )
d- L ' h i s t o i r e d e l a r 6 v o l u t i o n e x i g e d ' s t r e g c r i t e .
(The h i s t o r y o f t h e r e v o l u t i o n demands t o be w r i t t e n . )
( 6 0 ) a- C e l i v r e m g r i t e une p u b l i c a t i o n r a p i d e .
(Th i s book d e s e r v e s a r a p i d p u b l i c a t i o n . )
b- L a p r g f a c e de ce l i v r e m g r i t e d 1 $ t r e publ i .6e r ap id -
ement . (The p r e f a c e t o t h i s book d e s e r v e s t o be p u b l i s h e d
immediate ly . )
c- L ' a u t e u r de ce l i v r e mgri te l e P r i x Nobel.
(The a u t h o r o f t h i s book d e s e r v e s t h e Nobel P r i z e . )
d- L ' a u t e u r de ce l i v r e m g r i t e de gagner l e P r i x Nobel.
(The a u t h o r o f t h i s book d e s e r v e s t o win t h e Nobel
P r i z e . )
I n t h e s imp le s e n t e n c e s ( 5 7 ) a , ( 5 7 ) c , ( 5 8 ) a , ( 5 8 ) c , ( 5 9 ) a ,
( 5 9 ) c , ( 6 0 ) a , ( 6 0 ) c t h e s u b j e c t s are c l e a r l y arguments of
menacer, p r o m e t t r e , e x i g e r , and m g r i t e r . W e may t h e n assume
t h a t t h e s u b j e c t s i n t h e complex s e n t e n c e s (57) b ,d -e , (58) b , d-e,
(59) b , d , and (60) b , d a r e a l s o arguments o f menacer, p r o m e t t r e ,
e x i g e r , and m g r i t e r : i . e . , t h e y a r e c o n t r o l s t r u c t u r e s .
But Ruwet n o t i c e s t h a t t h e s e v e r b s s h a r e s e v e r a l p roper -
t i e s o f r a i s i n g p r e d i c a t e s . F i r s t , t h e o b j e c t o f id ioms
(cf . ( 6 2 ) a and ( 6 2 ) b ) may appear a s t h e s u r f a c e s u b j e c t o f
t h e s e v e r b s . 4
( 6 1 ) a - Grand c a s p romet /mgr i t e d ' g t r e f a i t d e s d e r n i e r s
6vGnements e n Pologne.
(A b i g d e a l p r o m i s e s / d e s e r v e s t o be made o f t h e
l a s t e v e n t s i n Po land . )
b- P a r t i rnenace/exige d ' z t r e t i r 6 de c e t t e s i t u a t i o n . - ( ~ d v a n t a g e th rea tens /demands t o be t a k e n of t h i s
s i t u a t i o n .
(62) a- J u s t i c e menace/exige d ' 8 t r e rendue dans ce pays .
( J u s t i c e th rea tens /demands t o be made i n t h i s ,
c o u n t r y . )
b- A s s i s t a n c e m6r i t e /p romets d ' stre p o r t & e aux hommes
d e ce p a y s .
( A s s i s t a n c e d e s e r v e s / p r o m i s e s t o b e g i v e n t o t h e
men o f t h i s c o u n t r y . )
Second, t h e adnominal complement o f t h e s u r f a c e s u b j e c t i n
s e n t e n c e s ( 5 7 ) e , ( 5 8 ) e , ( 5 9 ) d , and ( 6 0 ) b may c l i t i c i z e o n t o
t h e v e r b o f t h e embedded c l a u s e .
( 6 3 ) a- L e c h e f menace d ' e n Btre i m p i t o y a b l e . -
b- L e c h e f promet d ' e n Gtre magnanime. -
c- L ' h i s t o i r e e x i g e d ' e n stre e c r i t e . -
d- La p r e f a c e mQr i t e d ' e n 8 t r e p u b l i 6 e rap idement . -
Moreover, n o t e t h a t menacer , p r o m e t t r e , m G r i t e r , and
e x i g e r s e l e c t a n o n - p r o p o s i t i o n a l e x t e r n a l argument a s shown
i n (64)a and ( 6 5 ) a. But a p r o p o s i t i o n a l argument may a p p e a r
i n t h e i r s u b j e c t p o s i t i o n j u s t i n c a s e t h e i r complement 's
v e r b t a k e s a p r o p o s i t i o n a l s u b j e c t a s shown i n ( 6 4 ) b and ( 6 5 ) b .
T h i s i n d i c a t e s t h a t t h e s u b j e c t o f t h e s e v e r b s may be s e l e c t e d
by t h e embedded v e r b .
(64) *a- Que J e a n p a r t e menace l l g q u i l i b r e d e l a f a m i l l e .
( T h a t John l e a v e s t h r e a t e n s t h e e q u i l i b r i u m o f t h e f a m i l y . )
b- Que J e a n p a r t e menace d e t ' e n n u y e r .
(Tha t John l e a v e s t h r e a t e n s t o b o t h e r you . )
(65) *a- Que J e a n e s t i d i o t mgr i t e de l a p u b l i c i t & .
(Tha t John i s s t u p i d d e s e r v e s p u b l i c i t y . )
b- Que J e a n e s t i d i o t mgrite d e d e v e n i r g v i d e n t .
( T h a t John i s s t u p i d d e s e r v e s t o become o b v i o u s . )
menace d e d e v e n i r e 'v iden t , q u e J e a n e s t i d i o t .
Given the above f a c t s we c o u l d s imply assume t h a t v e r b s
l i k e menacer , p r o n e t t r e , m e ' r i t e r , e x i g e r o p t i o n a l l y a s s i g n
an argument t h - r o l e t o t h e i r s u b j e c t . Thus, t h e y may f u n c t i o n
b o t h a s c o n t r o l and r a i s i n g v e r b s . But t h e f a c t s a r e some-
what more complex. I t h a s been n o t i c e d by Rouvere t & Vergnaud
1978 t h a t t h e s e ve rbs ' do n o t have a l l t h e p r o p e r t i e s o f r a i -
s i n g v e r b s .
F i r s t , a n e x p l e t i v e may n o t a p p e a r i n t h e s u b j e c t p o s i -
t i o n o f t h e s e v e r b s . Compare ( 6 6 ) w i t h ( 6 7 ) .
(66) a- I1 semble f a l l o i r p a r t i r .
( I t seems necessary t o l e a v e . )
b- I1 semble s ' a v g r e r que Jean e s t i d i o t .
( I t seems t o t u r n o u t t h a t John is a f o o l . )
c- I1 semble a v o i r G t 6 arrGt6 beaucoup de monde. { g t r e venu
( I t seems t o have been a r r e s t e d many peop le . ) come
(sembler , s1av ; re r , f a l l o i r , t h e p a s s i v e a r r g t g , and t h e
e r g a t i v e v e n i r a r e ve rbs w i th no e x t e r n a l t h - r o l e . )
(67) *a- I1 menace/promet de f a l l o i r p a r t i r .
*b- I1 promet/exige de s ' a v g r e r que Jean e s t i d i o t .
*c- I1 menace/promet de v e n i r beaucoup de monde.
*d- I1 exige /mgr i te d ' e t r e a r r S t 6 un grand nombre
d'homrnes.
Second, a q u a n t i f i e r i n t h e s u b j e c t p o s i t i o n of t h e s e
ve rbs may on ly have wide scope . Compare (68) a and (68) b ,
and ( 6 9 ) a and ( 6 9 ) b .
(68) a- Personne ne semble Gt re venu, mais quelqu 'un semble
Gt re venu.
(Nobody seems t o have come, bu t somebody seems t o
have come . )
b- Personne ne mgrite/menace de v e n i r , mais quelqu 'un
m&rite/menace de v e n i r . (Nobody d e s e r v e s / t h r e a t e n s t o come, bu t somebody deserves /
t h r e a t e n s t o come.)
77
( 6 8 ) a i s n o t a c o n t r a d i c t i o n b u t ( 6 8 ) b i s a c o n t r a d i c t i o n .
(69) a- Un i n t e r p r e " t e chacun semble a v o i r Qt6 a s s i g n 6 aux
d i p l o m a t e s .
(one i n t e r p r e t e r e a c h s e e m s t o have been a s s i g n e d
t o t h e d i p l o m a t s . )
*b- Un i n t e r p r $ t e chacun promet /exige dl 8 t re a s s i g n &
aux d i p l o m a t e s .
(One i n t e r p r e t e r e a c h promises/demands t o b e a s s i g n e d
t o t h e d i p l o m a t s . )
I n ( 6 9 ) a b u t n o t i n ( 6 9 ) b chacun may be bound t o les d i p l o m a t e s .
L e t u s f i r s t c o n s i d e r t h e f a c t s i n ( 6 7 ) . An e x p l e t i v e
may n o t a p p e a r i n t h e s u b j e c t p o s i t i o n o f menacer , m g r i t e r ,
e x i g e r , p r o m e t t r e . R e c a l l t h a t a n e x p l e t i v e c a n o n l y a p p e a r
in p o s i t i o n s w i t h no s e m a n t i c c o n t e n t . The f a c t t h a t an
e x p l e t i v e c a n n o t a p p e a r i n t h e s u b j e c t p o s i t i o n o f t h e s e
v e r b s t h e n i n d i c a t e s t h a t t h i s p o s i t i o n h a s s e m a n t i c c o n t e n t
-- i . e . , a t h - r o l e . On t h e o t h e r hand, t h e id iom f a c t s ( c f .
( 6 - (62) ) , t h e d i s t r i b u t i o n o f t h e g e n i t i v e c l i t i c e n -
(cf. (63) ) , as w e l l a s t h e s e l e c t i o n f a c t s ( c f . (64) - ( 6 5 ) )
show t h a t t h e r e i s movement i n t o t h i s p o s i t i o n . T h i s means
t h a t w e a r e d e a l i n g h e r e w i t h a s e m a n t i c r o l e which i s i n v i -
s i b l e f o r t h e Argument t h - C r i t e r i o n . W e have s e e n i n C h a p t e r
I t h a t such a s e m a n t i c r o l e d o e s e x i s t : t h e a d j u n c t t h - r o l e .
W e c o n c l u d e t h e n t h a t menacer , p r o m e t t r e , m g r i t e r , e x i g e r
( o r more p r e c i s e l y t h e VP which i s a p r o j e c t i o n o f t h e s e
v e r b s ) a lways a s s i g n a s e m a n t i c r o l e , which may be e i t h e r
a n argument t h - r o l e o r an a d j u n c t t h - r o l e . When t h e s e v e r b s
a s s i g n a n argument t h - r o l e t o t h e s u b j e c t , it i s a n a g e n t
t h - r o l e . But when t h e s e v e r b s t a k e a n e x t e r n a l a d j u n c t -
ARGUMENT, t h e y do n o t p u t s e l e c t i o n a l r e s t r i c t i o n s on i t s
c o n t e n t ( b u t see f o o t n o t e 5 ) . Note t h a t , i n t e r e s t i n g l y enough, t h e il o f w e a t h e r v e r b s -
and of il y a may a p p e a r a s s u b j e c t o f t h e s e v e r b s , t h u s
c o n f i r m i n g t h e i r argument s t a t u s . 5
( 7 0 ) a - - I1 menace/m&rite de p l e u v o i r .
( I t t h r e a t e n s / d e s e r v e s t o r a i n . )
b- - I1 promet d e n e i g e r .
( I t p romises t o snow. )
(71) a- - I1 menace/m&rite d ' y a v o i r beaucoup de gens .
(There t h r e a t e n s / d e s e r v e s t o be many p e o p l e . )
b- I1 promet d ' y a v o i r p l u s d'homrnes que de femmes. - (There p romises t o be more men t h a n women. )
When menacer and p r o m e t t r e t a k e a d i r e c t o r i n d i r e c t
complement b e s i d e s a c l a u s a l complement a s i n (72) a-b, t h e
VP o b l i g a t o r i l y a s s i g n s an argument t h - r o l e , a s i n d i c a t e d
by t h e ungramrna t i ca l i ty o f ( 7 3 ) and ( 7 4 ) . T h i s shows once
more t h a t t h e i n t e r n a l a rguments may p l a y a role i n d e t e r -
mining t h e n a t u r e o r t y p e o f t h - r o l e a s s j g n e d t o t h e sub-
ject p o s i t i o n (cf. I .1) .
( 7 2 ) a- Le c h e f d e l a bande menace l a v i l l e d ' g t r e impi-
t o y a b l e .
(The c h i e f o f t h e band t h r e a t e n s t h e c i t y t o be
merciless.)
b- Le che f de l a p o l i c e promet aux r & v o l t & s d ' s t r e
magnanime.
(The c h i e f o f p o l i c e p romises t h e i n s u r g e n t s t o b e
magnanimous. )
(73 ) *a- T o r t menace l a v i l l e d ' 6 t r e don& aux h a b i t a n t s .
(Wrong t h r e a t e n s t h e c i t y t o be done t o t h e i n n a b i -
t a n t s . )
*b- J u s t i c e promet aux r 6 v o l t g s d ' g t r e r endue .
( J u s t i c e p romises t h e i n s u r g e n t s t o be made.)
( 7 4 ) *a- L e che f menace l es r G v o l t 6 s d ' e n stre i m p i t o y a b l e . - *b- L e chef promet aux r g v o l t g s d ' e n stre magnanime. -
(where e n is t h e adnominal complement o f t h e s u b j e c t . ) -
As f o r t h e Q u a n t i f i e r - s c o p e f a c t s ( c f . ( 6 8 ) b , ( 6 9 ) b ) ,
" r e c o n s t r u c t i o n " is n o t p o s s i b l e b e c a u s e a l t h o u g h t h e m a t r i x
s u b j e c t and t h e embedded s u b j e c t b e l o n g t o t h e same argument
t h - c h a i n , t h e m a t r i x s u b j e c t p o s i t i o n is a s e m a n t i c p o s i t i o n ,
namely a n a d j u n c t t h - p o s i t i o n . I n e f f e c t , t h e s e f a c t s c o r r o -
b o r a t e May's i n t u i t i o n t h a t " r e c o n s t r u c t i o n " i s n o t p o s s i b l e
from a s e m a n t i c p o s i t i o n .
Other verbs t h a t belong t o t h e mixed c l a s s a r e s l a p p r $ t e r 2
(get ready) s e pre 'parer 2 ( t o p repa re o n s e l f ) .
3 .2 Cases of o b l i g a t o r y Adjunct t h - r o l e assignment
The p r e d i c a t e Ad jec t ives s u s c e p t i b l e Zind f o u t u a l low
idioms o r semi-idioms i n s u b j e c t p o s i t i o n .
(75) a- Grand c a s e s t s u s c e p t i b l e / f o u t u d ' s t r e f a i t de
ces 6vAnements.
(A b i g d e a l i s l i a b l e t o / capab le of be made of t h e s e
e v e n t s . )
b- Ass i s t ance e s t s u s c e p t i b l e / f o u t u e d ' b t r e por t&e
aux malades.
(Ass i s t ance i s l i a b l e / c a p a b l e o f be given t o t h e
s i c k people . )
They a l s o a l low t h e g e n i t i v e c l i t i c en -- adnominal complement - of t h e i r s u r f a c e s u b j e c t -- t o c l i t i c i z e o n t o t h e verb of
t h e i r c l a u s a l complement.
(76) a- L e chef de l a bande e s t s u s c e p t i b l e / f o u t u d ' s t r e
magnanime.
(The c h i e f of t h e band i s l i a b l e t o / capab le o f
be/being magnanimous. )
b- L e chef e s t s u s c e p t i b l e / f o u t u d ' e n stre magnanime. -
But t h e s e p r e d i c a t e s do n o t a l l o w a n e x p l e t i v e il i n -
t h e i r s u b j e c t p o s i t i o n .
( 7 7 ) *a- - I1 es t s u s c e p t i b l e / f o u t u d ' g t r e p u b l i 6 que J e a n a
commis ce c r i m e .
( I t i s l i a b l e t o / c a p a b l e o f be p u b l i s h e d t h a t John
committed t h a t crime. )
*b- I1 est s u s c e p t i b l e / f o u t u de v e n i r beaucoup d e gens . - ( I t is l i a b l e t o / c a p a b l e o f come many p e o p l e . )
N o r do t h e y a l l o w t h e q u a n t i f i e r chacun ( e a c h ) a d j o i n e d t o
t h e m a t r i x s u b j e c t t o f i n d i t s a n t e c e d e n t i n t h e lower c l a u s e .
(78) * Un i n t e r p r 6 t e chacun e s t s u s c e p t i b l e / f o u t u d l $ t r e
a s s ign ; a u x d i p l o m a t e s .
The above f a c t s i n d i c a t e t h a t t h e s u b j e c t p o s i t i o n o f
A e t re s u s c e p t i b l e d e / & t r e f o u t u d e i s a s e m a n t i c p o s i t i o n .
W e t h i n k though t h a t t h e s e p r e d i c a t e s a r e d i f f e r e n t from
mixed v e r b s l i k e menacer i n t h a t t h e y n e v e r t a k e an e x t e r n a l
a rgument . These p r e d i c a t e s a r e v e r y c l o s e i n meaning t o
monadic p r e d i c a t e s l i k e p r o b a b l e , l i k e l y , can .... I n e f f e c t
s e n t e n c e (79) a e n t a i l s ( 7 9 ) b and s e n t e n c e ( 8 0 ) a e n t a i l s ( 8 0 ) b .
( 7 9 ) a- P i e r r e es t s u s c e p t i b l e d e v e n i r .
( P e t e r i s l i a b l e t o come.)
b- I t i s p r o b a b l e / l i k e l y t h a t John w i l l come.
(80) a- P i e r r e est f o u t u d e v e n i r .
b- P e t e r can come.
( I n C h a p t e r I11 w e w i l l a r g u e t h a t modals do n o t a s s i g n a n
argument t h - r o l e . )
R e c a l l t h a t p r e d i c a t e A d j e c t i v e s have t h e p r o p e r t y o f
b e i n g a b l e t o e x t e r n a l i z e t h e i r c l a u s a l complement. I n t e r e s -
t i n g l y enough, Gtre s u s c e p t i b l e de and Gtre f o u t u d e a r e
e x c e p t i o n s t o t h i s g e n e r a l i z a t i o n a s shown below.
(81) *a- Que J e a n p a r t e e s t s u s c e p t i b l e / f o u t u .
( T h a t John l e a v e s i s l i a b l e / c a p a b l e . )
*b- D e p a r t i r es t s u s c e p t i b l e / f o u t u .
(To l e a v e i s l i a b l e / c a p a b l e . )
( 8 2 ) * (que J e a n p a r t e . C ' e s t s u s c e p t i b l e / f o u t u , de
T h i s f o l l o w s immedia te ly from t h e f a c t t h a t t h e s e p r e d i c a t e s
a s s i g n two t h - r o l e s : a n argument t h - r o l e and an a d j u n c t
t h - r o l e -- t h e l a t t e r t o t h e s u b j e c t p o s i t i o n and t h e former
t o t h e o b j e c t p o s i t i o n s i n c e o n l y arguments may a p p e a r i n
s u b c a t e g o r i z e d p o s i t i o n s .
I n c o n c l u s i o n , G t r e s u s c e p t i b l e d e and e t r e f o u t u de
a s s i g n o b l i g a t o r i l y an a d j u n c t t h - r o l e t o t h e i r s u b j e c t .
3 . 3 Summary. A c l a s s i f i c a t i o n o f v e r b s i n terms o f
+ + - E x t e r n a l Semant ic r o l e and - O b l i g a t o r y Semant ic
r o l e .
To summarize, w e have a r g u e d t h a t t h e r e a r e v e r b s t h a t
t a k e an e x t e r n a l adjunct-ARGUMENT a s a l e x i c a l p r o p e r t y -- a
f a c t which i s n o t s u r p r i s i n g s i n c e t h e s u b j e c t i s n o t a sub-
c a t e g o r i z e d p o s i t i o n . R e c a l l t h a t w h i l e t h e head-complement
r e l a t i o n i s governed e n t i r e l y by t h e P r o j e c t i o n P r i n c i p l e , t h e
subject-VP r e l a t i o n i s n o t . The f o r m a l subjec t -VP r e l a t i o n i s
p r e s e n t a t a l l l e v e l s o f r e p r e s e n t a t i o n whe the r o r n o t i t
encodes a s e m a n t i c r e l a t i o n . If i t d o e s encode a s e m a n t i c
r e l a t i o n and i t i s an argument t h - r e l a t i o n , t h e n it i s governed
by t h e Extended P r o j e c t i o n P r i n c i p l e : i t must h o l d a t e v e r y
s y n t a c t i c l e v e l . I f i t i s an a d j u n c t t h - r e l a t i o n , t h e n it i s
n o t governed by t h e Extended P r o j e c t i o n P r i n c i p l e : i t o n l y
h o l d s a t L F ( o r , c r u c i a l l y , it does n o t h o l d a t D-S).
I f a VP may o r nay n o t a s s i g n a s e m a n t i c r o l e t o t h e
s u b j e c t p o s i t i o n - e i t h e r an argument o r a d j u n c t t h - r o l e ,
o b l i g a t o r i l y o r o p t i o n a l l y , depending on t h e l e x i c a l p r o p e r t i e s
o f t h e v e r b o f which t h e VP i s a p r o j e c t i o n -, t h e n t h e f o l l o w i n g
c l a s s i f i c a t i o n o f v e r b s s h o u l d h o l d .
( 8 3 ) 1- - E x t e r n a l Semant ic Role
/ 6 semble r , s ' a v e r e r , se r g v g l e r , . . . . , e r g a t i v e s ,
p a s s i v e s .
2- + E x t e r n a l Semantic Role
A. + Obl iga to ry
1) argument t h - r o l e : t r a n s i t i v e verbs (among
them c o n t r o l ve rbs ) and i n t r a n s i t i v e ve rbs .
2 ) argument t h - r o l e o r a d j u n c t t h - r o l e :
menacer, p rome t t r e , s e p r & p a r e r 3 , . . . . 3 ) a d j u n c t t h - r o l e : s u s c e p t i b l e de , f o u t u de
B. -Ob l iga to ry
1) a d j u n c t t h - r o l e : t h e modals ( t o be d i s -
cussed i n Chapter 111)
2 ) argument t h - r o l e : commencer, r i s q u e r
The ve rbs commencer and sisquer may appear i n s imple
t r a n s i t i v e s e n t e n c e s , which shows t h a t t h e s e ve rbs can t a k e
an e x t e r n a l argument. 7
( 8 4 ) a- P i e r r e commence l e l i v r e .
( P e t e r s t a r t s / b e g i n s t h e book.)
b- P i e r r e r i s q u e s a v i e .
( P e t e r r i s k s h i s l i f e . )
They can a l s o appear i n complex c o n s t r u c t i o n s :
( 8 5 ) a- P i e r r e commence 2 l i r e l e l i v r e .
( P e t e r s t a r t s / b e g i n s t o r ead t h e book. )
b- P i e r r e r i s q u e de pe rd re s a v i e .
( P e t e r r i s k s t o l oose h i s l i f e . )
I n t h i s c a s e t h e s u b j e c t p o s i t i o n may n o t b e a s e m a n t i c p o s i -
t i o n , as shown by t h e f ac t t h a t an e x p l e t i v e may a p p e a r i n
t h i s p o s i t i o n .
( 8 6 ) a- - I1 r i s q u e de d e v e n i r g v i d e n t que P i e r r e e s t i d i o t .
( I t r i s k s t o become o b v i o u s t h a t P e t e r i s a f o o l . )
b- - I1 commence > g t r e p u b l i g beaucoup de l i v r e s e n
a n g l a i s .
( I t b e g i n s / s t a r t s t o be p u b l i s h e d many books i n
E n g l i s h . )
They a l s o a l l o w t h e one-each i n t e r p r e t a t i o n .
(86' 1 Un i n t e r p r s t e chacun r i s q u e de/commence stre ass ign ; aux d i p l o m a t e s .
Note t h a t i f t h e r e e x i s t e d p r e d i c a t e s t h a t a s s i g n e d
o p t i o n a l l y e i t h e r a n argument o r an a d j u n c t t h - r o l e t o t h e
s u b j e c t p o s i t i o n , t h e y would n o t be d i s t i n g u i s h a b l e from B . 2 .
And f i n a l l y n o t e t h a t a l t h o u g h w e have c l a s s i f i e d seem as
- E x t e r n a l Semant ic Role , i t might be t h e c a s e t h a t it b e l o n g s
t o c l a s s B . l . I n e f f e c t , seem might b e t h o u g h t o f a s h a v i n g
b o t h a " r o o t " and a n " e p i s t e m i c " s e n s e -- l i k e t h e modals -- a l t h o u g h t h e s e m a n t i c d i f f e r e n c e i s much more s u b t l e i n t h e
case of seem. Compare (87)a and (87)b.
(87) a- The d o c t o r seems t o have examined John.
b- John seems t o have been examined by t h e d o c t o r .
86
I n .the " r o o t " s e n s e seem is p r e d i c a t e d o f t h e d o c t o r i n ( 8 7 ) a
and o f John i n ( 8 7 ) b . Thus t h e c o n j u n c t i o n o f ( 8 7 ) a and t h e
n e g a t i o n o f ( 8 7 ) b i s n o t a c o n t r a d i c t i o n . I t might i n f a c t
be t h e c a s e t h a t t h e r e are no r a i s i n g p r e d i c a t e s t h a t a r e
- E x t e r n a l Semant ic Role : i . e . , a l l p r e d i c a t e s c l a s s i f i e d a s
such might b e l o n g , l i k e seem, t o c l a s s B . l .
11.4 Non-overt NPs
4.1 Types o f non-over t NPs (11). O t h e r d i s t i n g u i s h i n g + +
f e a t u r e s : -pronominal , -anaphor . 8
I n s e c t i o n 1 1 . 2 w e have s e e n t h a t one d i s t i n g u i s h i n g
+ f e a t u r e o f non-over t NPs is - t h - r o l e . I t d i s t i n g u i s h e s non-
o v e r t NPs i n t h e embedded s u b j e c t p o s i t i o n i n r a i s i n g c o n s t r u c -
t i o n s and non-over t NPs i n t h e o b j e c t p o s i t i o n o f p a s s i v e s
from t h e non-over t NPs i n t h e s u b j e c t p o s i t i o n i n c o n t r o l
c o n s t r u c t i o n s . The l a t t e r b u t n o t t h e former b e a r a t h - r o l e .
There a r e two o t h e r d i s t i n g u i s h i n g f e a t u r e s s h a r e d by
+ + b o t h o v e r t and non-over t NPs : -anaphor , -pronominal . The
v a l u e o f t h e s e f e a t u r e s i s f i x e d f o r a g i v e n NP on t h e b a s i s
o f two f a c t o r s : f i r s t , i t s r e f e r e n t i a l p r o p e r t i e s and second ,
t h e Bind ing P r i n c i p l e s i n t h e way t h a t w i l l be d i s c u s s e d below.
I t i s a f a c t t h a t l a n g u a g e s have l e x i c a l NPs w i t h d i f f e r -
e n t r e f e r e n t i a l p r o p e r t i e s . Anaphors l i k e h i m s e l f and e a c h - o t h e r have no i n d e p e n d e n t r e f e r e n c e . T h e i r r e f e r e n c e i s
f i x e d on t h e b a s i s o f t h e r e f e r e n c e o f t h e i r a n t e c e d e n t .
Cf . I1 ( 4 7 ) . Pronouns l i k e h e , t h e y . . . may o r may n o t have - -
i n d e p e n d e n t r e f e r e n c e . I n a s e n t e n c e l i k e John t h i n k s t h a t
h e w i l l l e a v e where h e i s u n d e r s t o o d a s c o r e f e r e n t i a l w i t h - J o h n , h e h a s no i n d e p e n d e n t r e f e r e n c e . I t s r e f e r e n c e i s - - f i x e d by i t s a n t e c e d e n t John. I n t h e case o f d e i c t i c s , p r o - - nouns have i n d e p e n d e n t (i . e . , l i n g u i s t i c - i n d e p e n d e n t ) r e f e -
r e n c e . F i n a l l y names l i k e John , c h i l d r e n , t a b l e s , t h e dog ... have
i n d e p e n d e n t r e f e r e n c e . Pure anaphors ( h i m s e l f , e a c h o t h e r )
are +anaphor , -pronominal . Pure pronouns ( h e , t h e y . . . ) a r e - +pronominal , -anaphor . Names a r e -anaphor , -pronominal .
There a r e no o v e r t c a s e s o f +pronominal , +anaphor , f o r r e a s o n s
t h a t w i l l b e g i v e n below.
+ W e have s e e n above how NPs a r e c l a s s i f i e d a s -anaphor
+ and -pronominal depending on t h e i r s e m a n t i c s : i .e . , on t h e
b a s i s o f t h e i r r e f e r e n t i a l p r o p e r t i e s . Fur the rmore , t h e i r
a n a p h o r i c and /o r pronominal s t a t u s depends on t h e domain i n
which t h e y must o r may f i n d t h e i r a n t e c e d e n t . T h i s i s s t a t e d
by t h e Bind ing P r i n c i p l e s : (cf. Chomsky 1981a, 1 9 8 1 b ) .
(87') A. Anaphors must be bound i n t h e i r g o v e r n i n g , c a t e g o r y .
B . Pronominals must be f r e e i n t h e i r g o v e r n i n g c a t e g o r y .
qi b i n d s P i i f a c-commands i P i
c-command i s d e f i n e d a s f o l l o w s ( f rom Aoun & S p o r t i c h e , t o
a p p e a r 1 :
(88) ot c-commands g ( d $ 9 1 i f f ~ 0 , 0 a maximal p r o j e c t i o n
@ dominates oc 3
@ dominates 4
The n o t i o n governing ca t ego ry is d e f i n e d a s i n ( 8 9 ) .
d i s a governing ca t ego ry f o r g i f and on ly i f
i s t h e minimal ca t ego ry c o n t a i n i n g Q, a governor
of p , and a SUBJECT a c c e s s i b l e t o p.
(See t h e n e x t s e c t i o n f o r a d i s c u s s i o n o f t h e n o t i o n o f
a c c e s s i b i l i t y . 1
The Binding P r i n c i p l e s s ta te t h a t anaphors must be bound where
pronominals must be f r e e . I n e f f e c t , anaphors and pronominals
a r e g e n e r a l l y i n complementary d i s t r i b u t i o n . For t h e sake o f
i l l u s t r a t i o n c o n s i d e r a few examples.
Consider t h e o b j e c t p o s i t i o n of a verb.
[ s * John t h i n k s [ g t h a t L S P e t e r should shave
himself/himl 1 I -
himself/him i s governed by t h e v e r b shave. So i t s governing
ca t ego ry i s S . Hence, h imse l f must be bound t o P e t e r . I t
cannot be bound t o John. And him must no t be bound t o Peter
but it may be bound t o John.
C o n s i d e r n e x t t h e s u b j e c t p o s i t i o n o f an i n f i n i t i v a l
-- as i n t h e two marked c o n s t r u c t i o n s ( 9 1 ) a and ( 9 1 ) b .
(91) a- [ s * They would p r e f e r [ z f o r L S e a c h o t h e r / t h e m
t o win111
b- L S * They b e l i e v e L S e a c h o t h e r / t h e m t o be f o o l i s h ] ]
I n ( 9 1 ) a t h e s u b j e c t p o s i t i o n is governed (and a s s i g n e d c a s e )
by f o r . So i t s g o v e r n i n g c a t e g o r y i s S*. An anaphor i n - t h i s p o s i t i o n must b e bound t o t h e m a t r i x s u b j e c t w h i l e a
pronominal i n t h i s p o s i t i o n must n o t b e bound t o t h e m a t r i x
s u b j e c t . I n ( 9 1 ) b t h e embedded s u b j e c t p o s i t i o n i s governed
(and a s s i g n e d c a s e ) by b e l i e v e . ( B e l i e v e h a s t h e l e x i c a l
p r o p e r t y o f i n d u c i n g t h e g-node o f i t s complement t o be
d e l e t e d . For f u r t h e r d i s c u s s i o n on 5 - d e l e t i o n see t h e n e x t
s e c t i o n . ) So a g a i n S* i s t h e g o v e r n i n g c a t e g o r y i n which
each o t h e r must be bound and them must be f r e e .
F i n a l l y c o n s i d e r t h e s u b j e c t p o s i t i o n o f a f i n i t e s e n t e n c e .
[ s * They t h i n k [s t h a t L S e a c h o t h e r / t h e m w i l l win] I ]
The embedded s u b j e c t p o s i t i o n i s governed by I n f l e x i o n . So
i t s g o v e r n i n g c a t e g o r y i s S . Consequen t ly , a pronominal
b u t n o t an anaphor may a p p e a r i n t h i s p o s i t i o n .
L e t u s now t u r n t o t h e non-over t c o u n t e r p a r t s o f pronomi-
nal and a n a p h o r i c Noun P h r a s e s . A [+anaphor , -pronominal ]
non-over t NP -- a s i t s o v e r t c o u n t e r p a r t -- must f u l f i l l a t
l e a s t two r e q u i r e m e n t s : i t must n o t have i n d e p e n d e n t refer-
e n c e and i t must be bound i n i t s g o v e r n i n g c a t e g o r y . A case
i n p o i n t a r c t h e non-over t N P s found i n t h e o b j e c t p o s i t i o n
o f p a s s i v e s and i n the s u b j e c t p o s i t i o n o f t h e complement o f
r a i s i n g v e r b s which t r i g g e r g - d e l e t i o n :
(93) a- P e t e r t h i n k s t h a t IS Johni was k i l l e d -i I
b- fS* Johni was b e l i e v e d IS t o have been k i l l e d . I -i -1
c- [S* John seemed [S i -i t o b e a n g r y ]
I n (93)a-c, t h e non-over t NPs a r e bound i n t h e i r g o v e r n i n g
c a t e g o r y : i . e . , S i n t h e c a s e o f t h e o b j e c t s and S* i n t h e
c a s e o f t h e s u b j e c t s .
A [+pronominal , -anaphor l non-over t NP must m e e t a t
l e a s t t h e f o l l o w i n g two c o n d i t i o n s : i t must be a b l e t o have
o r n o t t o have i n d e p e n d e n t r e f e r e n c e and it must be f r e e i n
i t s g o v e r n i n g c a t e g o r y . I t i s found i n t h e s u b j e c t p o s i t i o n
o f t e n s e d c l a u s e s i n l a n g u a g e s l i k e S p a n i s h and I t a l i a n :
( 9 4 ) a- t r a b a ja duramente . -i
( H e works h a r d . )
b- Pedro p i e n s a que [ S -i t r a b a j a demasiado]
( P e t e r t h i n k s t h a t he works t o o h a r d . )
and p o s s i b l e i n t h e o b j e c t p o s i t i o n o f l a n g u a g e s w i t h o b j e c t
c l i t i c s :
( 9 5 ) a- J e a n - l ' a vu -i '
(John saw him.)
b- J e a n - l u i a p a r 1 6 -i - (John spoke t o him. )
(See s e c t i o n 1 1 . 4 . 3 . 1 f o r f u r t h e r d i s c u s s i o n . )
F i n a l l y , c o n s i d e r a non-over t NP w i t h t h e f e a t u r e s
[+anaphor , + p r o n o m i n a l ] . R e c a l l t h a t w i t h r e s p e c t t o t h e i r
s e m a n t i c s , anaphors have no i n d e p e n d e n t r e f e r e n c e w h i l e pro-
n o m i n a l ~ may o r may n o t have independen t r e f e r e n c e . Hence,
an N P which i s b o t h a n a p h o r i c and pronominal w i l l have no
i n d e p e n d e n t r e f e r e n c e ( i . e . , t h e o v e r l a p p i n g p r o p e r t y of
p ronomina l s and a n a p h o r s ) . With r e s p e c t t o t h e Bind ing P r i n -
c i p l e s , r e c a l l t h a t anaphors are bound i n t h e i r govern ing
c a t e g o r y and p ronomina l s a r e f r e e i n t h e i r g o v e r n i n g c a t e g o r y .
Consequen t ly , t o a v o i d c o n t r a d i c t i o n , pronominal a n a p h o r s
must n o t have a govern ing c a t e g o r y : i . e . , t h e y a r e ungoverned.
Pronominal anaphors a r e found i n c o n t r o l c o n s t r u c t i o n s :
( 9 6 ) a- n o n - a r b i t r a r y c o n t r o l : Peteri d e c i d e d [E -i
t o l e a v e ]
b- a r b i t r a r y c o n t r o l : I t i s u n c l e a r what [ - S -i t o do]
( I n (96)b t h e r e i s no independen t ( s p e c i f i c ) r e f e r e n c e : i . e . ,
t h e non-over t NP r e f e r s f r e e l y t o any ( a n i m a t e ) o b j e c t i n
some a b s t r a c t men ta l domain.) The domain i n which pronominal
anaphors may f i n d t h e i r a n t e c e d e n t s i s d e t e r m i n e d by t h e t h e o r y
of C o n t r o l , which p o s s i b l y can b e i n t e g r a t e d ( a t l eas t
p a r t l y ) i n t o t h e Bind ing Theory a s s u g g e s t e d by Manzini 1982.
O v e r t pronominal a n a p h o r s do n o t e x i s t -- i n c l u d i n g i n
l a n g u a g e s l i k e I c e l a n d i c which h a s a mechanism t o a s s i g n c a s e
t o pronominal a n a p h o r s . C f . s e c t i o n 1 1 . 2 . The r e a s o n might
be a f u n c t i o n a l one: fo r a l e x i c a l i t e m t o e x i s t it must b e
able t o a p p e a r i n a wide v a r i e t y of p o s i t i o n s . But pronominal
a n a p h o r s may o n l y a p p e a r i n t h e s u b j e c t o f n o n - f i n i t e c l a u s e s
-- t o o r e s t r i c t i v e a d i s t r i b u t i o n f o r a l e x i c a l i t e m . 9
+ + I f non-over t NPs b e a r t h e f e a t u r e s -anaphor , -pronominal ,
+ - t h - r o l e , t h e n t h e r e a r e a p r i o r i 8 t y p e s o f non-over t N P s .
Type 1 is presumably n o n - e x i s t e n t . See s e c t i o n 11.4.3 f o r
d i s c u s s i o n . Type 2 i s t h e non-over t NP found i n s e n t e n c e s
l i k e ( 9 3 ) a - c . I t i s r e f e r r e d t o a s t r a c e . Type 5 i s t h e
non-over t N P found i n s e n t e n c e s l i k e ( 9 6 ) a - b . I t i s r e f e r r e d
t o a s PRO. Type 6 w i l l be d i s c u s s e d i n t h e n e x t s e c t i o n . - I t w i l l be s u g g e s t e d t h e r e t h a t t h i s t y p e o f non-over t NP i s
found i n t h e " m e n a c e r - c o n s t r u c t i o n . " I t h a s mixed p r o p e r t i e s .
On t h e one hand, i t i s l i k e a t r a c e i n t h a t it b e a r s no t h - r o l e
and on the o t h e r hand, it i s l i k e a PRO i n t h a t it is un- - governed. Consequen t ly , l i k e PRO, i t f a l l s under t h e t h e o r y
o f C o n t r o l . Type 7 i s found i n t h e s u b j e c t p o s i t i o n o f sen-
t e n c e s l i k e ( 9 4 ) a-b i n l anguages l i k e S p a n i s h and I t a l i a n
and p o s s i b l y i n o b j e c t p o s i t i o n i n s e n t e n c e s l i k e ( 9 5 ) a - b i n
l a n g u a g e s w i t h o b j e c t c l i t i c s . Type 8 i s a l s o found i n t h e
s u b j e c t p o s i t i o n i n s e n t e n c e s w i t h no e x t e r n a l argument i n
l a n g u a g e s l i k e S p a n i s h and I t a l i a n :
( 9 8 ) a- - p a r e c e que Pedro vendrg .
( I t seems t h a t P e t e r w i l l come.)
b- - puede ser que Pedro venga.
( I t may b e t h e c a s e t h a t Peter w i l l come.)
The non-over t NPs o f Type 7 and 8 a r e r e f e r r e d t o a s pro. The
former i s an argument pro, t h e l a t t e r an e x p l e t i v e pro. (Note
+ t h a t o v e r t p ronomina l s have t h e same p r o p e r t y , - t h - r o l e . )
F i n a l l y a word must b e s a i d a b o u t t h e non-over t NPs
known a s v a r i a b l e s . V a r i a b l e s a r e l o c a l l y A-bound. Tha t i s ,
t h e i r a n t e c e d e n t s a r e i n a p o s i t i o n which i s n o t a n A - p o s i t i o n ,
namely i n Comp. They have no i n d e p e n d e n t r e f e r e n c e . The
r a n g e o f t h e i r r e f e r e n c e i s f i x e d by a n o p e r a t o r :
(99) a- Whoi d i d John see . ? -1
b- The book whichi John bough t i s i n t e r e s t i n g . -i
Moreover, v a r i a b l e s have name-l ike d e n o t i n g p r o p e r t i e s ( y e t
t o be made p r e c i s e ) and l i k e names t h e y must b e a r a t h - r o l e .
V a r i a b l e s a r e t h e n non-over t NPs o f Type 3 . Type 4 i s non-
e x i s t e n t s i n c e v a r i a b l e s -- l i k e names -- a r e arguments .
A [+anaphor , -pronominal ] v a r i a b l e i s e x c l u d e d by P r i n -
c i p l e A o f t h e Bind ing Theory i n s o f a r as S and n o t S is
d e f i n e d a s a govern ing c a t e g o r y , b u t a [ -anaphor , +pronominal ]
v a r i a b l e i s a p o s s i b i l i t y a l lowed by t h e grammar. And i n
e f f e c t , i n l a n g u a g e s w i t h a resumpt ive-pronoun s t r a t e g y ,
pronouns may f u n c t i o n a s v a r i a b l e s . On t h e o t h e r hand,
[+anaphor , +pronominal ] v a r i a b l e s seem t o b e n o n - e x i s t e n t .
The n o n - e x i s t e n c e o f t h i s t y p e o f non-over t NP might be
r e l a t e d t o t h e non-ex i s t ence o f o v e r t pronominal a n a p h o r s ,
b u t it i s n o t c l e a r how. W e l e a v e t h i s problem unso lved .
- 4 . 2 C o - s u p e r s c r i p t i n g , S - d e l e t i o n , and t h e i - w i t h i n - i
C o n d i t i o n
I t i s well-known t h a t t h e r e a r e p r e d i c a t e s which l i k e
s e e m do n o t a s s i g n a n argument t h - r o l e t o ' . t h e i r s u b j e c t b u t
which u n l i k e seem do n o t a l l o w s u b j e c t - t o - s u b j e c t movement:
n e c e s s a r y , p o s s i b l e , p r o b a b l e , o b v i o u s , ....
(100) a- I t i s n e c e s s a r y t h a t John l e a v e .
b- I t is n e c e s s a r y t o l e a v e .
*c- John i s n e c e s s a r y t o l e a v e .
It i s moreover well-known t h a t p r e d i c a t e s l i k e seem a r e
o b l i g a t o r i l y s u b j e c t - t o - s u b j e c t r a i s i n g p r e d i c a t e s when t h e y
take an i n f i n i t i v a l complement.
(101) a- I t seems t h a t John i s s i c k .
*b- It seems t o be s i c k .
c- John seems t o be s i c k .
The c o n t r a s t between s e n t e n c e s l i k e (100) b and s e n t e n c e s
l i k e ( 1 0 1 ) b is c h a r a c t e r i z e d i n t h e f o l l o w i n g way ( c f .
Rouvere t & Vergnaud 1978, Chomsky 1 9 8 1 a ) :
(102) The - seem-c lass of p r e d i c a t e s t r i g g e r 5 - d e l e t i o n ;
t h e n e c e s s a r y - c l a s s o f p r e d i c a t e s do n o t t r i g g e r
g - d e l e t i o n .
Thus, seem, b u t n o t n e c e s s a r y , governs t h e s u b j e c t o f i t s
c l a u s a l complement s i n c e no maximal c a t e g o r y i n t e r v e n e s between
t h e two. The non-over t N P i n (100) b i s hence PRO: it b e a r s
a t h - r o l e and it i s ungoverned. The non-over t NP i n (101) b
c a n n o t b e PRO because it i s governed. I t c a n n o t be trace - because it b e a r s a t h - r o l e and i t i s n o t bound i n i t s g o v e r n i n g
c a t e g o r y ( i n e f f e c t , i t i s n o t bound a t a l l ) . Hence, i t must
be pro: it b e a r s a t h - r o l e and it i s f r e e i n i t s g o v e r n i n g
c a t e g o r y . But t h e r e i s a f u r t h e r c o n d i t i o n on pro -- t o be
d i s c u s s e d i n t h e n e x t s e c t i o n -- which i s n o t s a t i s f i e d i n
(101)b. The s e n t e n c e i s c o n s e q u e n t l y r u l e d o u t .
S i n c e t h e r e i s no v e r b seem* i d e n t i c a l t o s e e m which
a p p e a r s i n b o t h s t r u c t u r e s (101) b and (101) c , w e may c o n c l u d e
t h a t 5 - d e l e t i o n i s n o t a n o p t i o n a l p r o p e r t y o f r a i s i n g p r e d i -
cates. But reca l l t h a t S - d e l e t i o n o n l y a p p l i e s t o i n f i n i t i v a l
complements. C f . (101) a . Why? 5 - d e l e t i o n i m p l i e s Comp
d e l e t i o n . Suppose t h a t Comp c o n t a i n s t h e [ + t e n s e ] f e a t u r e i n
a tensed s e n t e n c e , a s s u g g e s t e d by den B e s t e n 1978. The
i m p o s s i b i l i t y o f 5 - d e l e t i o n i n t e n s e d c l a u s e s might t h e n be
a t t r i b u t e d t o t h e p r i n c i p l e of r e c o v e r a b i l i t y o f d e l e t i o n
because i t i m p l i e s n o n - r e c o v e r a b l e d e l e t i o n o f t h e [ + t e n s e ]
f e a t u r e . Note t h a t i n I t seems John i s s i c k , Comp h a s n o t
been d e l e t e d . I n E n g l i s h , a s i s well-known, t h e r e i s o p t i o n a l
t h a t - i n s e r t i o n i n t h e Comp o f t h e complement o f a c e r t a i n c l a s s
of v e r b s . I n French complementizer-insertion is o b l i g a t o r y .
Consequen t ly , t h e F r e n c h c o u n t e r p a r t i s ungrammat ica l : * I 1 - semble J e a n e s t malade. I n c o n c l u s i o n , i f a r a i s i n g v e r b i s
I + ? , - d e l e t i o n ] , t h e n S - d e l e t i o n a p p l i e s o b l i g a t o r i l y up t o
r e c o v e r a b i l i t y . 10
But why i s ( 1 0 0 ) ~ ~ as w e l l a s ( 1 0 3 ) a - f , ungrammat ica l?
( 1 0 3 ) *a- John w a s t i r e d [S e t o be p o l i t e ] j j
*b- John was u n c l e a r [E how [e t o answer t h e q u e s t i o n ] ] j j
*c- John was wanted [: e t o l e a v e ] j j
*a- There was t r i e d [ - e t o b e a pol icemen on e v e r y j S j
s t r e e t ]
*e- J e a n f a u t [ - e p a r t i r ] S j
( John i s n e c e s s a r y t o come.)
*f- Juan es p o s i b l e [; que [ e venga 1 1 1 . j
(John i s p o s s i b l e t h a t w i l l come.)
I n ( 1 0 0 ) c and (103) a-f t h e NP i n t h e m a t r i x subject p o s i t i o n
h a s been r a i s e d f rom t h e s u b j e c t p o s i t i o n i n t h e embedded
c l a u s e . Note t h a t t h e u n g r a m m a t i c a l i t y c a n n o t be due t o t h e
Argument T h - C r i t e r i o n s i n c e t h e m a t r i x p r e d i c a t e s i n t h e s e
s e n t e n c e s do n o t s e l e c t an e x t e r n a l a rgument . Before w e
p r o v i d e an e x p l a n a t i o n f o r t h e ungra rnmat ica l i ty o f (100) c
and ( 1 0 3 ) a - f , a b r i e f d i g r e s s i o n i s n e c e s s a r y .
Chomsky 1981a h a s s u g g e s t e d t h a t t h e agreement r e l a t i o n
between t h e AGR e lement g e n e r a t e d under I n f l e x i o n and t h e
s u b j e c t be e x p r e s s e d by a c o - s u p e r s c r i p t i n g n o t a t i o n . H e
s u g g e s t e d moreover t h a t t h e s u b j e c t p o s i t i o n o f a p r e d i c a t e
w i t h no e x t e r n a l argument t h - r o l e be c o - s u p e r s c r i p t e d w i t h a
p o s t - v e r b a l complement. T h i s i s i l l u s t r a t e d i n ( 1 0 4 ) .
(104) i i I t AGR seems L 5 t h a t John i s s i c k ]
What i s t h e meaning of t h e c o - s u p e r s c r i p t i n g r e l a t i o n between
I t and t h e c l a u s a l complement? A n o t i m p l a u s i b l e h y p o t h e s i s - i s t h a t e v e r y A-pos i t ion must be t h e m a t i c a l l y i d e n t i f i e d . A
p o s i t i o n i s t h e m a t i c a l l y i d e n t i f i e d i f it i s a s e m a n t i c
p o s i t i o n o r i f i t i s l i n k e d t o a s e m a n t i c p o s i t i o n . The
o b j e c t i s a lways t h e m a t i c a l l y i d e n t i f i e d i n a t r i v i a l way
s i n c e it f o l l o w s from t h e P r o j e c t i o n P r i n c i p l e t h a t a n o b j e c t
p o s i t i o n i s p r e s e n t i f and o n l y i f i t is a n argument p o s i -
t i o n . On t h e o t h e r hand, t h e s u b j e c t - p o s i t i o n i s p r e s e n t
whe the r o r n o t it i s a s e m a n t i c p o s i t i o n . Hence, t h e s u b j e c t
p o s i t i o n i s t h e m a t i c a l l y i d e n t i f i e d i n one o f two ways:
e i t h e r (1) t h e VP h a s t h e p r o p e r t y o f a s s i g n i n g a s e m a n t i c
role ( e i t h e r a n argument t h - r o l e o r a n a d j u n c t t h - r o l e ) t o
t h e s u b j e c t p o s i t i o n ( i . e . , [ N P , Sl i s a dependent of a VP
w i t h t h e f e a t u r e +Semantic Ro le ) o r ( 2 ) t h e s u b j e c t p o s i t i o n
i s l i n k e d t o a s e m a n t i c p o s i t i o n by co- index ing . I n ( 1 0 4 )
t h e m a t r i x s u b j e c t p o s i t i o n i s t h e m a t i c a l l y i d e n t i f i e d b e c a u s e
it i s c o - s u p e r s c r i p t e d w i t h a s e m a n t i c p o s i t i o n , namely t h e
p o s t - v e r b a l complement p o s i t i o n . ( I t i s r e a s o n a b l e t o assume
t h a t c o - s u p e r s c r i p t i n g i s s t r i c t l y l o c a l : i . e . , c l a u s e i n t e r n a l ) .
Chomsky 1981a p roposed moreover t h e f o l l o w i n g c o n d i t i o n
on co- index ing :
(105) The i - w i t h i n - i C o n d i t i o n
* I > - = - 6 . . . 1, where )C and 6 b e a r t h e same i n d e x .
The n o t i o n o f a c c e s s i b i l i t y i s d e f i n e d i n t e r m s o f t h e
i - w i t h i n - i C o n d i t i o n . ( R e c a l l t h a t t h e n o t i o n o f a c c e s s i b l e
s u b j e c t p l a y s a r o l e i n d e f i n i n g t h e n o t i o n o f govern ing
c a t e g o r y . Cf. 11. ( 8 9 ) ) .
(106) i s a c c e s s i b l e t o 4 i f and o n l y i f 4 i s i n t h e
c-command domain o f oc and a s s i g n e m e n t t o @ o f t h e
i n d e x o f oc would n o t v i o l a t e t h e i - w i t h i n - i C o n d i t i o n .
The n o t i o n o f a c c e s s i b i l i t y a s d e f i n e d i n ( 1 0 6 ) e x p l a i n s t h e
c o n t r a s t between s e n t e n c e s l i k e (107) a and (107) b.
(107) a- They t h i n k it i s a p i t y t h a t p i c t u r e s o f e a c h o t h e r
are h a n g i n g on t h e w a l l .
*b- They t h i n k he s a i d t h a t p i c t u r e s o f e a c h o t h e r a r e
hang ing on t h e w a l l .
I n ( 1 0 7 ) a it i s c o - s u p e r s c r i p t e d w i t h t h e c l a u s e t h a t c o n t a i n s - p i c t u r e s o f e a c h o t h e r . Consequen t ly , i t i s n o t an a c c e s s i b l e - s u b j e c t f o r e a c h o t h e r s i n c e c o i n d e x i n g between it and e a c h - - o t h e r would v i o l a t e t h e i - w i t h i n - i C o n d i t i o n . Hence, t h e
g o v e r n i n g c a t e g o r y f o r e a c h o t h e r i s t h e m a t r i x c l a u s e , which
c o n t a i n s a s u b j e c t a c c e s s i b l e t o each o t h e r . On t h e o t h e r hand,
i n ( 1 0 7 ) b he i s a s u b j e c t a c c e s s i b l e t o e a c h o t h e r . The S - - complement o f t h i n k i s t h e n tile g o v e r n i n g c a t e g o r y f o r e a c h - o t h e r . S i n c e e a c h o t h e r ( a l e x i c a l a n a p h o r ) d o e s n o t have a n
a n t e c e d e n t w i t h i n t h i s domain, t h e s e n t e n c e i s r u l e d o u t
b e c a u s e it v i o l a t e s P r i n c i p l e A o f t h e Bind ing Theory. The
i - w i t h i n - i Cond i t ion also e x p l a i n s t h e u n g r a m m a t i c a l i t y o f
t h e f o l l o w i n g c o n s t r u c t i o n s :
(108) *a- [ t h e f r i e n d s o f [ each o t h e r ' s ] p a r e n t s ] NP i i
*b- 'NP, t h e f r i e n d s o f [ L i t h e i r ] p a r e n t s ] ]
e a c h o t h e r and t h e i r may n o t be c o r e f e r e n t i a l w i t h t h e NP
c o n t a i n i n g them.
I n Z u b i z a r r e t a 1981 t h e i m p o s s i b i l i t y o f wh-sub jec t e x t r a c t i o n
f r o m f a c t i v e complements i n E n g l i s h , F r e n c h , and P o r t u g u e s e
as w e l l as o t h e r phenomena i s e x p l a i n e d i n terms o f t h e
i - w i t h i n - i C o n d i t i o n . See C h a p t e r I V , P a r t I1 f o r a b r i e f
d i s c u s s i o n o f some o f t h e s e f a c t s .
L e t u s come back t o o u r i n i t i a l q u e s t i o n . Why a r e ( 1 0 0 ) ~
and (103) a- f ungrammat ica l? R e c a l l t h a t e v e r y A - p o s i t i o n
must be t h e m a t i c a l l y i d e n t i f i e d . L e t u s f u r t h e r assume t h a t
a n A - p o s i t i o n must be t h e m a t i c a l l y i d e n t i f i e d a t e v e r y l e v e l
o f r e p r e s e n t a t i o n -- i n c l u d i n g D - S t r u c t u r e . T h i s means t h a t
i f a s u b j e c t p o s i t i o n is n o t a semant ic dependen t o f a VP,
it must be c o - s u p e r s c r i p t e d w i t h a n argument p o s i t i o n a t
D - S t r u c t u r e . Now r e c a l l t h a t t h e s u b j e c t p o s i t i o n o f was - t r i e d , was u n c l e a r , i s n e c e s s a r y , was wanted , f a l l o i r ,
es p o s i b l e a r e n o t argument t h - p o s i t i o n s . Consequen t ly , it
w i l l b e c o - s u p e r s c r i p t e d w i t h t h e p o s t - v e r b a l c l a u s a l comple-
ment. When t h e embedded s u b j e c t moves i n t o t h e m a t r i x sub-
ject p o s i t i o n , e v e r y e l e m e n t i n t h e c h a i n j_ w i l l i n h e r i t t h e
s u p e r s c r i p t . (103) a-f and (100) c w i l l t h e n have t h e f o l l o w i n g
indexed s t r u c t u r e s , which c l e a r l y v i o l a t e t h e i - w i t h i n - i
C o n d i t i o n . 11
i (109) *a- Johni was t r i e d [-i e- t o be p o l i t e ]
j s j
i i *b- J o h n , w a s u n c l e a r [mi how [ e t o answer t h e 3 S s J
q u e s t i o n I I
i *c- Johni i s wanted [ m i e t o l e a v e ] j s j i ' i
*d- There was t r i e d [-i e t o be a po l i ceman on e v e r y j s j
s t r e e t . ]
i e- Jean i f a u t e p a r t i r ] j s j i i
*f- Juan es p o s i b l e que [ e v e n g a ] ] j s s j i i *g- John i s n e c e s s a r y [mi e t o l e a v e ] j s j
I n L e c t u r e s on Government and Bind ing , t h e ungrammati-
c a l i t y o f ( 1 0 9 ) a - f i s accoun ted f o r by a n o t h e r p r i n c i p l e o f
grammar: The Empty Ca tegory P r i n c i p l e ( E C P ) .
(110) A t r a c e must b e p r o p e r l y governed.
cr p r o p e r l y governs g i f and o n l y i f oc governs 8 and
a # AGR.
Thus, ECP e x c l u d e s s e n t e n c e s ( 1 0 9 ) a - f b e c a u s e t h e t r a c e i n
s u b j e c t p o s i t i o n i s n o t p r o p e r l y governed. But s i n c e w e have
an i n d e p e n d e n t l y m o t i v a t e d p r i n c i p l e , i . e . t h e i - w i t h i n - i
C o n d i t i o n , which a c c o u n t s f o r t h e u ~ l g r a m m a t i c a l i t y o f (109) a - f ,
w e can d i s p e n s e w i t h ECP f o r t h e s e c a s e s . 12
Verbs l i k e seem a l l o w sub j e c t - t o - s u b j e c t r a i s i n g because
t h e y t r i g g e r 5 - d e l e t i o n . D e l e t i o n o f ,? a v o i d s a v i o l a t i o n
of the i - w i t h i n - i C o n d i t i o n .
(111) a- ~ o h n ~ seems [-i [ ei t o be s i c k l 1 j s s j
A f t e r s - d e l e c t i o n :
b - ~ o h n i seems [ ei t o be s i c k l 3 s j
Hence, w e may assume t h a t t h e " r a i s o n d1e" t re" o f S - d e l e t i o n i n
the case of r a i s i n g c o n s t r u c t i o n s i s t o a v o i d a v i o l a t i o n o f
t h e i - w i t h i n - i C o n d i t i o n . W e may assume moreover t h a t l e x i c a l
p r o p e r t i e s o f a f u n c t i o n a l n a t u r e a r e non-vacuous. T h i s would
mean t h a t among t h e r a i s i n g p r e d i c a t e s , o n l y t h o s e t h a t do n o t
a s s i g n a s e m a n t i c r o l e o b l i g a t o r i l y t o t h e s u b j e c t p o s i t i o n
may b e g - d e l e t i o n p r e d i c a t e s . I n e f f e c t , s i n c e t h e f u n c t i o n o f
2 - d e l e t i o n i n the c a s e o f r a i s i n g p r e d i c a t e s i s t o d e l e t e a n
3 which b e a r s a s u p e r s c r i p t and r e c a l l t h a t a complement i s
c o - s u p e r s c r i p t e d w i t h t h e s u b j e c t p o s i t i o n o n l y when the s u b j e c t -
i s n o t t h e m a t i c a l l y i d e n t i f i e d , S - d e l e t i o n w i l l be a non-vacuous
p r o p e r t y o f a r a i s i n g p r e d i c a t e o n l y i f t h e p r e d i c a t e i n q u e s t i o n
does n o t o b l i g a t o r i l y a s s i g n a t h - r o l e t o t h e s u b j e c t p o s i t i o n .
Now r e c a l l t h a t t h e menacer -c lass o f v e r b s a s s i g n o b l i g a -
t o r i l y e i t h e r a n argument o r a d j u n c t t h - r o l e t o t h e s u b j e c t
p o s i t i o n and g t r e s u s c e p t i b l e and Gtre f o u t u a s s i g n o b l i g a t o r i l y
an a d j u n c t t h - r o l e t o t h e s u b j e c t p o s i t i o n . Consequen t ly , t h e r e
i s no c 0 - s u p e r s c r i p t i n g between t h e s u b j e c t p o s i t i o n and t h e
p o s t - v e r b a l complement i n t h e c o n s t r u c t i o n s t h a t c o n t a i n t h e s e
p r e d i c a t e s . I n t h e s e c a s e s t h e n , s u b j e c t - t o - s u b j e c t r a i s i n g
c r e a t e s no v i o l a t i o n o f t h e i - w i t h i n - i C o n d i t i o n . Assuming
the s u g g e s t i o n i n t h e p r e c e d i n g p a r a g r a p h t o be c o r r e c t , t h e
menacer -c lass o f v e r b s a s w e l l a s t h e e t re s u s c e p t i b l e - c l a s s
of p r e d i c a t e s w i l l t h e n n o t b e g - d e l e t i o n p r e d i c a t e s . The non-
o v e r t NP i n t h e s u b j e c t p o s i t i o n o f t h e complement o f t h e s e
r a i s i n g p r e d i c a t e s w i l l c o n s e q u e n t l y have t h e f o l l o w i n g mixed
p r o p e r t i e s : i t i s t r a c e - l i k e i n t h a t it does n o t b e a r a t h - r o l e
(it t r a n s m i t s a t h - r o l e ) and it i s PRO-like i n t h a t it i s
ungoverned. T h i s i s e x a c t l y t h e non-over t NP o f t y p e 6 i n
1 1 . 9 7 ) I n what f o l l o w s w e s h a l l g i v e e v i d e n c e t h a t t h e non-
o v e r t NP i n t h e r a i s i n g menacer- type c o n s t r u c t i o n i s a pronominal
anaphor -- i . e . , it i s ungoverned. Note t h a t t h i s i n d i r e c t l y
l e n d s s u p p o r t t o t h e non-vacui ty assumpt ion made above.
4 .2 .1 An argument f o r t h e e x i s t e n c e o f [ - t h - r o l e , +anaphor ,
+pronominal ] non-over t N P s .
I t h a s been n o t i c e d t h a t t h e r e i s a n o t h e r p r o p e r t y t h a t
d i s t i n g u i s h e s r a i s i n g c o n s t r u c t i o n s from c o n t r o l c o n s t r u c t i o n s
i n Romance l a n g u a g e s . T h i s 'is t h e i m p e r s o n a l - s e - p a s s i v e o r
middle - se , which w i l l be d i s c u s s e d i n more d e t a i l i n C h a p t e r
111. Some examples o f - s e - p a s s i v e a r e g i v e n below.
(112) a- Ces d t e m e n t s se l a v e n t f a c i l e m e n t .
(These c l o t h e s wash e a s i l y . )
b- Des e n f a n t s p a r e i l s s ' i n v i t e n t avec p l a i s i r .
( C h i l d r e n l i k e t h e s e o n e s a r e i n v i t e d w i t h p l e a s u r e .
The - s e - p a s s i v e may a p p e a r i n t h e complement o f r a i s i n g v e r b s
b u t n o t i n t h e complement o f c o n t r o l v e r b s -- a s shown by t h e
f o l l o w i n g examples .
(113) a- C e s d t e m e n t s semblen t IS t se l a v e r f a c i l e m e n t . ]
(These c l o t h e s seem t o wash e a s i l y . )
b- D e s e n f a n t s p a r e i l s peuven t [ t s ' i n v i t e r a v e c p l a i s i r . 1 S
( C h i l d r e n l i k e t h e s e o n e s may b e i n v i t e d w i t h p l e a s u r e . )
( 1 1 4 ) *a- I1 f a u t [ - NP* s l a r r $ t e r l e ma t in l S
( I t i s n e c e s s a r y t o be a r r e s t e d i n t h e morning.]
*b- I1 e s t i m p o s s i b l e [ N P * de s e mettre e n p r i s o n a v e c - s
p l a i s i r ]
( I t i s i m p o s s i b l e t o be p u t i n j a i l w i t h p l e a s u r e . )
*c- L e s h o m e s ne v e u l e n t g6n6ralernent p a s s ' i n v i t e r
2 ce g e n r e de d u n i o n .
(Men normal ly do n o t wan t t o b e i n v i t e d t o t h i s t y p e
o f mee t ing . )
(The r e f l e x i v e r e a d i n g s a r e i r r e l e v a n t . )
Compare ( 1 1 4 ) a - b w i t h t h e p a s t - p a r t i c i p l e p a s s i v e s , which
a r e grammat ica l :
(115) a- I1 f a u t [ - PRO gtre a r r g t ; l e m a t i n ] S
b- I1 e s t i m p o s s i b l e [ - PRO d ' g t r e m i s e n p r i s o n avec S
p l a i s i r ]
c- Les h o m e s ne v e u l e n t gdn6ra lement p a s [ - PRO gtre S
i n v i t 6 s > c e g e n r e d e r g u n i o n l
B e l l e t t i 1980 p r o p o s e s t h a t t h e impersona l - se i s g e n e r a t e d
under I n f l e x i o n . Fo l lowing t h i s p r o p o s a l , R i z z i 1980b s u g g e s t s
t h a t t h e d i f f e r e n c e between (113) and ( 1 1 4 ) is due t o t h e
s t a t u s o f se a s a governor . I f se i s a governor i t can c o e x i s t - - w i t h a t r a c e ( a s i n examples (113) a-b) o r w i t h p r o i n s u b j e c t
p o s i t i o n . But it c a n n o t c o e x i s t w i t h a pronominal anaphor .
Hence, i n ( 1 1 4 ) a - c NP* c a n n o t b e a pronominal anaphor because
it i s a governed p o s i t i o n . I t c a n n o t b e t r a c e because it would
v i o l a t e P r i n c i p l e A o f t h e Bind ing Theory. Why c a n ' t NP* b e
p r o ? T h i s q u e s t i o n w i l l b e answered i n t h e n e x t s e c t i o n .
I n t e r e s t i n g l y enough, t h e - s e - p a s s i v e c a n n o t a p p e a r i n t h e
c l a u s a l complement o f t h e menacer -c lass o f v e r b s ( i n n e i t h e r
t h e c o n t r o l n o r t h e r a i s i n g c o n s t r u c t i o n ) n o r i n t h e complerilent
of t h e z t re s u s c e p t i b l e - c l a s s o f p r e d i c a t e s .
(116) *a- C e s v s t e m e n t s menacen t /p romet ten t de se l a v e r f r g -
q u e m e n t . (These c l o t h e s t h r e a t e n / p r o m i s e t o be washed £re-
q u e n t l y . ) *b- C e fromage e x i g e / m 6 r i t e de se manger a v e c un bon v i n .
( T h i s c h e e s e d e m a n d s / d e s e r v e ~ t o be e a t e n w i t h a good
wine . )
*c- C e s vgternents s o n t s u s c e p t i b l e s / f o u t u s de se l a v e r
f a c i l e m e n t .
(These c l o t h e s a r e l i a b l e / c a n be washed e a s i l y . )
Compare ( 1 1 6 ) a - c w i t h t h e p a s t - p a r t i c i p l e c o u n t e r p a r t s which
are g rammat ica l .
(117) a- C e s v6tements menacen t /p ro r . e t t en t d ' g t r e l a v g s f r e -
quemment.
b- C e fromage e x i g e / m 6 r i t e d l & t r e mang6 a v e c un bon v i n .
c- C e s vg tements s o n t s u s c e p t i b l e s / f o u t u s d 1 6 t r e l a d s
f a c i l e m e n t .
The ungramrna t i ca l i ty o f ( 1 1 6 ) a - c i s j u s t what w e e x p e c t s i n c e
a pronominal anaphor may n o t b e governed. From t h i s p o i n t o f
view t h e r a i s i n g menacer -c lass of p r e d i c a t e s i s p r e d i c t e d t o
behave l i k e c o n t r o l v e r b s , and t h e p r e d i c t i o n i s borne o u t .
Note t h a t w h i l e s u b j e c t - t o - s u b j e c t r a i s i n g from a t e n s e d
c l a u s e i s r u l e d o u t by t h e i - w i t h i n - i C o n d i t i o n i n t h e c a s e
of p r e d i c a t e s l i k e e s p o s i b l e which a s s i g n no t h - r o l e t o t h e
s u b j e c t p o s i t i o n ( c f . (109) £1 , i t is u n c l e a r why t h e r e a r e no
p r e d i c a t e s i n t h e menacer -c lass which a l l o w s u b j e c t - t o - s u b j e c t
r a i s i n g from a t e n s e d c l a u s e : i . e . , why c a n ' t a [+pronomina l ,
-anapnor , - t h - r o l e ] appear i n t h e embedded s u b j e c t p o s i t i o n i n
s e n t e n c e s l i k e ( 1 1 8 ) b ?
(118) a- Los manzanos prometen d a r buenos f r u t o s este azo .
(The a p p l e trees promise t o g i v e good f r u i t s t h i s
y e a r .
*b- Los manzanos prometen que d a r g n buenos f r u t o s e s t e azo .
(The a p p l e t r e e s promise t h a t w i l l g i v e good f r u i t s
t h i s y e a r . )
When t h e complement c l a u s e i s f i n i t e , p r o m e t e r a s s i g n s an argu-
ment t h - r o l e and t h e m a t r i x s u b j e c t must b e a g e n t i v e .
To summarize, i n t h i s s e c t i o n w e have s u g g e s t e d t h a t t h e
f u n c t i o n o f 2 - d e l e t i o n i s t o a v o i d a v i o l a t i o n o f t h e i - w i t h i n - i
C o n d i t i o n and t h a t among t h e r a i s i n g p r e d i c a t e s o n l y t h o s e t h a t
do n o t a s s i g n o b l i g a t o r i l y a t h - r o l e t o t h e s u b j e c t may be
[ + S - d e l e t i o n ] . Hence, t h e r a i s i n g menacer -c lass o f p r e d i c a t e s
are n o t [+ S - d e l e t i o n ] s i n c e , t h e y o b l i g a t o r i l y a s s i n g a n a d j u n c t
t h - r o l e . Consequen t ly , t h e non-over t N P i n t h e c l a u s a l comple-
ment o f t h e s e p r e d i c a t e s a r e t r a c e - l i k e i n t h a t t h e y do n o t
b e a r a t h - r o l e ( t h e y t r a n s m i t a t h - r o l e t o t h e i r a n t e c e d e n t )
b u t a r e PRO-like i n t h a t t h e y a r e ungoverned. Some e v i d e n c e
f o r t h e i r pronominal anaphor s t a t u s was g i v e n b a s e d on t h e
d i s t r i b u t i o n o f t h e middle - se.
4 . 3 On t h e i d e n t i f i c a t i o n o f non-over t NPs .
Chomsky 1981b s u g g e s t s t h a t f o r non-over t NPs t o be f u l l y
i d e n t i f i e d t h e y must have p e r s o n , number, and gender f e a t u r e s
(and p o s s i b l y a l s o c a s e i n l anguages l i k e I c e l a n d i c ) . Pronomi-
n a l anaphors have i n t r i n s i c f e a t u r e s . T h a t t h i s i s s o i s
i n d i c a t e d by t h e f a c t t h a t t h e f e a t u r e s o f PRO may v a r y a c r o s s
l a n g u a g e s . For example, i n I t a l i a n a n a r b i t r a r y PRO i s p l u r a l
w h i l e i n S p a n i s h it is s i n g u l a r . R e c a l l a l s o t h a t i n I c e l a n d i c
PRO may have i n t r i ' n s i c c a s e f e a t u r e . Wh-t races , NP- t races , and
p r o , on t h e o t h e r hand , a r e a s s i g n e d p e r s o n , number, gender
f e a t u r e s by some l o c a l e l e m e n t . W e s u g g e s t t h a t t h i s e l ement
must be a member o f t h e same t h - c h a i n t o which t h e i d e n t i f i e d
non-over t NP belongs. ( I d o t i v a t i o n i s g i v e n below) . T h i s i m p l i e s
t h a t w e must d e f i n e t h e n o t i o n o f t h - c h a i n t o i n c l u d e x - ~ o s i t i o n s .
Thus, a wh- t race o r wh-word i n Comp w i l l be p a r t o f a t h - c h a i n
and w i l l i d e n t i f y a wh- t race i n an A - p o s i t i o n w i t h which it i s
co indexed . The AGR e l e m e n t and c l i t i c s w i l l a l s o be p a r t o f a
t h - c h a i n and w i l l i d e n t i f y t h e p r o w i t h which t h e y a r e co indexed .
Note t h a t t h e r e q u i r e m e n t t h a t t h e e l e m e n t which a s s i g n s p e r s o n ,
number, gender f e a t u r e s and t h e i d e n t i f i e d non-over t N P be p a r t
of t h e same t h - c h a i n e x p l a i n s why a non-over t anaphor which
b e a r s a t h - r o l e d o e s n o t e x i s t ( c f . t y p e (1) i n I I ( 9 7 ) ) . I f
an anaphor b e a r s a t h - r o l e , t h e n t h e anaphor and i t s a n t e c e d e n t
a r e n o t members o f t h e same t h - c h a i n . Consequen t ly , t h e non-
o v e r t anaphor w i l l n o t b e c o r r e c t l y i d e n t i f i e d . F u r t h e r moti-
v a t i o n f o r t h e above-mentioned r e q u i r e m e n t w i l l be g i v e n i n
Chap te r 111.
The l o c a l i t y c o n d i t i o n on t h e i d e n t i f i c a t i o n o f N P - t r a c e s
is f u r t h e r m o r e d e t e r m i n e d by P r i n c i p l e A o f t h e Binding Theory.
I n t h e c a s e o f w h - t r a c e s , l o c a l i t y i s d e t e r m i n e d by Subjacency
-- assuming t h a t a wh-opera tor may t r a n s m i t f e a t u r e s t o t h e
v a r i a b l e t o which it i s bound th rough i n t e r m e d i a r y t r a c e s i n
Comp. (Subjacency i s a c o n d i t i o n on movement which f o r b i d s
a moved e lement t o c r o s s o v e r more t h a n one bounding node.
Cf. Chomsky 1973. Bounding nodes a r e and NP. S i s a weak
bounding node and p o s s i b l y a p a r a m e t r i z e d o n e . ) I n t h e fo l low-
ing s u b - s e c t i o n t h e l o c a l i t y c o n d i t i o n on t h e i d e n t i f i c a t i o n o f
p r o w i l l be s t a t e d .
4 . 3 . 1 C o n d i t i o n on t h e i d e n t i f i c a t i o n o f p r o . The d i s t r i -
b u t i o n o f t h e g e n i t i v e c l i t i c ' e n ' (11).
C o n s i d e r t h e f o l l o w i n g s e n t e n c e s .
(119) a- P i e r r e 1. a vu I N p el i . . -1
( P e t e r him-saw. )
/
b- P i e r r e l u i a p a r l e [Np el i. -i
( P e t e r t o h im- ta lked . )
c- P i e r r e e n a vu [ -i NP * l ' a m i INP e l . I 1 j
( P e t e r gen. c l . ( = h i s ) saw t h e f r i e n d . )
B o r e r 1981 a r g u e s t h a t t h e c l i t i c i s n o t a s y n t a c t i c p o s i t i o n
(of t h e t y p e [ - c l [ V 1 1 a s h a s been s u g g e s t e d by Kayne 1975 . v
She a r g u e s t h a t t h e c l i t i c i s a bund le o f p e r s o n , number, gen-
d e r , and c a s e f e a t u r e s on t h e v e r b and t h a t t h e non-over t NP
l i n k e d t o t h e c l i t i c must b e governed by c l -Verb . T h i s l a t t e r
s t a t e m e n t i s a b i t t o o s t r o n g a s shown by examples l i k e ( 1 1 9 ) ~ .
I t w i l l be s l i g h t l y m o d i f i e d below.
W e w i l l assume i n t h i s t h e s i s t h a t t h e non-over t NP t o
which t h e c l i t i c i s l i n k e d i s a p r o and n o t a t r a c e . The
c l i t i c i d e n t i f i e s t h e p r o i n o b j e c t p o s i t i o n much l i k e AGR
i d e n t i f i e s t h e non-over t s u b j e c t i n l a n g u a g e s w i t h " m i s s i n g "
s u b j e c t s l i k e S p a n i s h and I t a l i a n . We make t h i s a s s u v p t i o n f o r
t h e f o l l o w i n g r e a s o n . R e c a l l t h a t , a s w e have s e e n i n 1 1 . 1 . 4 , t h e
g e n i t i v e c l i t i c - e n may c l i t i c i z e f rom t h e s u b j e c t p o s i t i o n o n t o
a verb which d o e s n o t c-command t h e s u b j e c t . And recal l t h a t
a n a p h o r s must be c-commanded by t h e i r a n t e c e d e n t s .
J. ~ u g r o n h a s n o t i c e d t h a t e n - c l i t i c i z a t i o n f rom s u b j e c t - p o s i t i o n h a s t h e same s e m a n t i c c o n s t r a i n t s t h a t P P - e x t r a p o s i t i o n
d o e s . F o r example , s t a t i v e p r e d i c a t e s b u t n o t a c t ive p r e d i c a t e s
a l l o w - e n - c l i t i c i z a t i o n f rom s u b j e c t p o s i t i o n .
(120) a- L ' a u t e u r du l i v r e e s t c & l ; b r e / r i c h e .
(The a u t h o r o f t h e book i s f a m o u s / r i c h . )
b- L' a u t e u r - e n es t c & l ; b r e / r i c h e .
(121) a- L ' a u t e u r du l i v r e e s t f u r i e u ~ / d 6 ~ u .
(The a u t h o r o f t h e book i s f u r i o u s / d i s a p p o i n t e d . )
*b- L ' a u t e u r e n - es t f u r i e u x / d g F u .
W e d o n o t t h i n k though t h a t e n u n d e r g o e s e x t r a p o s i t i o n b e f o r e - c l i t i c i z i n g o n t o t h e v e r b b e c a u s e t h e PP-ex t r aposed c o u n t e r p a r t
o f (120) i s ungrammat i ca l .
(122) * L ' a u t e u r e s t c g l & b r e / r i c h e du l i v r e .
The c o n t r a s t be tween ( 1 1 9 ) ~ and ( 1 2 3 ) m i g h t s u g g e s t a t
f i r s t s i g h t t h a t t h e c l i t i c - e r e l a t i o n must be r e g a r d e d a s
an a n t e c e d e n t - a n a p h o r r e l a t i o n .
(123) * Pierre eni a vu [ s o n p o r t r a i t [ e 1 I NP * i
( P e t e r gen. c l . (=of him) saw h i s p o r t r a i t . )
I n e f f ec t , w e c o u l d conc lude t h a t t h e c o n t r a s t between ( 1 1 9 ) ~
and (123) is due t o P r i n c i p l e A o f t h e Bind ing Theory. NP* i n
(123) -- b u t n o t i n ( 1 1 9 ) ~ -- c o n t a i n s a n a c c e s s i b l e s u b j e c t .
Hence, i n (123) NP* i s t h e g o v e r n i n g c a t e g o r y i n which t h e
anaphor e must b e bound. But t h i s c o n c l u s i o n i s n o t w a r r a n t e d -
a s shown by t h e f o l l o w i n g example:
(124) * P i e r r e e n a vu [ ce p o r t r a i t [ e ] . I . i 1
( p e t e r gen. c l . (=of him) saw t h a t p o r t r a i t . )
I t i s n o t t h e n o t i o n o f a c c e s s i b l e s u b j e c t which i s r e l e v a n t
h e r e b u t t h e d e f i n i t e f e a t u r e . A s i s well-known, d e f i n i t e -
n e s s p l a y s a r o l e i n b l o c k i n g " e x t r a c t i o n " , i n c l u d i n g wh-extrac-
t i o n :
(125) a- J e a n d o n t Pierre a vu l e p o r t r a i t ... (John o f whom P e t e r saw t h e p i c t u r e . . . )
*b- J e a n d o n t Pierre a vu son p o r t r a i t .... *c- J e a n d o n t P ie r re a vu c e p o r t r a i t ....
L. R i z z i h a s p o i n t e d o u t t h e f o l l o w i n g c o r e f e r e n c e c o n t r a s t
between a s t r o n g pronoun and a clitic:
(126) a- Ho messo [ l a s o r e l l a d i G i a n n i . 1 [ a c c a n t o a l u i . I . NP
1 PP 1
(I p u t G i a n n i l s i s i s te r n e x t t o himi.)
b- G l i , ho messo Mar ia a c c a n t o ei. 1
(I t o him-put Maria n e x t . )
*c- ~ l i ~ ho messo [ l a s o r e l l a d i G i a n n i . ] [ a c c a n t o e . ] . 1 1
Fol lowing B o r e r 1981 we may assume t h a t it i s t h e c h a i n i ( c 1 - e )
which b e a r s t h e t h - r o l e . I n e f f e c t cl-e may be viewed a s a
d i s c o n t i n u o u s e l e m e n t . I n (126) c g l i - e i s a d i s c o n t i n u o u s
pronominal and i t i s n a t u r a l t o assume t h a t e a c h e l e m e n t i n t h e
c h a i n i s s u b j e c t t o t h e g e n e r a l s t r u c t u r a l c o n d i t i o n t h a t governs
t h e c o r e f e r e n c e r e l a t i o n between p ronomina l s and t h e i r a n t e c e -
d e n t s : n e i t h e r t h e c l i t i c n o r t h e argument p o s i t i o n t o which
it i s l i n k e d may c-command an N P w i t h which t h e c h a i n i s co-
indexed .
A s i s well-known, t h e r e l a t i o n between t h e c l i t i c and
t h e non-over t NP t o which it i s l i n k e d i s l o c a l -- a s shown
by t h e f o l l o w i n g examples .
(127) *a- P i e r r e l u i a d g c i d 6 d e p a r l e r e . i i
( P e t e r t o him-decided t o speak . )
*b- P i e r r e e n a vu l a maison de l ' a m i ei. i
( P e t e r gen. c l . ( = h i s ) saw t h e house o f t h e f r i e n d . )
But t h e l o c a l i t y c o n d i t i o n c a n n o t be s i m p l y t h a t p r o must be
governed by t h e e lement which i d e n t i f i e s i t . I n e f f e c t , i n
( 1 1 9 ) c en-V does n o t govern t h e p o s i t i o n i d e n t i f i e d by t h e
c l i t i c . The r e l a t i o n between t h e c l i t i c and t h e non-over t NP
is somewhat more i n d i r e c t i n t h i s c a s e .
W e may s t a t e t h e c o n d i t i o n on t h e i d e n t i f i c a t i o n o f p r o
i n t h e f o l l o w i n g way:
(128) X i d e n t i f i e s a p o s i t i o n i i n :
i f a- X = AGR o r [ c l - V], where A G R / c l b e a r t h e v
i n d e x i
b- X g o v e r n s t h e t h - p o s i t i o n i n t h e c h a i n j
2. t h e l e x i c a l head o f N P -- where NP b e l o n g s j j
t o t h e c h a i n j r e f e r r e d t o i n b-- governs i.
C o n d i t i o n s a , b , and c-1 i n (128) t a k e c a r e o f examples
i l i k e A G R ~ t r a b a j a duramente ( c f .. I1 ( 9 4 ) a ) and (119)a -b . )
j C o n d i t i o n s a , b , c-2 t a k e c a r e o f examples l i k e ( 1 1 9 ) ~ . I n
e f f e c t , i n (119) c p r o i i s n o t governed by en.-V b u t it i s -1-
governed by t h e l e x i c a l head o f NP and NP -- which i s t h e j j
t h - p o s i t i o n i n t h e c h a i n j -- i s governed by e n . -V. -1-
(128) a l s o c o r r e c t l y c h a r a c t e r i z e s t h e c a s e s o f en- - c l i t i c i z a t i o n d i s c u s s e d i n 1 1 . 1 . 4 . R e c a l l t h a t e n - c l i t i c i z a t i o n -
from s u b j e c t p o s i t i o n i s o n l y p o s s i b l e i n r a i s i n g c o n s t r u c t i o n s .
To i l l u s t r a t e , c o n s i d e r t h e f o l l o w i n g s t r u c t u r e s : ( c f . 11. ( 3 8 ) b ,
( 3 9 ) b , ( 4 0 ) b , ( 6 3 a ) 1
(129) a- [ La pr6face [el . I en. est [ e flatteusel NP * 1 j -1 sc -1
b- [ La lecture [el . I en. a e/t; conseillge e . I NP * 1 j -1 -3
C- [ La solution [el. I senble [ e en avoir gt6 NP * 1 j j -i
d- [ Le chef [el . I menace [ - e dlen. gtre [ e NP * 1 j s j -1 d% -1
impitoyable I 1
(Irrelevant details omitted. 1 3 )
In all of the above examples - proi is governed by the lexical *
head of NP and the th-position in the chain j is governed by j
en -V. -1-
On the other hand, (128) excludes - en-cliticization from
subject position in non-raising constructions. Cf. II(42)b,
(130) a- [Les missiles [el . I en. ont atteint leur cibles. 1 j -1
A
b- [ Le chef [el. I a de'cid6 [ e d'en. etre NP * 1 j - j -1 S
[ e magnanimel 1 SC -1
* In (130)b -1- en -V governs e but e and NP belong to different
-1 -1 j th-chains.
(128) also excludes raising sentences like 11(46)a-b. TJQ
repeat I1 (46) b below.
(131) [La solution [el . I en semble [ e avoir 6t6 publige e . I 1 j -i s j -7
In (131) en.-V governs a position in the chain j but not the -1-
th-position in the chain j as required by condition b in (128).
The requirement that X governs the th-position in j also - - accounts for the impossibility of ne-cliticization from a -
post-posed subject in Italian (discussed in Burzio 1981) modulo
certain assumptions. Following Belletti & Rizzi 1980, we may
assume that if K governs , then M governs the head of . Let us furthermore assume that the referential index of a
category percolates down to its head. l4 (See chapter IV
for further motivation for index-percolation). Now consider
(132)b: 15
(132) a- e hanno telefonato molti ragazzi . -1 j (Have telephoned many children.)
*b- e [ [ ne hanno telefonato] [molti e. 1 1 -1 v, -1 I j
In (132) b ne -V governs e. in post-verbal position but not the -j- -1
th-position in the chain j, i .e., the subject position.
Finally note that en-cliticization from the subject posi- - tion of many ergative verbs is impossible:
(133) * [L'auteur e. I en est arrivg e hier. 1 j -i j
(The author gen. cl. (=of it) arrived yesterday. )
Likewise, raising sentences like (134) where the embedded VP
contains a non-stative predicate are ungrammatical:
* [ L ' a u t e u r e . 1 e n . s emble [ e t r a v a i l l e r beaucoup. ] 1 j -1 s -1
(The a u t h o r gen . c l . (=of i t) seems t o work a l o t . )
Presumably s e n t e n c e s l i k e (133) a n d (134) w i l l b e e x c l u d e d
by t h e same s e m a n t i c c o n s t r a i n t t h a t a c c o u n t s f o r t h e ungramrna-
t i c a l i t y o f ( 1 2 1 ) b .
F o o t n o t e s t o Chap te r I1
1) I t may be assumed t h a t n o t , l i k e Adverbs, i s e i t h e r a d j o i n e d -
to S o r t o VP. I f it i s a d j o i n e d t o S , i t m o d i f i e s S ; i f it
i s a d j o i n e d t o VP, it m o d i f i e s VP -- i n c o n f o r m i t y w i t h t h e .
d e f i n i t i o n o f m o d i f i c a t i o n g i v e n i n Chap te r I .
2 ) A s i m i l a r problem f o r QL i s found i n French. Compare a and
a- Personne n ' e s t venu. -
*b- Personne semble n ' e t r e venu. -
3 ) Although t h e c o n t r o l l e d NP h a s c a s e i n I c e l a n d i c it c a n n o t
b e p h o n o l o g i c a l l y r e a l i z e d . See s e c t i o n 1 1 . 4 . 1 f o r f u r t h e r
d i s c u s s i o n o f t h i s i s s u e .
4 ) W e d i s t i n g u i s h id ioms from s e m i - i d i o n s i n t h a t t h e l a t t e r
b u t n o t t h e former seem t o have some s e m a n t i c c o n t e n t . Unl ike
i d i o m s , semi-idioms may ( m a r g i n a l l y ) f u n c t i o n a s c o n t r o l l e r s .
? a- J u s t i c e v i e n t d ' g t r e rendue aux o f f i c i e r s s a n s g t r e
r endue aux s o l d a t s .
? b- A s s i s t a n c e v i e n t d ' g t r e p o r t 6 e aux e n f a n t s s a n s g t re
p o r t 6 e aux malades .
Compare a and b w i t h c and d .
* c- Grand c a s a 6 t 6 f a i t d e l a s i t u a t i o n e n Pologne s a n s
Atre f a i t d e l a s i t u a t i o n a u S a l v a d o r .
* d- P a r t i a 6t6 t i r& d e l a s i t u a t i o n en P o l o g n e s a n s &re
t i r& au S a l v a d o r .
118
B u t l i k e i d i o m s , j u s t i c e and a s s i s t a n c e may o n l y b e g e n e r a t e d
d e t e r s i n e r - l e s s i n o b j e c t p o s i t i o n (sf rendre/demander and
p o r t e r r e s p e c t i v e l y ) .
5) While menacer , p r o m e t t r e , m g r i t e r p u t no s e l e c t i o n a l r e s t r i c -
t i o n on i t s adjunct-ARGUMENT, e x i g e r d o e s . I t d o e s n o t a l l o w
t h e e x t e r n a l - a r g u m e n t s ( o r quas i -a rguments ) o f w e a t h e r v e r b s
and o f y a v o i r t~ a p p e a r i n i t s s u b j e c t p o s i t i o n .
*a- I1 e x i g e d e p l e u v o i r .
*b- I1 e x i g e d ' y a v o i r p l u s d'hornmes que de femrnes.
6) ( 6 8 ) a , which w e r e p e a t below, c o n t r a s t s w i t h 1:
(68 ) a: Personne ne semble etre venu, mais q u e l q u ' u n
semble 2tre venu.
1. Personne ne s l a v ; r e / s e r6v;le Gtre venu mais q u e l q u 'un s t a v Z r e /
A se r6v;le e t re venu.
(68)a i s n o t a c o n t r a d i c t i o n b u t 1 i s . T h i s i s due t o t h e f a c t
/ 0
t h a t s ' a v g r e r and se r e v e l e r , u n l i k e s e m b l e r , a r e a s s e r t i v e
v e r b s . I n e f f e c t , 2 a e n t a i l s 2b b u t 3a does n o t e n t a i l 3b.
2 . a- P i e r r e s ' avGre / se rgvGle Gtre venu.
b- P i e r r e e s t venu.
3 . a- P i e r r e semble Gtre venu.
b- P i e r r e e s t venu.
7 ) Note t h a t commencer and r i s q u e r a s s i g n o b l i g a t o r i l y a n
argument t h - r o l e t o t h e s u b j e c t when i t t a k e s an a c c u s a t i v e
o b j e c t . C f . Burz io 1981 who n o t i c e d t h a t i n g e n e r a l v e r b s t h a t
a s s i g n a c c u s a t i v e c a s e t a k e an e x t e r n a l argument .
*a- I1 commence l e l i v r e . (where I1 i s n o n - r e f e r e n t i a l ) -
*b- I1 r i s q u e sa v i e . ( 'I It If !I 1
Commencer nay a l s o f u n c t i o n a s a n i n t r a n s i t i v e .
c- L e s p e c t a c l e a comrnenc6 8 h e u r e s .
(The show s t a r t e d a t 8 : 0 0 , )
8 ) The typo logy and i d e n t i f i c a t i o n o f non-over t NPs i s c u r r e n t l y
a n i n t e n s i v e l y d e b a t e d i s s u e . S e v e r a l d i f f e r e n t approaches a r e
p roposed and d i s c u s s e d i n t h e c u r r e n t l i t e r a t u r e . The one
s k e t c h e d o u t i n t h i s s e c t i o n was s u g g e s t e d t o us by N . Chomsky.
9) But i f t h e r e a r e l a n g u a g e s where t h e s u b j e c t p o s i t i o n o f
i n f i n i t i v a l s b e a r s c a s e , t h e q u e s t i o n o f why names may n o t a p p e a r
i n t h i s p o s i t i o n remains unanswered. A p o s s i b l e e x p l a n a t i o n is
t h a t l a n g u a g e s w i t h case-marked PROS u s e c a s e i n c o n t r o l c o n s t r u c -
t i o n s a s an o b v i a t i o n mechanism a s s u g g e s t e d by Simpson 1982.
And, o f c o u r s e , i t makes no s e n s e t o a p p l y o b v i a t i o n t o names:
s i n c e names have i n t r i n s i c r e f e r e n c e t h e y do n o t s e a r c h f o r an
a n t e c e d e n t .
1 0 ) Although ( 1 0 1 ) b does n o t e x i s t i n Romance e i t h e r , when seem
t a k e s a d a t i v e o b j e c t i t may f u n c t i o n a s a c o n t r o l v e r b a s shown
i n a .
a- I1 m e i sernble [ - P R O . Stre malade] S
1
b- P i e r r e i m e semble [ ti g t re malade] S
Romance would t h e n r e p r e s e n t t h e marked c a s e and E n g l i s h t h e
unmarked c a s e .
11) Note t h a t c o n s t r u c t i o n s w i t h a p a s s i v e o r e r g a t i v e v e r b
w i l l have i n d e x e d - s t r u c t u r e s l a - b i f NP-movement a p p l i e s and
indexed s t r u c t u r e s 2a-b i f no NP-movement a p p l i e s . ( W e o m i t
AGR.)
i i 1. a- T r o i s b a t e a u x o n t &t& c o u l g s e . ( 3 b o a t s w e r e s u n k . ) j j
i b- T r o i s hornrnesl s o n t a r r i v e s e j '
( 3 men a r r i v e d . ) 3
i 2 . a- lli a 6 t 6 coul; t r o i s ba teaux, . ( I t was sunk 3 b o a t s . ) J
b- lli est a r r i v ; 3 homrnesi j '
(There a r r i v e d 3 men. )
The i n d e x e d - s t r u c t u r e s i n l a - b a r e inocuous b u t t h e indexed-
s t r u c t u r e s i n 2a-b a r e i n f a c t n e c e s s a r y i n o r d e r f o r t h e p o s t -
v e r b a l NP t o g e t nomina t ive c a s e by t h e f o l l o w i n g r u l e : I f a n
NP i s c o - s u p e r s c r i p t e d w i t h AGR, it is case-marked n o m i n a t i v e .
The same remarks app ly t o r a i s i n g c o n s t r u c t i o n s where no NP-
movement h a s t a k e n p l a c e ( c f . 3b) . T 3 . a- T r o i s homrnesi sernblent [ ei stre a r r i v g s e . ]
j s J J i i A
b- I1 semble [ e e t r e a r r i v e ' t r o i s hornmesf1 3
1 2 ) Chomsky 1981a s u g g e s t s t h a t t h e well-known * t h a t - t phenome-
non may be accoun ted f o r by ECP. C f . ( a ) Whoi do you t h i n k
t h a t e l e f t v e r s u s (b) Whoi do you t h i n k [e. [en l e f t ] I . I n i- -1 -1 -
o r d e r t o accompl i sh t h i s , a more c o m p l i c a t e d d e f i n i t i o n o f
government i s needed: oc g o v e r n s 4 i n [ . . .-$ ... M... $ . . . I , 4
where
( a ) a = X O o r i s co indexed w i t h 8 ( b ) where @ i s a maximal p r o j e c t i o n , i f @ dominates
t h e n $3 dominates a! . (c) c-commands 6
13) Note t h a t i n s e n t e n c e s l i k e (129) t h e s u b j e c t p o s i t i o n
w i l l be c o - s u p e r s c r i p t e d w i t h t h e p o s t - v e r b a l s m a l l c l a u s e a t
D - S t r u c t u r e ( c f . t h e d i s c u s s i o n i n 1 1 . 4 . 2 ) . W e may assume t h a t -
a d j e c t i v a l s m a l l c l a u s e s a r e a t D-S t ruc tu re a s shown i n ( i ) a
and l a t e r undergo b a r - d e l e t i o n a s shown i n ( i ) b . W e may f u r t h e r -
more assume t h a t b a r - d e l e t i o n a l s o d e l e t e s t h e s u p e r s c r i p t .
(i) k a- [La pre ' face e . 1 e n e s t [- ek f l a t t e u s e ]
l j i ~ k j
k b- [La p r 6 f a c e e . I en e s t I ek f l a t t e u s e ] l j i ~p j
Note f u r t h e r m o r e t h a t movement i n ( i) i s o b l i g a t o r y because
h e t re d o e s n o t a s s i g n c a s e and f o r an NP t o be case-marked
n o m i n a t i v e it must be c o - s u p e r s c r i p t e d w i t h AGR. C f . f o o t n o t e
11. I f a v e r b t h a t t a k e s a s m a l l c l a u s e complement a s s i g n s
c a s e , l i k e c o n s i d g r e r ( c o n s i d e r ) , t h e n t h e s u b j e c t o f t h e
s m a l l c l a u s e need n o t move i n o r d e r t o be case-marked.
(ii) a- P i e r r e c o n s i d s r e l a p r $ f a c e d e ce l i v r e f l a t t e u s e .
h- P i e r r e - e n c o n s i d a r e l a prGface f l a t t e u s e .
I f c o n s i d g r e r i s p a s s i v i z e d . it no l o n g e r a s s i g n s c a s e and t h e
s u b j e c t o f t h e s m a l l c l a u s e must move i n o r d e r t o be case -
marked.
(iii) [La p r & f a c e e . l k e n e s t consid6r;e [- ek f l a t t e u s e l l j i AP j
1 4 ) The i - w i t h i n - i C o n d i t i o n must t h e n be m o d i f i e d a s f o l l o w s :
* .... 5 6 . . . . ] . where 2 and b e a r t h e same i n d e x
u n l e s s 8 is t h e head o f Y .
(15) (132)b c o n t r a s t s w i t h e r g a t i v e v e r b s , where t h e s u r f a c e
s u b j e c t i s a D-S t ruc tu re o b j e c t ( c f . Burz io 1981, P e r l m u t t e r
1 9 7 8 ) .
a- M o l t i r a g a z z i sono a r r i v a t i .
(Many c h i l d r e n a r r i v e d . )
b- Ne sono a r r i v a t i [ m o l t i e . I . -1 I j
I n b -j- ne -V does govern t h e t h - p o s i t i o n o f j .
C h a p t e r 111: Verbs a s A d j u n c t - P r e d i c a t e s *
I n C h a p t e r I w e have s e e n t h a t Adverbs f u n c t i o n unam-
b i g u o u s l y a s a d j u n c t - p r e d i c a t e s and t h a t A d j e c t i v e s may f u n c t i o n
b o t h a s a rgument - t ak ing p r e d i c a t e s and a s a d j u n c t - p r e d i c a t e s .
On t h e o t h e r hand , Verbs a r e a rgument - t ak ing p r e d i c a t e s ' p a r
e x c e l l e n c e ' . Only a s e m a n t i c c l a s s o f v e r b s which i n c l u d e s
modals and a s p e c t u a l s may f u n c t i o n , i n c e r t a i n l a n g u a g e s , a s
a d j u n c t - p r e d i c a t e s . I n t h i s c h a p t e r w e w i l l d i s c u s s E n g l i s h
modals and French modals : t h e former a r e m o d i f i e r s and t h e
l a t t e r a r e argument t h - r o l e a s s i g n e r s . S t i l l , i n o t h e r l a n -
guages l i k e S p a n i s h and I t a l i a n , it w i l l be a r g u e d t h a t modals
as w e l l a s some a s p e c t u a l v e r b s may f u n c t i o n s i m u l t a n e o u s l y
as a rgument - t ak ing p r e d i c a t e s and a s a d j u n c t - p r e d i c a t e s .
111.1 Modals a s a d j u n c t - p r e c i c a t e s and as a rgument - t ak ing
p r e d i c a t e s . E n g l i s h v e r s u s French .
I t i s well-known t h a t c e r t a i n v e r b s c a l l e d modals
have two d i s t i n c t s e n s e s : t h e ' r o o t ' s e n s e and t h e ' e p i s t e m i c '
s e n s e .
Root E p i s t e m i c
must o b l i g a t i o n , r e q u i r e m e n t , l o g i c a l e n t a i l m e n t (proba-
o r n e c e s s i t y b i l i t y , c e r t a i n t y , o r
i n e v i t a b i l i t y )
can a b i l i t y , c a p a c i t y p o s s i b i l i t y - 9 p e r m i s s i o n p o s s i b i l i t y o r l i k e l i h o o d
s h o u l d o b l i g a t i o n , n e c e s s i t y s u p p o s i t i o n
w o n ' t r e f u s a l f u t u r e nonoccur rence
I n Modern E n g l i s h modals do n o t behave l i k e main v e r b s
i n 4 number o f ways. Cf. Chomsky 1957, Jackendaf f 1972,
L i g h t f o o t 1979, Akmajian, Steele & Wasow 1979. 1
1. Modals do n o t o c c u r t o g e t h e r .
I s h o u l d can u s e two modals i n a row i f t h e y a r e
v e r b s .
Compare (1) w i t h ( 2 ) .
( 2 ) I s h o u l d b e a b l e t o u s e two modals .
The ungramrna t i ca l i ty o f (1) f o l l o w s from t h e f a c t t h a t modals
i n E n g l i s h a r e A u x i l i a r i e s and t h a t Aux i s n o t a r e c u r s i v e node.
2 . Elodals do n o t a p p e a r i n ge runds and i n f i n i t i v e s .
I want t o may l e a v e .
I d o n ' t l i k e mus t ing u s e modals i n g e r u n d s .
Compare ( 3 ) and ( 4 ) w i t h ( 5 ) and ( 6 ) .
( 5 ) I want t o be a l l o w e d t o l e a v e t h e room.
(6) I d o n ' t l i k e h a v i n g t o use modals i n g e r u n d s .
(Examples (1) - (6) a r e from Jackendof f 1 9 7 2 . )
3 . Medals undergo Subject-Aux i n v e r s i o n , p r e c e d e - n o t ,
and b l o c k - do-suppor t . C f , S y n t a c t i c S t r u c t u r e s .
Modals have a s e m a n t i c r e l a t i o n w i t h t h e c l a u s e which
immedia te ly c o n t a i n s them a s shown by t h e e n t a i l m e n t s below.
(7) a- John must a r r i v e a t two.
b- ( i) I t i s n e c e s s a r y / r e q u i r e d t h a t John a r r i v e a t two.
(ii) I t i s r e q u i r e d of John t h a t he a r r i v e a t two.
John h a s t h e o b l i g a t i o n IS t o a r r i v e a t two.]
( ' r o o t ' s e n s e )
c- I t i s p r o b a b l e / c e r t a i n t h a t John a r r i v e s a t two.
( ' e p i s t e m i c ' s e n s e )
(8) a- P e t e r can cone e a r l i e r .
b- Peter i s a b l e [ S t o come e a r l i e r . ] ( r o o t )
c- I t i s p o s s i b l e t h a t Peter w i l l come e a r l i e r . ( e p i s t e m i c )
( 9 ) a- P e t e r may come e a r l i e r .
b- (i) X permet que Pierre v i e n n e p l u s t a t . (ii) John i s p e r m i t t e d / a l l o w e d [ t o come e a r l i e r . ]
S
( r o o t )
c- I t i s l i k e l y / p o s s i b l e t h a t Peter w i l l come e a r l i e r .
( e p i s t e m i c )
Can, i n i t s r o o t s e n s e , a l s o h a s a s e m a n t i c r e l a t i o n w i t h an - argument of t h e c l a u s e , namely w i t h t h e argument i n s u b j e c t
p o s i t i o n a s shown i n ( 8 ) a - b . Must and may, i n t h e i r r o o t
s e n s e , may 4 l s o have a s e m a n t i c r e l a t i o n w i t h t h e argument i n
s u b j e c t p o s i t i o n a s shown by t h e e n t a i l m e n t s i n ( 7 ) a - b ( i i ) and
a - b . But t h e y need n o t have -- a s shown by t h e e n t a i l -
m e n t s i n ( 7 ) a - b ( i ) and ( 9 ) a - b ( i ) . ( ( 9 ) b ( i ) i s g i v e n i n French
s i n c e i n E n g l i s h p e r m i t / a l l o w do n o t t a k e a t e n s e d c l a u s e a s
complement.) I n t h e i r r o o t s e n s e t h e n must and m a y t a k e an
NP o p t i o n a l l y a s an ARGUFENT. ( W e u s e t h e t e rm ARGUMENT t o
refer t o a l l t y p e s o f r e c i p i e n t s i n a s e m a n t i c r e l a t i o n . )
What i s t h e n a t u r e o f t h e s e s e m a n t i c r e l a t i o n s ? If modals
i n E n g l i s h a r e n o t main v e r b s -- i . e . , argument- t a k i n g p r e d i -
c a t e s -- t h e n t h e y must b e a d j u n c t - p r e d i c a t e s . Hence, t h e
r e l a t i o n between t h e modal and t h e S i s a r e l a t i o n o f modi f i -
c a t i o n . R e c a l l t h a t a m o d i f i e r - m o d i f i e e r e l a t i o n i s a r e l a t i o n
from a non-head t o a p r o j e c t i o n o f a head. Cf. I(52) which w e
r e p e a t below.
I ( 5 2 ) w m o d i f i e s i n t h e c o n f i g u r a t i o n s
a- ... d . . . p . . . ] b- [ . . . p . . . w . . . I
8 i f
( i) y = a p r o j e c t i o n of g
(ii) 1 immedia te ly dominates Q and P (iii) M = Adj, Adv, Verb
(The c a t e g o r y Verb i s now i n c l u d e d i n t h e d e f i n i t i o n o f modi-
f i c a t i o n . )
This r a i s e s t h e f o l l o w i n g q u e s t i o n : what i s t h e s t r u c -
t u r a l p o s i t i o n o f modals i n E n g l i s h ? The VP-dele t ion t e s t
e x e m p l i f i e d below s u g g e s t s t h a t t h e y a r e n o t g e n e r a t e d under
t h e VP.
( 1 0 ) a- P e t e r must/may/can s o l v e t h i s problem a n d you must/
may/can, t o o .
b- * P e t e r s o l v e d t h e p r o b l e r n and you s o l v e d , t o o .
P e t e r s o l v e d t h e p r o b l e m and you d i d , t o o .
They must t h e n b e g e n e r a t e d under S -- a s s u g g e s t e d by Chomsky
i n S y n t a c t i c S t r u c t u r e s . T h i s i s e x a c t l y what t h e P r o j e c t i o n
P r i n c i p l e p r e d i c t s g i v e n t h a t modals s e l e c t a p r o p o s i t i o n a s
ARGUMENT a s shown by t h e e n t a i l m e n t s i n ( 7 ) - ( 3 ) . More p r e c i s e l y ,
w e may assume t h a t modals a r e g e n e r a t e d a d j o i n e d t o INFL --
t h e h e a d o f S . I n t h i s c a s e , t n e d e f i n i t i o n o f m o d i f i c a t i o n
must b e s l i g h t l y changed s u c h t h a t o! n o t o n l y m o d i f i e s @
i n c o n f i g u r a t i o n s a and b i n I(52) b u t a l s o t h e p r o j e c t i o n s
o f p . Thus, a modal i n E n g l i s h w i l l modify INFL and t h e
p r o j e c t i o n o f INFL -- i . e . , t h e S which immedia te ly c o n t a i n s
it. Assuming t h a t s e m a n t i c r e l a t i o n s a r e n o t r e f l e x i v e , t h e
modal w i l l modify t h e c o n t e n t o f S e x c e p t f o r i t s e l f . A l t e r -
n a t i v e l y , it may b e assumed t h a t l i k e Adverbs, modals i n E n g l i s h
a r e a d j o i n e d t o t h e S which t h e y modify i n v i r t u a l s t r u c t u r e .
I n a c t u a l s t r u c t u r e t h e y a p p e a r a t t a c h e d t o I n f l e x i o n -- j u s t
l i k e t h e J a p a n e s e a f f i x s a s e , which a p p e a r s a s t h e head o f VP
i n v i r t u a l s t r u c t u r e and a p p e a r s hound t~ t h e v e r b of i t s
complement c l a u s e i n a c t u a l s t r u c t u r e . Cf. t h e d i s c u s s i o n
i n s e c t i o n 1.1.
(11 1 v i r t u a l - s t r u c t u r e a c t u a l - s t r u c t u r e
I n t h i s c a s e , w e may l e a v e t h e d e f i n i t i o n o f m o d i f i c a t i o n g i v e n
i n I(52) unchanged. ( W e s u s p e c t t h a t t h e second a l t e r n a t i v e
is on t h e r i g h t t r a c k . )
Note t h a t u n l i k e t h e modals , t h e a u x i l i a r i e s have and be -
may be g e n e r a t e d e i t h e r under S o r under t h e VP a s shown by
t h e VP-dele t ion t e s t .
John c o u l d n ' t have been s t u d y i n g S p a n i s h , b u t B i l l
c o u l d (have (been) ) . ( f rom Akmajian, S t e e l e & Wasow 1979)
I n e f f e c t , haveand b e may be assumed t o modify e i t h e r I N F L o r - -
V. Hence t h e y may b e a d j o i n e d t o e i t h e r one . 2
I f modals i n E n g l i s h f u n c t i o n a s a d j u n c t - p r e d i c a t e s , t h e n
t h e r e l a t i o n between t h e modals and t h e argument i n s u b j e c t
p o s i t i o n i n t h e r o o t s e n s e o f mus t , may, and can must b e an - - a d j u n c t t h - r e l a t i o n . R e c a l l t h a t a d j u n c t t h - r e l a t i o n s a re n o t
c o n s t r a i n e d uy t h e Extended P r o j e c t i o n P r i n c i p l e . Adjunc- t
t h - r o l e s a r e a s s i g n e d a t LF and tney a r e i n v i s i b l e f o r t h e
Argument T h - C r i t e r i o n , As i n t h e c a s e of S-Adverbs, w e t h e n
e x p e c t t h a t t h e " o r i e n t a t i o n " o f modals may change under
p a s s i v e . The f o l l o w i n g examples ( f rom J a c k e n d o f f 1972) show
t h a t t h i s i s t h e c a s e .
( 1 3 ) a- The d o c t o r may/must/wonl t examine John.
b- John may/must/wonlt be examined by t h e d o c t o r .
I n b o t h ( 1 3 ) a and ( 1 3 ) b t h e s u r f a c e s u b j e c t i s u n d e r s t o o d a s
hav ing p e r m i s s i o n , b e i n g under o b l i g a t i o n , o r r e f u s i n g .
Newneyer 1970 ( c i t e d by J a c k e n d o f f ) n o t i c e d t h a t a ' r o o t '
modal need n o t change meaning under p a s s i v e . Moreover, i f t h e
deep o b j e c t i s i n a n i m a t e i t does n o t change meaning under
p a s s i v e .
(14) a- V i s i t o r s may p i c k f l o w e r s .
b- Flowers may be p i c k e d S y v i s i t o r s .
(15) a- Sam must s h o v e l t h e d i r t i n t o t h e h o l e .
b- The d i r t must be s h o v e l l e d i n t o t h e h o l e by Sam.
But t h i s i s n o t s u r p r i s i n g g i v e n t h a t and must , l i k e p e r m i t
and r e q u i r e , o p t i o n a l l y se lec t a n a n i m a t e ARGUMENT. Hence,
w e need n o t conc lude from t h e f a c t t h a t t h e r o o t s e n s e i s
a v a i l a b l e i n b o t h a and b i n ( 1 4 ) and (15) t h a t t h e modal
h a s a s e m a n t i c r e l a t i o n w i t h t h e by-phrase . T h i s c o n c l u s i o n -
130
would n o t b e any more w a r r a n t e d t h a n c o n c l u d i n g from t h e
e n t a i l m e n t s i n Cl6)a-b and ( 1 7 ) a - b t h a t p e r m i t and r e q u i r e
have a s e m a n t i c r e l a t i o n w i t h t h e a g e n t i n t h e embedded c l a u s e
i n ( 1 6 ) a and ( 1 7 ) a .
(16) a- X permet que les f l e u r s s o i e n t c u e i l l i e s p a r les
v i s i t e u r s .
b- X pe rmet aux v i s i t e u r s de c u e i l l i r l e s f l e u r s .
(17) a- I t i s r e q u i r e d t h a t Sam s h o v e l t h e d i r t i n t o t h e h o l e .
b- I t i s r e q u i r e d o f Sam t h a t he s h o v e l t h e d i r t i n t o
t h e h o l e .
R e c a l l t h a t - c a n , on t h e o t h e r hand, h a s o b l i g a t o r i l y a s e m a n t i c
r e l a t i o n w i t h t h e s u r f a c e s u b j e c t i n i t s c a p a c i t y o r a b i l i t y
s e n s e . Hence, a s e x p e c t e d , (18) a b u t n o t ( 1 8 ) b h a s t h e capa-
c i t y o r a b i l i t y s e n s e .
(18) a- P e t e r c a n n o t s o l v e t h i s problem.
b- T h i s problem c a n n o t be s o l v e d by P e t e r .
I n c o n c l u s i o n , modals i n E n g l i s h a r e a d j u n c t - p r e d i c a t e s .
They modify t h e S which c o n t a i n s them. They may a s s i g n a n
a d j u n c t t h - r o l e t o t h e argument i n s u b j e c t p o s i t i o n . I n t h i s
c a s e o n l y t h e r o o t s e n s e i s a v a i l a b l e . More p r e c i s e l y , l i k e
a l l o w and r e q u i r e , t h e r o o t may and t h e r o o t must o p t i o n a l l y --
select an an imate NP ARGUMENT. On t h e o t h e r hand , t h e r o o t
can -- l i k e i s a b l e -- o b l i g a t o r i l y selects a n an imate NP - ARGUMENT.
I n F r e n c h , as opposed t o Modern E n g l i s h , modals ( p o u v o i r
and d e v o i r ) behave l i k e main v e r b s and n o t l i k e a u x i l i a r i e s .
1. T h e y may o c c u r t o g e t h e r .
J e a n d e v r a i t p o u v o i r p a r t i r 2 l ' h e u r e .
( J o h n s h o u l d c a n - i n f . - l eave- in£ . -on t i m e . )
2 . They o c c u r i n i n f i n i t i v e s ( c f . ( 1 9 ) ) and i n g e r u n d s .
14'ayant p a s pu a r r i v e r 5 l ' h e u r e , . . . ( N o t b e i n g a b l e t o a r r i v e on t i m e , . . . )
3 . They c o n t r a s t w i t h A u x i l i a r i e s w i t h r e s p e c t t o n u l l
complement anaphora . (The f o l l o w i n g examples a r e from Edrnonds
1978. )
(21) a- P i e r r e d o i t r e n v e r s e r ces t a b l e s , mais il ne p e u t p a s .
( P e t e r h a s t o t u r n o v e r t h e s e t a b l e s , b u t he c a n ' t . )
b- I1 d i t que j e p o u r r a i s manger ces c h o c o l a t s , mais
je ne d o i s p a s .
( H e s a y s I c o u l d e a t t h e s e c h o c o l a t e s , b u t I must
n o t . )
( 2 2 ) *a- Marie a v i s i t 6 l e musge, mais moi, j e n ' a i p a s .
[Mary v i s i t e d t h e museum, h u t m e , I d i d n ' t . )
*b- Vous avez p r i s d e s v a c a n c e s , e t nous avons a u s s i .
(You have t a k e n a v a c a t i o n , and w e have t o o . )
( I n French t h e r e i s no VP-dele t ion a s i n d i c a t e d by t h e ungram-
m a t i c a l i t y o f ( 2 2 ) a-b) .
4. With r e s p e c t t o c l i t i c i z a t i o n , modals c l e a r l y behave
l i k e main v e r b s and n o t l i k e a u x i l i a r i e s . Compare ( 2 3 ) and
( 2 4 ) w i t h ( 2 5 ) and ( 2 6 ) .
( 2 3 ) a- P i e r r e p e u t - l a v o i r .
( John c a n a c c . c l . - see.)
*b- P i e r r e l a ? e u t v o i r . -
( 2 4 ) a- L e che f du group d o i t 2 tre j u s t e .
(The head o f t h e . g r o u p must be f a i r . )
b- L e c h e f d o i t - e n g t re j u s t e .
*c- L e chef e n d o i t G t r e j u s t e . -
( 2 5 ) p i e r r e ' - l ' a vu.
( P e t e r a c c . c l . - have s e e n . )
(26) a- L a l e c t u r e de c e l i v r e a st6 c o n s e i l l g e aux g t u d i a n t s .
(The r e a d i n g o f t h i s book h a s been recommended t o t h e
s t u d e n t s . )
b- L a l e c t u r e y e n a 6 t 6 c o n s e i l l g e aux g t u d i a n t s .
Given t h a t c l i t i c s a t t a c h o n t o a u x i l i a r i e s : a v o i r ,
A etre ( c f . ( 2 5 ) - ( 2 6 ) ) , it i s r e a s o n a b l e t o assume t h a t i n French
Aux i s g e n e r a t e d under VP, a d j o i n e d t o t h e main v e r b a s sugges-
t e d by Emonds 1978. See a l s o f o o t n o t e 2 . I n f a c t , i f Aux
i s o n l y g e n e r a t e d under t h e VP i n F rench , t h i s would a l s o
e x p l a i n t h e a b s e n c e . o f VP-dele t ion i n French. C f . t h e c o n t r a s t
between t h e French examples ( 2 2 ) a - b and t h e i r E n g l i s h c o u n t e r -
p a r t s .
Modals i n French a r e t h e n main v e r b s . They t a k e a c l a u s a l
complement. They do n o t a s s i g n an argument t h - r o l e t o t h e
s u b j e c t . I n e f f e c t an e x p l e t i v e - il and id ioms may a p p e a r i n
t h e i r s u b j e c t p o s i t i o n .
(27) a- - I1 p e u t / d o i t s ' a v g r e r que J e a n es t i d i o t .
( I t can/must t u r n o u t t h a t John i s a f o o l . )
b- P a r t i d o i t / p e u t s t r e t i r g de c e t t e s i t u a t i o n .
(Advantage must/can be t a k e n o f t h i s s i t u a t i o n . )
The VP o f which t h e y a r e a p r o j e c t i o n o p t i o n a l l y a s s i g n s , . an
a d j u n c t t h - r o l e t o t h e s u b j e c t . A s i n E n g l i s h , i f t h e argument
i n s u b j e c t p o s i t i o n i s a s s i g n e d a n a d j u n c t t h - r o l e , o n l y t h e
r o o t s e n s e i s a v a i l a b l e .
Modals i n French a r e r a i s i n g v e r b s . (28)b i s d e r i v e d v i a
Move M from ( 2 8 ) a .
(28) a- [ e p e u t / d o i t [ P i e r r e p a r t i r ] 'd
b- [ P i e r r e p e u t / d o i t [ e p a r t i r ] i d i ( P e t e r can/must l e a v e . )
As e x p e c t e d , - e n - c l i t i c i z a t i o n from t h e s u b j e c t p o s i t i o n o f
d e v o i r / p o u v o i r o n t o t h e v e r b o f i t s c l a u s a l complement i s
a l s o p o s s i b l e . Cf . ( 2 4 ) b .
R e c a l l t h a t when t h e s u b j e c t p o s i t i o n i s n o t a t h - p o s i t i o n ,
it i s c o - s u p e r s c r i p t e d w i t h a p o s t - v e r b a l complement. I n such
c o n s t r u c t i o n s , s u b j e c t - t o - s u b j e c t r a i s i n g i s o n l y p o s s i b l e i f
t h e v e r b i s + S - d e l e t i o n . : -de le t ion a v o i d s a v i o l a t i o n o f t h e
i - w i t h i n - i C o n d i t i o n . Cf. t h e d i s c u s s i o n i n s u b - s e c t i o n 11.4.2.
S i n c e t h e modals i n French do n o t o b l i g a t o r i l y a s s i g n a s e m a n t i c
role t o t h e s u b j e c t and y e t t h e y a l l o w s u b j e c t r a i s i n g , t h e y
must b e : -de le t ion v e r b s : i . e . 1 i n ( 2 8 ) b must b e S . W e
would t h e n e x p e c t t h e s e - p a s s i v e t o be a b l e t o a p p e a r i n t h e -
c l a u s a l complement o f modals . Cf. 1 1 . 4 . 2 . 1 . The p r e d i c t i o n
is b o r n e o u t .
( 2 9 ) a - C e s vs tements peuven t se l a v e r frgquemment. - (These c l o t h e s can be washed f r e q u e n t l y . )
b- Ces f l e u r s d o i v e n t s e c u e i l l i r a v a n t l ' h i v e r . -
(These f l o w e r s must be p i c k e d b e f o r e w i n t e r . )
To summarize, modals i n French a r e a rgument - t ak ing p r e d i -
c a t e s . I n E n g l i s h t h e y a r e m o d i f i e r s . Note t h a t modals i n
t h e two l a n g u a g e s a r e s e m a n t i c a l l y e q u i v a l e n t -- i . e . , t h e y
h a v e t h e same meaning. But t h e s e m a n t i c r e l a t i o n induced by
modals w i t h r e s p e c t t o t h e c l a u s a l ARGUMENT i s f o r m a l l y r e a -
lized i n a d i f f e r e n t way i n t h e two l a n g u a g e s : i n E n g l i s h a s
a m o d i f i c a t i o n r e l a t i o n , i n French as an argument t h - r e l a t i o n .
T h i s i s n o t a n u n i n t e r e s t i n g f a c t . I t shows once more ( c f .
Chap te r I ) t h a t s e m a n t i c r e l a t i o n s c a n n o t b e i d e n t i f i e d s o l e l y
by t h e i r c o n t e n t . They a r e above a l l i d e n t i f i e d by t h e i r form.
111.2 Modals and A s p e c t u a l Verbs a s s i m u l t a n e o u s l y Adjunct -
and Argument- taking P r e d i c a t e s . S p a n i s h and I t a l i a n .
2 . 1 The Problem
As i n F rench , modals i n S p a n i s h and I t a l i a n behave
l i k e main v e r b s and u n l i k e a u x i l i a r i e s w i t h r e s p e c t t o a number
o f tests.
1. Null-complement anaphora .
/ ( 3 0 ) a- Juan podr:a/deber:a v i s i t a r a Maria y Pedro tambien
p o d r i a / d e b e r i a .
( John c o u l d / s h o u l d v i s i t Mary and P e t e r c o u l d / s h o u l d
a l s o . )
*b- Juan ha v i s i t a d o a v aria y Pedro tambien h a .
( John h a s v i s i t e d Mary and Peter d i d a l s o . )
2. P lacement o f n e g a t i o n .
.' ( 3 1 ) a- Pedro podr:a/deberla - no c o n t e s t a r l a c a r t a .
( P e t e r c o u l d / s h o u l d n o t answer t h e l e t t e r . )
*b- Pedro ha - n~ c o n t e s t a d o l a c a r t a .
( .Pe te r had n o t answered t h e l e t t e r . )
Pedro no h a c o n t e s t a d o l a c a r t a . -
3 . C l i t i c i z a t i o n .
(32) a- Pedro puede/debe c o n t e s t a r l a . - ( P e t e r can/must a n s w e r - a c c . c l . )
*b- Pedro h a c o n t e s t a d o l a . ( c f . Pedro l a ha c o n t e s t a d o . ) - - ( P e t e r h a s answered - a c c . c l . )
R i z z i 1978 shows t h a t i n I t a l i a n modals behave l i k e main v e r b s
w i t h r e s p e c t t o a number o f tests l i k e C l e f t - f o r m a t i o n , Right -
node r a i s i n g , Heavy-NP s h i f t , Wh-movement.
Note t h a t t h e nul l-complement anaphora and c l i t i c i z a t i o n data
suggest t h a t i n S p a n i s h , a s i n F r e n c h , a u x i l i a r i e s a r e g e n e r a t e d
under VP, a d j o i n e d t o t h e main v e r b . The s a n e remarks h o l d
f o r I t a l i a n .
A s i s well-known, modals i n b o t h S p a n i s h and I t a l i a n may
a l s o behave a s non-main .ve rbs .
(33)
1. With r e s p e c t t o c l i t i c i z a t i o n .
1 (34) a- Pedro - l e pudo/debio h a b l a r pe r sona lmente .
( P e t e r d a t . c l . - could/must t a l k p e r s o n a l l y . )
b- Gianni - g l i h a d o v u t o / p o t u t o p a r l a r e pe r sona lmente .
Compare ( .34) w i t h ( 3 5 ) .
(35) *a- Pedro - le prometi; h a b l a r personalmente .
( P e t e r d a t . cl: - promised t o t a l k p e r s o n a l l y . )
*b- Gianni gli ha promesso d i p a r l a r e personalmente.
2 . With r e s p e c t t o impersonal - se-pass ive ( t o be d i s c u s s e d
i n t h e fo l lowing sub-sect ion) .
f / (36) a- Es tos l i b r o s - s e deber ian /podr lan comprar y a .
(These books can/may be bought now. )
b- Q u e s t i l i b r i s i dovrebbero/potrebbero cornprare g i a . -
Compare ( 3 6 ) w i t h ( 3 7 ) .
( 3 7 ) *a- Estos l i b r o s - s e promet ieron comprar.
(These books were promised t o be bougnt.)
*b- Q u e s t i l i b r i - si promissero d i comprare.
3 . I n tali an a phenomenon known as Aux i l i a ry Change i s
a t t e s t e d wi th t h e s e ve rbs ( t o be 'd i scussed a t l e n g t h i n sub-
s e c t i o n 1 1 1 . 2 . 4 . 1 ) : t h e fo l lowing ve rb may determine t h e choice
of A w preceding t h e modal.
Mario &/A potuto/dovuto t o r n a r e a c a s a .
(Mario has/" is" can/may r e t u r n home. )
Compare ( 3 8 ) with ( 3 9 ) .
( 3 9 ) Mario - ha/*; - promesso d i t o r n a r e a c a s a .
(Mario h a s / " i s M promised t o r e t u r n home.)
( p o t e r e and p r o m e t t e r e a r e a v e r e (have) v e r b s ; t o r n a r e i s an
essere ( b e ) v e r b . )
When t h e s e v e r b s behave a s non-main v e r b s w i t h r e s p e c t
t o any o f t h e above t h r e e phenomena, t h e y a l s o behave a s non-
main v e r b s w i t h r e s p e c t t o C l e f t - f o r m a t i o n , Right-node r a i s i n g ,
Heavy-NP s h i f t , Wh-movement. C f . R i z z i 1978. They a l s o behave
a s non-main v e r b s w i t h r e s p e c t t o nul l-complement anaphora :
( 4 0 ) *Juan v i s i t a r a Maria y Pedro tambiLn
l a podr:a/deber:a. -
and w i t h r e s p e c t t o p lacement o f n e g a t i o n :
f *Juan - l a podr=a/deber:a - no c o n t e s t a r .
There a r e o t h e r v e r b s t h a t e x h i b i t t h i s doub le b e h a v i o r .
The l i s t i s g i v e n below.
( 4 2 ) Modals
poder ( c a n , be a b l e , may) d e b e r ( m u s t , s h o y l d ) q u e r e r ( t o wan t ) s a b e r ( c a n , be a b l e t o )
s o l e r ( t o u s u a l l y d o ) t e n e r que ( t o have t o ) empezar a ( t o b e g i n , t o s t a r t ) comenzar a l l e g a r a ( t o a r r i v e a t d o i n g ) v o l v e r a ( t o b e g i n anew, t o s t a r t a g a i n ) a c a b a r de ( t o j u s t f i n i s h ) e s t a r p o r ( t o be a b o u t t o ) s e g u i r ( t o keep o n , c o n t i n u e ) c o n t i n u a r
The phenomenon d e s c r i b e d a b o v e h a s been s t u d i e d by many
l i n g u i s t s . ArnongthemAissen & P e r l m u t t e r 1976, R i z z i 1978,
S t r o z e r 1976 , Burz io 1981. Our d i s c u s s i o n i s t o a g r e a t e x t e n t
based on t h e i r work.
How s h o u l d t h e d o u b l e b e h a v i o r of t h e v e r b s i n ( 4 2 ) be
a c c o u n t e d f o r i n t h e grammar? One s o l u t i o n t h a t immedia te ly
comes t o mind i s t o t r e a t them b o t h a s main v e r b s and a s a u x i -
l i a r i e s . T h i s s o l u t i o n h a s been e x p l i c i t l y proposed by S t r o z e r
1976. We f i n d t h i s h y p o t h e s i s unconv inc ing f o r t h e f o l l o w i n g
r e a s o n s .
1. The v e r b s i n ( 4 2 ) may co-occur even when t h e y f u n c t i o n
a s non-main v e r b s .
I ( 4 3 ) a- Pedro ' l a d e b e r i a poder v i s i t a r . - ( P e t e r a c c . c l . - c o u l d must v i s i t . )
/ b- Pedro l a q u e r r l a ?oder comenzar a e s c r i b i r . - ( P e t e r a c c . c l . - would want - can - s t a r t - t o w r i t e . )
c- Pedro l a t i e n e que e s t a r p o r a c a b a r de l e e r . - ( P e t e r a c c . c l . - have - t o b e a b o u t - t o f i n i s h -
t o r e a d . )
/ d- Pedro - l a q u e r r l a poder v o l v e r a empezar a l e e r .
( P e t e r acc. c l . would want - can - t o b e g i n anew - t o s t a r t - t o r e a d . )
R e c a l l t h a t t h i s w a s n o t t h e c a s e w i t h t h e modals i n ~ n g l i s h .
Aux i s normal ly n o t a r e c u r s i v e node.
2 . I n I t a l i a n t h e r e e x i s t s a r u l e o f Aux-preposing.
T h i s r u l e does n o t a p p l y t o modals . Compare ( 4 4 ) a-b w i t h ( 4 4 ) c.
( 4 4 ) a- Essendo s t a t e l e mele mangia te ... (Having been t h e a p p l e e a t e n . . . )
b- E s s e n d o s i le mele mangia te . . . - *c- E s s e n d o s i p o t u t e l e mele mangiake . . . -
(Being-se p a s s . can ( p a s t . p a r t . t h e a p p l e eat . . . )
3 . Why s h o u l d t h e "main v e r b " d e t e r m i n e t h e c h o i c e o f
a u x i l i a r y which p r e c e d e s t h e modal o r a s p e c t u a l v e r b ? Moreover,
it i s n o t o b v i o u s how t h e complex phenomenon o f A u x i l i a r y Change
( t o be d i s c u s s e d i n 111 .2 .4 .1 ) would b e accoun ted f o r under
t h i s h y p o t h e s i s ,
I f t h e modals are n e i t h e r main-verbs n o r a u x i l i a r y v e r b s
i n ( 3 3 ) l - 3 , what a r e t h e y ? R i z z i 1 9 7 8 s u g g e s t e d t h a t t h e y a r e
main v e r b s a t D-S t ruc tu re and p a r t o f a complex v e r b a S-
S t r u c t u r e . D - S t r u c t u r e i s mapped o n t o S - S t r u c t u r e by a r e s t r u c -
t u r i n g r u l e which c o n v e r t s a b i - s e n t e n t i a l s t r u c t u r e i n t o a
s i m p l e s t r u c t u r e :
However, a fundamenta l p r i n c i p l e o f t h e t h e o r y t h a t w e a r e
assuming i s t h e P r o j e c t i o n P r i n c i p l e , which p u t s s e v e r e con-
s t r a i n t s on d e f o r m a t i o n o f s t r u c t u r e . R e c a l l t h a t it o n l y
a l l o w s a d j u n c t i o n and movement r u l e s t h a t do n o t change t h e
r e l a t i o n between t h e terms o f a s t r u c t u r e . I n p a r t i c u l a r , it
d o e s n o t a l l o w s t r u c t u r a l changes l i k e t h e one i l l u s t r a t e d i n
( 4 5 ) . I n ( 4 5 ) t h e r e l a t i o n between V a n d S 2 i s d e s t r o y e d and 1
a new r e l a t i o n i s e s t a b l i s h e d -- between t h e newly formed
complex v e r b V and Z . Thus, t h e r e s t r u c t u r i n g r u l e d e s t r o y s X
and c r e a t e s s t r u c t u r e i n v i o l a t i o n o f t h e Extended P r o j e c t i o n
P r i n c i p l e which r e q u i r e s t h a t a r e l a t i o n t h a t e x i s t s a t LF
e x i s t s a t a l l l e v e l s o f r e p r e s e n t a t i o n , namely a t D - S t r u c t u r e
and S - S t r u c t u r e . 3
With in t h e g e n e r a l framework a d o p t e d h e r e w e must re jec t
t h i s a n a l y s i s . On t h e o t h e r h a n d , w e must f i n d a way o f ex-
p r e s s i n g t h e f a c t t h a t V1 and V2 c o n s t i t u t e o n e v e r b a l u n i t
w i t h r e s p e c t t o t h e v a r i o u s phenomena d i s c u s s e d above . But
b e f o r e working o u t a s o l u t i o n t o t h i s p rob lem, c e r t a i n phenomena
p e r t i n e n t t o t h e i s s u e a t hand must b e d i s c u s s e d : t h e Romance
se and A u x - s e l e c t i o n i n I t a l i a n . -
2 . 2 The Romance S E
A s anyone a c q u a i n t e d with Romance s y n t a x knows, t h e
morpheme s e h a s m u l t i p l e f u n c t i o n s . A b r i e f d i s c u s s i o n f o l l o w s . -
1. The R e f l e x i v e se
The r e f l e x i v e - se i s a c l i t i c l i n k e d t o e i t h e r a
d i r e c t o r i n d i r e c t o b j e c t p o s i t i o n and i n t e r p r e t e d a s c o r e f e r -
e n t i a l w i t h t h e s u b j e c t .
(46) a- P i e r r e i sei p e i g n e - i ' ( P e t e r combs h i m s e l f . )
b- P i e r r e s les t f a i t un cadeau i . i -i -
( P e t e r gave h i m s e l f a p r e s e n t . )
R e c a l l t h a t w e assume t h a t t h e c l i t i c and t h e non-over t p r o
to which i t i s l i n k e d i s a d i s c o n t i n u o u s e l e m e n t . I n t h e
c a s e of t h e r e f l e x i v e - s e t w e may t h i n k o f it a s an a n a p h o r i z e r ,
s i m i l a r i n f u n c t i o n t o s e l f i n h i m s e l f . Thus, se . -1 Ei
f u n c t i o n s a s a n a n a p h o r , which must be bound i n i t s govern ing
c a t e g o r y ( c f . P r i n c i p l e A o f t h e Bind ing Theory d i s c u s s e d i n
s e c t i o n I I . 4 . 1 ) . I t i s well-known t h a t t h e r e f l e x i v e se must b e bound t o
a D - S t r u c t u r e s u b j e c t . I t c a n n o t be bound t o a d e r i v e d s u b j e c t .
(47) a- ~ i e r r e , ~ s . lest p r E s e n t 6 3 Marie . -1 -i
( P e t e r i n t r o d l ~ c e d h i m s e l f t o Mary. )
*b- Les e n f a n t s i s e . s o n t p r 6 s e n t 6 s -1 -1 - p a r l a i
d i r e c t r i c e .
(The c h i l d r e n were i n t r o d u c e d t o e a c h o t h e r by t h e
d i r e c t o r .
c- P i e r r e i m e semble j -j (- i m a l a d e ) .
( P e t e r seems t o m e s i c k . )
*d- P i e r r e i se . semble -1 - i (- i malade ) .
( P e t e r seems t o h i m s e l f s i c k . )
e- P i e r r e m e sernble i j
-j (- i stre m a l a d e ) .
( P e t e r seems t o m e t o b e s i c k ) . *f- P i e r r e i se . semble
-1 -i (- i g t re ma lade ) .
( P e t e r seems t o h i m s e l f t o b e s i c k . )
Why a re b , d , and f ungrammat i ca l ? Note t h a t s e . - V g o v e r n s -1-
t h e two d i s t i n c t t h - p o s i t i o n s which b e a r t h e i n d e x i. Conse- - q u e n t l y , s e . i d e n t i f i e s two p o s i t i o n s ( c f . I I ( 1 2 8 ) ) . Assuming
-1 -- t h a t a c l i t i c o b l i g a t o r i l y fo rms a t h - c h a i n w i t h a p o s i t i o n
t h a t it i d e n t i f i e s , t h e n b , d l a n d f are r u l e d o u t by t h e
Argument T h - C r i t e r i o n . I n e f f e c t , t h e c h a i n i ( P i e r r e , se , e , e )
b e a r s two t h - r o l e s s i n c e it c o n t a i n s two t h - p o s i t i o n s . 4
2 . The I m p e r s o n a l se
The i m p e r s o n a l se i s f o u n d i n S p a n i s h a n d I t a l i a n - b u t n o t i n F r e n c h .
( 4 8 ) a- S e vende manzanas. - (ARB sub j e c t - s e l l s a p p l e s . )
b- Se t r a b a j a poco e n e s t a o f i c i n a . - (ARB s u b j e c t - w o r k s l i t t l e i n t h i s o f f i c e . )
Se when l i n k e d t o t h e s u b j e c t p o s i t i o n i s a r b i t r a r y i n i n t e r - - p r e t a t i o n , l i k e a pronominal anaphor . R e c a l l t h a t pronominal
a n a p h o r s a r e s i n g u l a r i n S p a n i s h and p l u r a l i n I t a l i a n .
L i k e w i s e , t h e i m p e r s o n a l - se i s s i n g u l a r i n S p a n i s h and p l u r a l
i n I t a l i a n .
/ (49) a- No se e s t a c o n t e n t o . -
(ARB s u b j e c t - i s n o t happy ( s i n g ) . ) b- Non - s i e ' p i u ' f a c i l m e n t e c o n t e n t i .
(ARB s u b j e c t - i s n o t anymore e a s i l y happy ( p l u r a l ) ) .
( f rom B e l l e t t i 1 9 8 0 ) .
I t i s f u r t h e r m o r e t o be n o t i c e d t h a t t h e i m p e r s o n a l se c a n n o t -
b e l i n k e d t o t h e o b j e c t p o s i t i o n e x c e p t i n a p a s s i v e s e n t e n c e .
( 5 0 ) *a- Pedro se ve . - ( P e t e r s e e s ARB o b j e c t . )
/ b- En c a l l e s como e s t a , s e puede s e r a t a c a d o f a c i l m e n t e .
( I n s t r e e t s l i k e t h e s e o n e s , one can be a t t a c k e d
e a s i l y . )
Fol lowing B e l l e t t i 1980, w e w i l l assume t h a t t h e c l i t i c
se i n s e n t e n c e s ( 4 8 ) a - b , ( 4 9 ) a - b , ( 5 0 ) b i s g e n e r a t e d under - I n f l e x i o n . Along w i t h t h e r e s t o f I n f l e x i o n , it l a t e r c l i t i -
c i z e s o n t o t h e verb. R e c a l l t h a t I n f l e x i o n c o n t a i n s an AGR
e l e m e n t when it i s + t e n s e . Suppose t h a t AGR i s +pronominal .
And r e c a l l t h a t se i s an a n a p h o r i z e r , i - e . , t h e d i s c o n t i n u o u s -
se.-e. i s a n anaphor . Then se i n s e n t e n c e s l i k e ( 4 8 ) a - b may -1-1 - be c o n s i d e r e d t o be pronominal by v i r t u e o f b e i n g p a r t o f an
INFL which c o n t a i n s t h e +pronominal f e a t u r e . Thus, seesi i n t h e s e s e n t e n c e s f u n c t i o n s a s a pronominal anaphor . T h i s
means t h a t t h e s u b j e c t p o s i t i o n i n t h e s e c a s e s i s ungoverned.
I n e f f e c t , r e c a l l t h a t a c c o r d i n g t o t h e Bind ing Theory pro-
nominal a n a p h o r s a r e ungoverned (cf . 1 1 . 4 . 1 ) . But t h e sen-
t e n c e s above c o n t a i n an AGR e l e m e n t under INFL. Then how i s
it t h a t t h e s u b j e c t p o s i t i o n i s i n t e r p r e t e d a s ungoverned? I t
i s i n t e r e s t i n g t o n o t i c e i n t h i s r e s p e c t t h a t i n s e n t e n c e ( 4 9 ) b
t h e s u b j e c t , which i s p l u r a l , a g r e e s w i t h t h e a d j e c t i v e c o n t e n t i
b u t does n o t a g r e e w i t h t h e v e r b e ' , which i s s i n g u l a r . T h i s - may b e t a k e n a s a n i n d i c a t i o n t h a t t h e s u b j e c t p o s i t i o n i s n o t
governed by AGR i n t h e s e s e n t e n c e s . There a r e s e v e r a l p l a u s i -
b l e ways i n which t h i s i d e a can b e i n s t a n t i a t e d . W e w i l l
ment ion one o f them. Assume t h a t p o s i t i o n s must b e u n i q u e l y
i d e n t i f i e d . I n t h i s c a s e se, which forms a d i s c o n t i n u o u s - e l e m e n t w i t h t h e NP s u b j e c t , and n o t AGR w i l l f u n c t i o n a s t h e
i d e n t i f i e r . T h i s means t h a t se and n o t AGR i s coindexed w i t h -
t h e s u b j e c t p o s i t i o n . Suppose f u r t h e r m o r e t h a t AGR f u n c t i o n s
a s a governor w i t h r e s p e c t t o t h e s u b j e c t o n l y when t h e y a r e
co indexed . Then i n t h e i m p e r s o n a l s e c o n s t r u c t i o n t h e s u b j e c t - p o s i t i o n w i l l b e ungoverned. A s s u g g e s t e d by B e l l e t t i , t h e
i n f l e x i o n a l AGR which a p p e a r s on t h e v e r b may b e c o n s i d e r e d
t o be t h e unmarked o p t i o n : t h i r d p e r s o n s i n g u l a r .
I n t h e p a s s i v e s e n t e n c e ( 5 0 ) b , se i s g e n e r a t e d under INFL
and w i t h t h e non-over t N P i n o b j e c t p o s i t i o n it i s p a r t o f a
d i s c o n t i n u o u s e lement -- i . e . , it i s co indexed w i t h t h e o b j e c t
p o s i t i o n a t D-S t ruc tu re . The non-over t NP i n o b j e c t p o s i t i o n
i s mapped o n t o s u b j e c t p o s i t i o n v i a Move m , which, a s r e q u i r e d
by t h e Bind ing Theory, i s an ungoverned p o s i t i o n . The i n e x i s -
t e n c e o f s e n t e n c e s l i k e ( 5 0 ) a i s now e x p l a i n e d . The pronominal
anaphor se c a n n o t be p a r t o f a d i s c o n t i n u o u s e l e m e n t w i t h an -
NP i n o b j e c t p o s i t i o n a t S - S t r u c t u r e because t h i s i s a governed
p o s i t i o n .
The i m p e r s o n a l se c a n n o t a p p e a r i n i n f i n i t i v a l s . -
(51) *a- [ P a r e c e [ t r a b a j a r s e duramente] 1 - S S
( I t seems ARB sub j-work ( i n f . ) h a r d . )
*b- J u a n Cree [ [ t r a b a j a r s e duramente] 1 s s -
( J o h n b e l i e v e s ARB subj-work ( i n £ . ) h a r d . )
T h i s i s j u s t what w e e x p e c t s i n c e s e o n l y f u n c t i o n s a s a p ro - - nominal a n a p h o r when i t i s p a r t o f an INFL which c o n t a i n s an
AGR e l e m e n t . Note f u r t h e r m o r e t h a t s i n c e nomina t ive c a s e i s
o n l y a v a i l a b l e when AGR i s p r e s e n t , s e w i l l n o t b e case-marked. -
I f a l l o v e r t nominal morphemes a r e r e q u i r e d t o be case-marked,
t h e n t h i s i s a n o t h e r r e a s o n why t h e c l i t i c se c a n n o t a p p e a r - i n ( 5 1 ) a - b .
3 . The Impersona l s e - p a s s i v e
A s w e have s e e n i n C h a p t e r I , p a s t - p a r t i c i p l e p a s s i v e
morphology a l t e r s t h e argument s t r u c t u r e of t h e v e r b t o which
it is a f f i x e d : i t i n t e r n a l i z e s t h e e x t e r n a l t h - r o l e , which
may be o p t i o n a l l y r e a l i z e d i n a by-phrase . I t a l s o b l o c k s
a c c u s a t i v e c a s e a s s i g n m e n t . The i m p e r s o n a l p a s s i v e - se may
b e viewed as h a v i n g a s i m i l a r f u n c t i o n . Hence, a s i n t h e c a s e
o f t h e p a s s i v e c o n s t r u c t i o n , t h e D-S t ruc tu re o b j e c t may s u r f a c e
as t h e S - S t r u c t u r e s u b j e c t s i n c e t h e s u b j e c t p o s i t i o n i s n o t
a t h - p o s i t i o n .
(52) a- (i) On l a v e l es vgtements frgquemrnent.
(ARB s u b j . washes t h e c lo tAes f r e q u e n t l y . )
/ (ii) . Les vcternents - se l a v e n t frequemment.
(The' c l o t h e s a r e washed f r e q u e n t l y . )
b - ( i ) On mange l e fromage a v e c du v i n .
(ARB sub j . e a t c h e e s e w i t h wine . )
(ii) Le fromage - se mange a v e c du v i n .
(Cheese i s e a t e n w i t h w i n e . )
The - s e - p a s s i v e , a s t h e p a s t - p a r t i c i p l e p a s s i v e , may
c o e x i s t w i t h a n a g e n t i v e a d v e r b i a l :
( 53 ) a- Le v i n a 6 t 6 bu v o l o n t a i r e m e n t .
(The wine was drunk v o l u n t a r i l y . )
b- Du bon v i n se b o i t v o l o n t a i r e m e n t .
( A good wine i s drunk v o l u n t a r i l y . )
A s i n t h e c a s e o f b y - p h r a s e l e s s p a r t i c i p i a l p a s s i v e c o n s t r u c -
t i o n s , t h e i m p l i c i t a g e n t o f a s e - p a s s i v e c o n s t r u c t i o n may - f u n c t i o n a s a c o n t r o l l e r i n c e r t a i n c a s e s . 5
( 5 4 ) a- L 1 u s i n e a 6t6 b r G l 6 e p o u r t o u c h e r l ' a s s u r a n c e .
(The f a c t o r y w a s b u r n t t o col lect t h e i n s u r a n c e . )
b- Une u s i n e , $a se b r h e p o u r t o u c h e r l ' a s s u r a n c e . -
B u t , as h a s o f t e n b e e n n o t i c e d , t h e i m p e r s o n a l s e - p a s s i v e , -
u n l i k e t h e p a s t - p a r t i c i p l e p a s s i v e , c a n n o t c o e x i s t w i t h a
Q-phrase i n t h e Romance language^.^ W e may assume t h e n t h a t
w h i l e t h e p a s t - p a r t i c i p l e p a s s i v e a l t e r s t h e a rgument s t r u c t u r e
of t h e v e r b t o which it i s a t t a c h e d ( i . e . , t h e e x t e r n a l t h - r o l e
becomes a n i n t e r n a l t h - r o l e and as s u c h it c a n b e a s s i g n e d t o
an i n t e r n a l a rgumen t ) , s e - p a s s i v e morphology s i m p l y b l o c k s - a s s i g n m e n t o f t h e e x t e r n a l t h - r o l e t o t i l e subject p o s i t i o n .
The e x t e r n a l t h - r o l e i s n o t i n t e r n a l i z e d , i . e . , it d o e s n o t
become an i n t e r n a l t h - r o l e . Hence, a l t h o u g h i t i s p r e s e n t a t
LF i t c a n n o t b e a s s i g n e d t o a n a rgumen t . W e c a n amend t h e
Argument T h - C r i t e r i o n ( c f . I ( 5 8 ) ) i n t h e f o l l o w i n g way i n o r d e r
t o make i t c o m p a t i b l e w i t h t h e s e - p a s s i v e c o n s t r u c t i o n : -
( 5 5 ) The Argument T h - C r i t e r i o n ( r e v i s i t e d )
Each c h a i n mus t c o n t a i n one a n d o n l y o n e a rgumen t
a n d mus t b e a r o n e and o n l y o n e a rgumen t t h - r o l e .
Each a rgumen t t h - r o l e mus t be a s s i g n e d t o one a n d
o n l y o n e c h a i n -- u n l e s s l e x i c a l morphology i n d i c a t e s
t h e c o n t r a r y .
The v e r b a l a f f i x s e i n d i c a t e s t h a t t h e e x t e r n a l t h - r o l e must - n o t b e a s s i g n e d . Hence, t h e s e - p a s s i v e c o n s t r u c t i o n does n o t -
v i o l a t e t h e Argument T h - C r i t e r i o n . 7
R e c a l l t h a t w e assumed i n C h a p t e r I1 t h a t t h e p a s s i v i z i n g
morpheme se i s g e n e r a t e d under INFL. T h i s a s sumpt ion was c r u - - cia1 i n e x p l a i n i n g t h e i m p o s s i b i l i t y o f hav ing t h e p a s s i v e se -
i n t h e embedded c l a u s e o f c o n t r o l c o n s t r u c t i o n s and i n c e r t a i n t y p e s
of r a i s i n g c o n s t r u c t i o n s . Cf . 1 1 . 4 . 2 . 1 . T h i s means t h a t t h e
v e r b a l a f f i x se i s n o t a t t a c h e d t o t h e v e r b i n t h e l e x i c o n . - I t i s a f f i x e d o n t o t h e v e r b i n t h e s y n t a x . Now r e c a l l t h a t
t h e Extended P r o j e c t i o n P r i n c i p l e (EPP) -- a s d e f i n e d i n I ( 5 5 ) -- i n s u r e s t h a t t h e k r g u m e n t T h - C r i t e r i o n a p p l i e s n o t o n l y a t LF b u t
a l s o a t S-S and D-S. I f t h e v e r b a l a f f i x se i s a t t a c h e d t o t h e - v e r b a t S-S and LF b u t n o t a t D-S, t h e n t h e Argument T h - C r i t e r i o n
( a s f o r m u l a t e d i n ( 5 5 ) above) w i l l l i c e n s e non-assignment o f
t h e e x t e r n a l t h - r o l e i n t h e s e - p a s s i v e c o n s t r u c t i o n a t S-S and - LF b u t n o t a t D-S. Consequen t ly , t h e f o r m u l a t i o n o f EPP must
b e s l i g h t l y m o d i f i e d s o t h a t t h e Argument T h - C r i t e r i o n w i l l n o t
a p p l y i n t h i s c a s e a t D-S.
If oc th-marks -- d i r e c t l y o r i n d i r e c t l y -- i n
\d a t LF o r i f oc m o d i f i e s p i n g a t LF, i t must
do s o a l s o a t t h e o t h e r s y n t a c t i c l e v e l s .
Given t h i s f o r m u l a t i o n of EPP, i t i s s u f f i c i e n t t h a t se b e -
a t t a c h e d t o t h e v e r b a t LF f o r t h e grammar t o l i c e n s e non-
a s s ignment o f t h e e x t e r n a l t h - r o l e t o t h e s u b j e c t p o s i t i o n a t D-S.
Based on t h e f a c t t h a t t h e s e - p a s s i v e c a n n o t c o e x i s t w i t h - a &-phrase , B e l l e t t i 1980 h a s s u g g e s t e d t h a t t h e impersona l
se and t h e p a s s i v e se be c o n s i d e r e d a s f u n c t i o n a l l y n o n - d i s t i n c t . - - She s u g g e s t e d t h a t i n t h e s e cases t h e e x t e r n a l t h - r o l e i s
a s s i g n e d t o se, which i s g e n e r a t e d u n d e r I N F L , and n o t t o t h e -
s d j e c t p o s i t i o n [ N P , S ] . The s o l e d i f f e r e n c e between t h e se -
i n ( 4 9 ) a - b and t h e s e i n ( 5 2 ) a ( i i ) and ( 5 2 ) b ( i i ) is t h a t i n - t h e fo rmer c a s e se b e a r s t h e c a s e p r o v i d e d by AGR ( i . e . , -
nomina t ive c a s e ) w h i l e i n t h e l a t t e r c a s e se b e a r s t h e c a s e -
p r o v i d e d by t h e v e r b ( i . e . , a c c u s a t i v e c a s e ) . W e t h i n k though
t h a t t h e impersona l se and t h e p a s s i v e ' s e a r e f u n c t i o n a l l y - -
d i s t i n c t because t h e r e a r e l a n g u a g e s i n which one b u t n o t t h e
o t h e r e x i s t s . 8
For example, T r e n t i n o , a Nor the rn I t a l i a n d i a l e c t , h a s
t h e i m p e r s o n a l s e b u t n o t t h e p a s s i v e se. ( P a t r i z i a C o r d i n , - -
p . c . 1 . Cons ide r t h e s i m p l e s e n t e n c e s :
( 5 7 ) a- Le c a s t a g n e se l e magna c o l v i n c a l d o . - (The w a l n u t s imp.se - o b j . c l . - e a t w i t h h o t wine . )
*b- Le c a s t a g n e s e magna c o l v i n c a l d o . -
(The w a l n u t s a r e e a t e n w i t h h o t wine . )
I n ( 5 7 ) a l e c a s t a g n e i s i n t o p i c p o s i t i o n , n o t i n s u b j e c t
p o s i t i o n . l e i s t h e resumpt ive o b j e c t c l ' i t i c , n o t a s u b j e c t - c l i t i c . ( T r e n t i n o , l i k e many Nor the rn I t a l i a n d i a l e c t s , h a s
s u b j e c t c l i t i c s . h r a n d i & Cordin 1981 s u g g e s t t h a t t h e y a r e
i n f l e c t i o n a l AGR e l e m e n t s . ) Although t h e y a r e m o r p h o l o g i c a l l y
n o n - d i s t i n c t , it is p o s s i b l e t o t e l l them a p a r t b e c a u s e q u a n t i -
f i e d NPs may a p p e a r i n s u b j e c t p o s i t i o n b u t n o t i n l e f t -
d i s l o c a t e d p o s i t i o n due t o t h e d e f i n i t e c h a r a c t e r o f t h e
r e s u m p t i v e o b j e c t c l i t i c .
(58) a- T a n t i p u t e i i l a o r a n e i campi.
(Many boys s u b j . c l . work i n t h e f i e l d s . )
*b- T a n t i p u t e i i ciamo.
(Many boys ( I ) o b j . c l . c a l l . f blanyboys I c a l l them.')
Compare ( 5 7 ) a w i t h ( 5 9 ) .
( 5 9 ) * Tante c a s t a g n e - se l e magna c o l v i n c a l d o .
(Many w a l n u t s imp. se - o b j . c l . - e a t w i t h h o t wine. /
'Many w a l n u t s ARd sub j . e a t s them w i t h h o t wine . ' )
The - s e i n ( 5 7 ) a i s t h e n t h e impersona l - se and n o t t h e p a s s i v e
se. R e c a l l t h a t t h e impersona l s e may a p p e a r i n the i n f i n i t i v a l - -
complement o f c e r t a i n r a i s i n g v e r b s .
(60) Debe comerse - l a s c a s t a z a s con v i n o c a l i e n t e .
(Must e a t - p a s s . se w a l n u t s w i t h h o t wine . / 'Walnu t s
must b e e a t e n w i t h h o t w i n e . ' )
Compare ( 6 0 ) w i t h i t s c o u n t e r p a r t i n T r e n t i n o , which i s
ungrammat ica l .
( 6 1 ) *a- Debe magnarse - l e c a s t a g n e c o l v i n c a l d o .
b- Se debe magnar l e c a s t a g n e c o l v i n c a l d o . - (ARB s u b j . must ea t t h e w a l n u t s w i t h h o t w i n e . )
The ungramrna t i ca l i ty o f ( 5 7 ) b , ( 5 9 ) , and ( 6 1 ) a c l e a r l y shows
t h a t T r e n t i n ~ l a c k s t h e p a s s i v e - se.
Also , a s w e s h a l l s e e l a t e r , t h e v e r b s w i t h a n i m p e r s o n a l
se a t t a c h e d t o i t and t h e s e - p a s s i v e v e r b s behave d i f f e r e n t l y - -
w i t h r e s p e c t t o A u x i l i a r y Change.
I n c o n c l u s i o n , we assume t h a t b o t h t h e impersona l se -
and t h e p a s s i v e - se a r e g e n e r a t e d under INFL b u t a r e f u n c t i o n -
a l l y d i s t i n c t . The impersona l s e i s a nominal c l i t i c which -
forms a d i s c o n t i n u o u s e lement w i t h t h e non-over t NP i n s u b j e c t
p o s i t i o n . The p a s s i v e se i s a v e r b a l a f f i x which i s a t t a c h e d - t o t h e v e r b i n t h e s y n t a x and b l o c k s t h - r o l e a s s ignment t o
t h e s u b j e c t p o s i t i o n and a c c u s a t i v e c a s e ass ignment t o t h e
o b j e c t p o s i t i o n .
4 . The e r g a t i v e s e and t h e i n h e r e n t se ( d i s c u s s e d by
R u w e t 1 9 7 2 , B u r z i o 1981 among o t h e r s . )
The e r g a t i v e se, l i k e t h e p a s s i v e s e , i s a v e r b a l - -
a f f i x which f u n c t i o n s a s a n i n t r a n s i t i v i z e r .
(62) a- P i e r r e a c a s s g l e v e r r e .
(Peter b r o k e t h e g l a s s . )
b- L e v e r r e s ' e s t c a s s g .
(The g l a s s b r o k e . )
A s p o i n t e d o u t by B u r z i o 1981, t h e s u r f a c e s u b j e c t i n ( 6 2 ) b
i s t h e D-S t ruc tu re o b j e c t a s shown by t h e f o l l o w i n g example.
(63) 11 s ' e s t c a s s 6 t r o i s v e r r e s .
(There b r o k e t h r e e g l a s s e s .
(Compare (63) w i t h * I 1 a t61e'phon6 3 g a r s o n s (There phoned
t h r e e boys . ) )
I n t h i s r e s p e c t , t h e e r g a t i v e se+V p a t t e r n s w i t h t h e p a s s i v e
se+V and c o n t r a s t s w i t h t h e r e f l e x i v e se+V. R e c a l l t h a t i n
t h e l a t t e r c a s e t h e S - S t r u c t u r e s u b j e c t i s t h e D - S t r u c t u r e
s u b j e c t .
(64) a- I1 se mange beaucoup de v i a n d e dans c e pays .
( T h e r e - i s e a t e n - a l o t o f meat i n t h i s c o u n t r y . )
*b- I1 s ' e s t t u g beaucoup de gens d a n s c e pays .
(There t h e m s e l v e s - k i l l e d many p e o p l e i n t h i s c o u n t r y . )
How i s t h e e r g a t i v e - s e d i f f e r e n t from t h e p a s s i v e - s e ?
Unl ike t h e p a s s i v e - se , t h e e r g a t i v e o r a n t i - c a u s a t i v e - se
d e l e t e s t h e e x t e r n a l t h - r o l e o f t h e v e r b t o which it i s a t t a c h e d .
Thus, t h e e r g a t i v e se-V c a n n o t c o e x i s t w i t h an " a g e n t i v e "
a d v e r b i a l . Compare ( 6 5 ) w i t h ( 5 4 ) .
( 6 5 ) * Le v e r r e - s ' e s t c a s s 6 v o l o n t a i r e m e n t .
(The g l a s s b roke v o l u n t a r i l y . )
In a n e r g a t i v e c o n s t r u c t i o n , t h e r e i s no i m p l i c i t a g e n t t o
f u n c t i o n a s a c o n t r o l l e r . Compare (66) w i t h (55) .
( 6 6 ) * Le v e r r e s ' e s t c a s s 6 p o u r emb6te r Mar ie .
(The g l a s s b roke t o b o t h e r Mary.)
Moreover, as p o i n t e d o u t by Ruwet 1972, t h e s e - p a s s i v e , l i k e - t h e p a s t - p a r t i c i p i a l p a s s i v e , i s p r o d u c t i v e . On t h e o t h e r hand,
t h e e r g a t i v e se may a t t a c h t o c e r t a i n t r a n s i t i v e v e r b s b u t n o t - t o others, i . e . , it is i d i o s y n c r a t i c . The e r g a t i v e se-Verbs
may be assumed t o b e l e x i c a l l y d e r i v e d . 9
O t h e r examples o f e r g a t i v e v e r b s d e r i v e d from t r a n s i t i v e
v e r b s by a t t a c h m e n t o f t h e morpheme se a r e : ( f rom B u r z i o 1981) - a c c u m u l a r s i ( accumula te ) , muovers i (move) , d i v i d e r s i ( d i v i d e ) ,
l i q u e f a r s i ( l i q u i f y ) , s p o r c a r s i ( d i r t y ) . . . There a r e a number o f e r g a t i v e v e r b s which have t h e
morpheme se a t t a c h e d t o them b u t which a r e n o t d e r i v e d from - t r a n s i t i v e v e r b s . T h i s se is known a s t h e i n h e r e n t r e f l e x i v e -
se .
(67) a- T r o i s e n f a n t s se s o n t g v a n o u i s . -
(Three c h i l d r e n f a i n t e d . )
b- I1 s ' e s t 6vanoui t r o i s e n f a n t s . -
(There f a i n t e d t h r e e c h i l d r e n . )
*c- On a Gvanoui t r o i s e n f a n t s .
( W e f a i n t e d t h r e e c h i l d r e n . )
O t h e r examples o f i n h e r e n t r e f l e x i v e - se a r e : se s u i c i d e r
(commit s u i c i d e ) , s ' i m a g i n e r ( i m a g i n e ) , se r e p o s e r ( r e s t ) ,
se f 2 c h e r ( g e t a n g r y ) ....
To summarize, t h e r e a r e b a s i c a l l y t h r e e t y p e s o f - se.
One o f them i s a nominal c l i t i c . I t f u n c t i o n s as an anaphor-
i z e r , s i m i l a r t o s e l f i n h i m s e l f . The d i s c o n t i n u o u s e lement
se-e i s c o n s e q u e n t l y a n anaphor . The nominal c l i t i c - se i s
g e n e r a t e d e i t h e r a t t a c h e d t o t h e v e r b o r under INFL. I f it i s
g e n e r a t e d a t t a c h e d t o t h e v e r b , se -e f u n c t i o n s s imply a s an
anaphor . T h i s i s t h e r e f l e x i v e ( o r r e c i p r o c a l ) - se. But i f i t
i s g e n e r a t e d under INFL and INFL a l s o c o n t a i n s t h e pronominal
AGR e l e m e n t , t h e d i s c o n t i n u o u s e lement se -e f u n c t i o n s a s a
pronominal anaphor . T h i s i s t h e i m p e r s o n a l - se . ' The o t h e r two
t y p e s o f - s e a r e v e r b a l a f f i x e s . One o f t h e n , t h e e r g a t i v e o r
a n t i - c a u s a t i v e s e , d e l e t e s t h e e x t e r n a l t h - r o l e o f t h e v e r b -
t o which i t i s bound. The e r g a t i v e s e - V i s l e x i c a l l y d e r i v e d .
The o t h e r v e r b a l a f f i x se i s t h e p a s s i v e o r middle s e . I t - - b l o c k s e x t e r n a l t h - r o l e a s s ignment t o s u b j e c t p o s i t i o n ( b u t
does n o t d e l e t e i t ) . I t i s g e n e r a t e d under I N F L and a t t a c h e d
t o t h e v e r b i n t h e s y n t a x . The s e - p a s s i v e i s t h e n s y n t a c - - t i c a l l y d e r i v e d .
2 . 3 A u x i l i a r y S e l e c t i o n
I n I t a l i a n and French t h e r e a r e two a u x i l i a r i e s t o
form t h e p a s t t e n s e : e s s e r e / $ t r e ( b e ) , a v e r e / a v o i r ( h a v e ) . Which v e r b s t a k e which a u x i l i a r y i s t o a l a r g e e x t e n t
p r e d i c t a b l e , more s o i n I t a l i a n t h a n i n French. I n what f o l l o w s
we w i l l o n l y b e concerned w i t h I t a l i a n a u x i l i a r i e s . Our d i s -
c u s s i o n i s b a s e d on B u r z i o ' s d e t a i l e d work on t h e s u b j e c t .
I n s t a n d a r d I t a l i a n a v e r b selects i t s a u x i l i a r y a c c o r d i n g
t o r u l e ( 6 8 ) , p u t t i n g l e x i c a l i d i o s y n c r a c i e s a s i d e .
(68) A. A v e r b selects tlze a u x i l i a r y e s s e r e i f
1. it does n o t a s s i g n a n argument t h - r o l e t o t h e
s u b j e c t
2. the nominal c l i t i c - s i ( o r t h e 1st o r 2nd p e r s o n
c o u n t e r p a r t o f - s i ) is a t t a c h e d t o i t .
B. O t h e r w i s e , a v e r b s e l e c t s t h e a u x i l i a r y a v e r e .
The c a s e s t h a t f a l l under P a r t A. 1 o f r u l e ( 6 8 ) a r e t h e
f o l l o w i n g . F i r s t , t h e p a s s i v e : ~ o t h t h e p a s t - p a r t i c i p i a l
p a s s i v e and t h e i m p e r s o n a l p a s s i v e formed by a f f i x a t i o n o f t h e
morpheme - s i . Examples a r e g i v e n i n (6 9) .
(69) a- Maria e ' s t a t a a c c u s a t a .
(Mary h a s been a c c u s e d . )
b- Q u e i l i b r i s i sono l e t t i v o l e n t i e r i .
(Those books have been r e a d w i l l i n g l y . )
Second, t h e e r g a t i v e s o r u n a c c u s a t i v e v e r b s : b o t h t h e i n t r i n -
s i c e r g a t i v e s l i k e a r r i v a r e ( a r r i v e ) , sembra re ( s e e m ) , p a r e r e
( a p p e a r ) , r i s u l t a r e ( t u r n o u t ) . . . . and t h e ones formed by a n
a n t i - c a u s a t i v e l e x i c a l r u l e l i k e a c c u m u l a r s i ( a c c u m u l a t e ) ,
muovers i (move) , d i v i d e r s i ( d i v i d e ) , rompers i ( b r e a k ) . . .
( 7 0 ) a- Maria e ' a r r i v a t a .
(Mary h a s a r r i v e d . )
b- I r a g a z z i e r a n o s e m b r a t i u s c i r e d i c o r s a .
(The c h i l d r e n had seemed t o g e t o u t i n a h u r r y . )
c- I1 v a s o s i e ' r o t t o i e r i .
(The v a s e b roke y e s t e r d a y . )
Only a few e x c e p t i o n s a r e found i n I t a l i a n t o p a r t A . I . o f
r u l e ( 6 8 ) , among t h e r a i s i n g v e r b s : d o v e r e , p o t e r e , comin-
c i a r e . I n French many more e x c e p t i o n s a r e found , i n c l u d i n g
among t h e e r g a t i v e c l a s s o f v e r b s .
The c a s e s t h a t f a l l under p a r t A. I1 o f r u l e ( 6 8 ) a r e t h e
i m p e r s o n a l nominal c l i t i c s i and t h e r e f l e x i v e nominal c l i t i c - s i . -
(71) a- S i e ' t e l e f o n a t o Giovann i .
(ARB s u b j . h a s phoned J o h n . )
b- Maria . s i e ' a c c u s a t a .
(Mary h a s accused h e r s e l f . )
W e s u s p e c t t h a t P a r t A . 1 r e p r e s e n t s t h e c o r e c a s e o f e s s e r e -
s e l e c t i o n . I t i s s e n s i t i v e t o t h e argument s t r u c t u r e o f t h e
v e r b , a t r a n s p a r e n t and mean ingfu l phenomenon. Moreover, t h e
f a c t t h a t among t h e v e r b s i n A . I . t h e r e a r e some which a r e
i n s t r a n s i t i v i z e d v i a a t t a c h m e n t o f t h e morpheme s i - l e a d s u s
t o s u s p e c t t h a t p a r t I1 o f t h e e s s e r e - s e l e c t i o n r u l e i s a
p a r a s i t i c e x t e n s i o n of p a r t I . I n e f f e c t , e s s e r e - s e l e c t i o n
migh t have s imply g e n e r a l i z e d t o a l l v e r b s w i t h t h e morpheme
( o r i t s o r 2nd p e r s o n a t t a c h e d i t .
T h i s s u s p i c i o n f i n d s some s u p p o r t i n t h e f o l l o w i n g f a c t s :
1. I f a r e f l e x i v e pronoun i s used i n s t e a d o f a r e f l e x i v e
c l i t i c , t h e n a v e r e i s s e l e c t e d i n s t e a d o f e s s e r e . Compare
( 7 1 ) b w i t h ( 7 2 ) .
(72) Maria ha a c c u s a t o se s t e s s a .
As f a r a s w e can s e e , t h e t h e m a t i c s t r u c t u r e o f t h e v e r b
a c c u s a r e i n bo th s e n t e n c e s a r e i d e n t i c a l .
2 . I n t h e d i a l e c t o f Padua t h e v e r b s which have a n imper-
s o n a l c l i t i c se or a r e f l e x i v e c l i t i c se a t t a c h e d t o them - - s e l e c t a v e r e and n o t e s s e r e . lo (The Paduan f a c t s were b r o u g h t
t o my a t t e n t i o n by G . Cinque. )
B u r z i o 1981 f o r m u l a t e s t h e e s s e r e - s e l e c t i o n r u l e i n t h e
f o l l o w i n g way.
"The Aux w i l l be r e a l i z e d a s essere when a b i n d i n g
r e l a t i o n e x i s t s between t h e s u b j e c t and a nominal
c o n s t i t u e n t o f t h e p r e d i c a t e . An e l e m e n t i s a
c o n s t i t u e n t o f t h e p r e d i c a t e i f and o n l y i f 1- it
i s e i t h e r p a r t of t h e v e r b morphology [ i . e . s i (MLZ) I --
o r 2- it is governed by t h e v e r b . " ( p . 148)
( 7 3 ) needs t o b e f u r t h e r q u a l i f i e d i n o r d e r t o accoun t f o r
t h e c o n t r a s t between ( 7 1 ) b and ( 7 2 ) . The b i n d i n g r e l a t i o n
r e f e r r e d t o i n ( 7 3 ) must b e " a r e l a t i o n between e l e m e n t s which
do n o t have i n d e p e n d e n t t h - r o l e s . " ( B u r z i o p . 1 5 0 )
Rules ( 6 8 ) and (73) a r e e m p i r i c a l l y e q u i v a l e n t f o r
S t a n d a r d I t a l i a n . They b o t h r e c o g n i z e t h a t t h e r e a r e two
p a r t s t o e s s e r e - s e l e c t i o n ( p a r t s I and I1 i n ( 6 8 ) , 1 and 2
i n ( 7 3 ) . W e choose r u l e ( 6 8 ) o v e r ( 7 3 ) f o r two r e a s o n s .
F i r s t , i t i s s t a t e d i n a more mean ingfu l way. Second, t o know
which Aux a v e r b s e l e c t s , i t i s s u f f i c i e n t t o l o o k a t t h e v e r b
a s ( 6 8 ) c l a i m s . I t i s u n n e c e s s a r y t o l o o k a t t h e whole c l a u s e
which c o n t a i n s t h e v e r b a s ( 7 3 ) c l a i m s . Tha t t h e s y n t a c t i c
domain S seems t o be r e l e v a n t f o r A u x - s e l e c t i o n i s a n a r t i f a c t
o f t h e way i n which t h e r u l e i s f o r m u l a t e d i n ( 7 3 ) . F u r t h e r -
more, i f ( 7 3 ) were t h e c o r r e c t f o r m u l a t i o n o f e s s e r e - s e l e c t i o n
t h e d i f f e r e n c e between S t a n d a r d I t a l i a n and t h e Paduan d i a l e c t
would be q u i t e p u z z l i n g .
L i k e Burz io w e w i l l assume t h a t A u x - s e l e c t i o n does n o t
a p p l y i n t h e l e x i c o n . T h i s i s c r u c i a l s i n c e w e assume t h a t
s e - p a s s i v e s a r e s y n t a c t i c a l l y d e r i v e d ( i . e . , t h e p a s s i v e - morpheme s e a t t a c h e d t o t h e v e r b i n t h e s y n t a x and n o t i n t h e -
l e x i c o n ) . A s w e s h a l l see, t h e phenomenon d i s c u s s e d i n 1 1 1 . 2 . 1
c o n s t i t u t e s a n o t h e r argument a g a i n s t a p p l i c a t i o n o f A u x - s e l e c t i o n
i n t h e l e x i c o n . S i n c e A u x - s e l e c t i o n i s s e n s i t i v e t o t h e
a r g u m e n t - s t r u c t u r e o f t h e v e r b , i t i s v e r y u n l i k e l y t h a t it
s h o u l d b e l o n g t o P F . W e w i l l hence assume t h a t i t a p p l i e s a t
LF ( o r a t S-S) .
2.4 . A S o l u t i o n : S imul taneous a n a l y s e s .
I n s u b - s e c t i o n 111 .2 .1 , we have s e e n t h a t t h e v e r b s i n
( 4 2 ) may behave a s non-main v e r b s w i t h r e s p e c t t o t h e p r o c e s s e s
d i s c u s s e d i n ( 3 3 ) l - 3 and t h a t t h e phenomenon c a n n o t be r e a d i l y
accoun ted f o r by t r e a t i n g t h e v e r b s i n ( 4 2 ) a s a u x i l i a r i e s .
Hence, f o l l o w i n g R i z z i ' s s u g g e s t i o n , w e w i l l assume t h a t t h e
v e r b s i n (42) a r e v e r b s t h a t may f u n c t i o n a s p a r t o f a complex
v e r b a l u n i t . But we have a l s o s e e n t h a t t h e r e s t r u c t u r i n g r u l e
( 4 5 ) which forms a complex v e r b : [ V1 V21 from two autonomous v
v e r b s V1 and V2 i s i n c o m p a t i b l e w i t h t h e P r o j e c t i o n P r i n c i p l e .
Our s o l u t i o n t o t h e problem i s o u t l i n e d below. The a n a l y s i s
h a s two a s p e c t s . F i r s t , it w i l l be assumed t h a t t h e dependency
between V and V2 i s t h a t o f a n a f f i x w i t h r e s p e c t t o a v e r b 1
t o which it i s bound and which it m o d i f i e s . ( I n f a c t , i n some
l a n g u a g e s many o f t h e v e r b s i n ( 4 2 ) a r e m o r p h o l o g i c a l l y a f f i x e s . )
W e do n o t t h i n k though t h a t t h i s a f f i x a t i o n p r o c e s s i n S p a n i s h
and I t a l i a n b e l o n g s t o t h e l e x i c o n s i n c e t h e two v e r b s -- namely
t h e v e r b a l a f f i x and t h e v e r b t o which it i s a t t a c h e d -- f u n c t i o n
a s autonomous words w i t h r e s p e c t t o l e x i c o - m o r p h o l o g i c a l r u l e s .
Moreover, an a u x i l i a r y may a p p e a r between t h e two v e r b s .
/ ( 7 4 ) Maria l o p o d r l a h a b e r conocido.
(Mary him-could have m e t . )
Hence, t h e a f f i x a t i o n must b e s y n t a c t i c .
Second, t o make t h e a f f i x a t i o n a n a l y s i s c o m p a t i b l e w i t h t h e
P r o j e c t i o n P r i n c i p l e , namely t o a v o i d e n c o u n t e r i n g t h e same
problem a s t h e r e s t r u c t u r i n g r u l e i n ( 4 5 ) , t h e r e i s b u t one
h y p o t h e s i s . The v e r b s p o d e r , d e b e r , g u e r e r , e t c . i n s e n t e n c e s
l i k e (34) , ( 3 6 ) , ( 3 8 ) , ( 4 3 ) a - d a r e s i m u l t a n e o u s l y a f f i x e s and
main v e r b s . T h i s i m p l i e s t h a t t h e s e s e n t e n c e s have two p a r a l l e l
s t r u c t u r e s , i . e . , two s i m u l t a n e o u s a n a l y s e s , a s e x e m p l i f i e d
i n ( 7 5 ) .
Juani I
puede e v i s i t a r a aria
I I S - 2 [ NP1 I I V A f f i x + VI NP3 I 1
S VP v
I n ( 7 5 ) p o d e r i s b o t h a n a rgument - t ak ing p r e d i c a t e (it a s s i g n s
an argument t h - r o l e t o S 2 ) and i t i s a v e r b a l a f f i x which modi-
f i e s t h e v e r b v i s i t a r . l1 More p r e c i s e l y , what w e a r e s u g g e s t i n g
i s t h a t t h e r e i s no r u l e which a c c o u n t s f o r t h e "non-main
v e r b b e h a v i o r " o f t h e c l a s s o f v e r b s i n I11 ( 4 2 ) . The "non-
main v e r b b e h a v i o r " i s due t o a d o u b l e l e x i c a l p r o p e r t y o f
t h e s e v e r b s : [ - S t ( - V ) 1 . They may f u n c t i o n s imul-
t a n e o u s l y a s autonomous v e r b s and a s bound v e r b s , i . e . , a s
p a r t o f a complex t h e m a t i c p r e d i c a t e . Consequen t ly , t h e
s e n t e n c e s which c o n t a i n t h e s e v e r b s may have s i m u l t a n e o u s
s y n t a c t i c a n a l y s e s . A t e a c h s y n t a c t i c l e v e l : D-S, S-S, and
L F , t h e s e s e n t e n c e s may be a s s o c i a t e d w i t h a p a i r o f s t r u c t u r e s .
And, it i s t h e " reduced" s t r u c t u r e (S-2 i n (75) ) which is
mapped o n t o PF.
Note t h a t a c c o r d i n g t o t h e d e f i n i t i o n o f m o d i f i c a t i o n
g i v e n i n I , ( 5 2 ) , t h e v e r b a l a f f i x i s n o t t h e head o f t h e complex
v e r b i n ( 7 5 ) . The head o f t h e complex-verb i s t h e v e r b t o
which t h e a f f i x i s a t t a c h e d . Hence, w e d i s a g r e e w i t h Wi l l i ams
1981 and Marantz 1981 who a r g u e t h a t a f f i x e s a r e a lways t h e
head o f a l e x i c a l c a t e g o r y . A f f i x e s may o r may n o t be i n t e r -
p r e t e d as t h e head depend ing on t h e i r f u n c t i o n a l r o l e . I f
t h e y f u n c t i o n a s m o d i f i e r s , t h e y a r e n o t heads by d e f i n i t i o n .
As w e s h a l l see, t h e phenomenon o f A u x - s e l e c t i o n p r o v i d e s
some e v i d e n c e t h a t t h i s i s s o . On t h e o t h e r hand, a f f i x e s
which have t h e f u n c t i o n o f changing t h e f e a t u r e s p e c i f i c a t i o n
o r t h e a r g u m e n t - s t r u c t u r e o f a c a t e g o r y a r e i n t e r p r e t e d a s
heads s i n c e a c c o r d i n g t o X-theory it is t h e head which d e t e r -
mines t h e f e a t u r e s and l e x i c a l p r o p e r t i e s o f t h e c o n s t i t u e n t
o f which it is a p r o j e c t i o n .
Before d i s c u s s i n g how " p a r a l l e l s t r u c t u r e s " i n t e r a c t
w i t h c l i t i c i z a t i o n , - s e - p a s s i v e , and a u x i l i a r y s e l e c t i o n , w e
w i l l b r i e f l y c o n s i d e r t h e f o l l o w i n g i s s u e : what i s t h e charac -
t e r i z a t i o n o f t h e c l a s s o f v e r b s t h a t t r i g g e r t h e phenomenon
under d i s c u s s i o n ? T h i s i s a q u e s t i o n which h a s o f t e n been
c o n s i d e r e d u n i n t e r e s t i n g f o r t h e f o l l o w i n g r e a s o n . There i s
a c o r e - c l a s s of v e r b s , namely t h e one g i v e n i n ( 4 2 ) , which
undergo c l i t i c - c l i m b i n g , - s e - p a s s i v i z a t i o n , and a u x i l i a r y change.
B u t , a s h a s o f t e n been remarked, on t h e p e r i p h e r y o f t h i s
c o r e - c l a s s t h e r e a r e i n d i v i d u a l c a s e s which v a r y from s p e a k e r
t o s p e a k e r . From t h i s it h a s o f t e n been conc luded t h a t t h e r e
i s no l e x i c a l u n i f o r m i t y t o t h e p r o c e s s under d i s c u s s i o n . But
t h e r e i s a n a l t e r n a t i v e , more f r u i t f u l way o f l o o k i n g a t t h e
f a c t s . The g rammat ica l c a s e s a r e r e p r e s e n t e d by t h e c o r e -
c l a s s i n ( 4 2 ) . The p e r i p h e r a l c a s e s a r e n o t g rammat ica l . W e - may a t t r i b u t e t h e i r e x i s t e n c e t o a n a l o g y . I n f a c t , t h e ana logy
seems t o work o n l y f o r t h e " c l i t i c - c l i m b i n g " phenomenon, it
works a t most m a r g i n a l l y f o r t h e s e - p a s s i v e , and n o t a t a l l - f o r A U X - s e l e c t i o n -- a s shown i n (76) . 1 2
( 7 6 ) a- Mario - l o t r a t d de l ee r . (OK f o r some s p e a k e r s . )
(Mar io i t - t r i e d t o r e a d . )
? ? b- E s t o s l i b r o s s e t r a t a n de l e e r con cu idado . -
(These books a r e t r i e d - t o r e a d c a r e f u l l y . )
c- Mario a v r e b b e / * s a r e b b e c e r c a t o d i a n d a r e a s c i a r e .
(Mario would have / "beM t r i e d t o go s k i i n g . )
(Example ( 7 6 ) c i s from B u r z i o 1981. )
Moreover, a s n o t e d i n S t r o z e r 1976, when embedded i n more
complex c o n s t r u c t i o n s , s e n t e n c e s l i k e ( 7 6 ) a o f t e n become
u n a c c e p t a b l e .
Assuming t h e n t h a t t h e c l a s s o f v e r b s t h a t may f u n c t i o n
b o t h a s main v e r b s and a s a f f i x e s i s a w e l l - d e f i n e d c l a s s ,
namely t h e one i n ( 4 2 ) , how can i t be c h a r a c t e r i z e d ? R e c a l l
t h a t v e r b s a r e argurnent - taking p r e d i c a t e s ' p a r e x c e l l e n c e ' .
Only a s m a l l c l a s s o f v e r b s t h a t i n c l u d e s modals and a s p e c t u a l s
may f u n c t i o n , i n c e r t a i n l a n g u a g e s , a s a d j u n c t - p r e d i c a t e s . I n
E n g l i s h o n l y c e r t a i n modals may f u n c t i o n a s a d j u n c t - p r e d i c a t e s .
I n S p a n i s h and I t a l i a n b o t h modals and a s p e c t u a l s may f u n c t i o n
a s a d j u n c t - p r e d i c a t e s . A t p r e s e n t w e c a n n o t g i v e a s e m a n t i c
c h a r a c t e r i z a t i o n o f t h e s e v e r b s , b u t w e can o f f e r a c l e a r
d e f i n i t i o n o f a d j u n c t - p r e d i c a t e : a l e x i c a l i t e m can f u n c t i o n
a s a n a d j u n c t - p r e d i c a t e i f and o n l y i f :
1. it c a n f u n c t i o n a s a m o d i f i e r and
2 . any e x t e r n a l t h - r o l e t h a t it a s s i g n s i s an a d j u n c t
t h - r o l e .
T h i s means c o n c r e t e l y t h a t i f a v e r b h a s t h e l e x i c a l p r o p e r t y
of a s s i g n i n g a t h - r o l e t o t h e s u b j e c t , when f u n c t i o n i n g a s
a n a d j u n c t - p r e d i c a t e , t h i s t h - r o l e must be i n t e r p r e t e d a s an
a d j u n c t t h - r o l e .
To i l l u s t r a t e , c o n s i d e r t h e c a s e o f q u e r e r / v o l e r e which i s
known t o be a c o n t r o l v e r b when it f u n c t i o n s p u r e l y a s a main
v e r b . I n ( 7 7 ) t h e embedded c l a u s e i s an argument o f q u e r e r ,
e l l i b r o i s an argument o f comprar , aria i s t h e e x t e r n a l
argument o f comprar . Q u e r e r m o d i f i e s comprar and i t a s s i g n s
a n a d j u n c t t h - r o l e t o Mar ia . ( 7 7 ) i s t h e n a r a i s i n g - s t r u c t u r e ,
n o t a c o n t r o l s t r u c t u r e . NP2 i s t r a c e - l i k e i n t h a t it does n o t
b e a r a t h - r o l e and PRO-like i n t h a t i t i s ungoverned. C f .
1 1 . 4 . 1 and 1 1 . 4 . 2 .
aria; q u i e r e e : comprar e l l i b r o
(Mary wan t s t o buy t h e book. )
To r e c a p i t u l a t e , q u e r e r i n ( 7 7 ) h a s a d u a l " i n t e r n a l " r e l a t i o n :
w i t h t h e embedded c l a u s e and w i t h t h e embedded v e r b . I t a l s o
h a s an " e x t e r n a l " r e l a t i o n , namely w i t h t h e argument i n s u b j e c t
p o s i t i o n -- which i s a n a d j u n c t t h - r e l a t i o n . The t h - r o l e
a s s i g n e d by q u e r e r i n a c o n t r o l s t r u c t u r e and t h e t h - r o l e
a s s i g n e d by g u e r e r when i t f u n c t i o n s a s an a d j u n c t - p r e d i c a t e
are n o t d i f f e r e n t c o n t e n t - w i s e -- no more t h a n t h e t h - r o l e s
a s s i g n e d by a b l e and by t h e " r o o t " can a r e . They a r e d i f f e r e n t -
w i t h r e s p e c t t o t h e c o n s t r a i n t s t o which t h e y a r e s e n s i t i v e .
R e c a l l t h a t argument t h - r o l e s obey t h e Argument T h - C r i t e r i o n
which a p p l i e s a t e v e r y s y n t a c t i c l e v e l . Adjunct t h - r o l e s do
n o t obey t h e Argument T h - C r i t e r i o n . They obey t h e Adjunc t
T h - C r i t e r i o n which r e q u i r e s t h a t an a d j u n c t t h - r o l e be combined
t o a n argument t h - r o l e a t L F .
A s i n t h e c a s e o f s u b j e c t - o r i e n t e d a d v e r b s , meaning
changes under p a s s i v e , a s shown i n ( 7 8 ) a and ( 7 8 ) b.
( 7 8 ) a- aria l e s q u i e r e p r e s e n t a r a J u a n .
(Mary t o them-wants t o i n t r o d u c e J o h n . )
b- Juan les q u i e r e ser p r e s e n t a d o j -,
(John t o them-wants t o be i n t r o d u c e d by Mary.)
T h i s i s due t o t h e f a c t t h a t i n ( 7 8 ) a q u e r e r a s s i g n s an a d j u n c t
t h - r o l e t o Mar ia , and i n ( 7 8 ) b q u e r e r a s s i g n s a n a d j u n c t t h - r o l e
t o J u a n .
An argument i n s u p p o r t o f t h e h y p o t h e s i s t h a t v e r b s i n
( 4 2 ) f u n c t i o n a s a d j u n c t - p r e d i c a t e s , and hence a s a d j u n c t
t h - r o l e a s s i g n e r s t o t h e s u b j e c t , i s found i n I t a l i a n . But
b e f o r e p r e s e n t i n g t h e argument a b r i e f d i g r e s s i o n i s n e c e s s a r y .
Languages w i t h " n u l l - s u b j e c t s " l i k e S p a n i s h and I t a l i a n
a l l o w f r e e s u b j e c t - p o s t p o s i n g -- u n l e s s t h e r e i s i n t e r f e r e n c e
from some i n d e p e n d e n t f a c t o r a s i n t h e c a s e o f P o r t u g u e s e
( c f . Z u b i z a r r e t a 1981) .
( 7 9 ) a - M o l t i r a g a z z i hanno t e l e f o n a t o .
(Many c h i l d r e n have phoned. )
b- Hanno t e l e f o n a t o m o l t i r a g a z z i .
What i s t h e s t a t u s o f t h e n o n - o v e r t NP i n t h e s u b j e c t p o s i t i o n
i n ( 7 9 ) b ? From t h e p o i n t o f view o f t h e t y p o l o g y o f non-over t
NPs d i s c u s s e d i n s e c t i o n 1 1 . 4 , it i s +pronominal and -anaphor
b e c a u s e it i s governed and f r e e (i .e . , i t i s n o t c-commanded
by an a n t e c e d e n t ) . Fur the rmore , it i s - t h - r o l e . I n e f f e c t ,
it i s t h e N P a d j o i n e d t o t h e VP m o l t i r a g a z z i which b e a r s t h e
e x t e r n a l t h - r o l e o f t e l e f o n a r e . The non-over t s u b j e c t i n ( 7 9 ) b
is hence an e x p l e t i v e p r o . Fo l lowing Chomsky 1981a, w e w i l l -
assume t h a t t h e non-over t NP i n s u b j e c t p o s i t i o n and m o l t i
r a g a z z i i n s e n t e n c e s l i k e ( 7 9 ) b a r e members o f t h e same t h -
chain. The s u b j e c t p o s i t i o n , which i s a n argument t h - p o s i t i o n ,
t r a n s m i t s t h e t h - r o l e t o t h e argument m o l t i r a g a z z i which
i s i n a non t h - p o s i t i o n -- i .e. , a d j o i n e d t o t h e VP . The
q u e s t i o n t h a t t h e n a r i s e s is why a r e t h e French and E n g l i s h
c o u n t e r p a r t s o f ( 7 9 ) b ungrammat ica l?
( 8 0 ) *a- I t phoned many p e o p l e .
*b- I1 a t61gphon6 beaucoup de gens .
Our s u g g e s t i o n i s t h a t w h i l e i n ( 7 9 ) b t h e e x p l e t i v e F r o i n
s u b j e c t p o s i t i o n forms a t h - c h a i n w i t h n l o l t i r a g a z z i , i n
( 8 0 ) a - b it/il d o e s n o t form a t h - c h a i n w i t h many people /beau- -- coup de gens . I n b o t h c a s e s t h e e x p l e t i v e pronominal i n sub-
ject p o s i t i o n i s c o - s u p e r s c r i p t e d w i t h t h e p o s t - v e r b a l N P b u t
only i n ( 7 9 ) b does c o - s u p e r s c r i p t i n g d e f i n e a t h - c h a i n . Why?
R e c a l l f rom t h e d i s c u s s i o n i n s e c t i o n 111.4.3 t h a t AGR i d e n -
t i f i e s t h e non-over t NP w i t h which i t i s c o - s u p e r s c r i p t e d i n
" n u l l - s u b j e c t " l a n g u a g e s . (Presumably a l anguage may have
" n u l l - s u b j e c t s " when i t s AGR e l e m e n t i s " s t r o n g " enough t o
f u n c t i o n a s an i d e n t i f i e r , a s s u g g e s t e d by T. T a r a l d s e n . ) And
r e c a l l moreover t h a t t h e AGR o r c l i t i c and t h e i d e n t i f i e d p r o
w i t h which it i s co indexed form a t h - c h a i n . I n t h e c a s e of
AGR, t h i s means t h a t t h e s u p e r s c r i p t d e f i n e s a t h - c h a i n : AGR
and a l l t h e p o s i t i o n s c o - s u p e r s c r i p t e d w i t h it a r e members o f
t h e same t h - c h a i n . I n c o n c l u s i o n t h e n t h e s u g g e s t i o n i s t h a t
only when t h e AGR e lement f u n c t i o n s as an " i d e n t i f i e r " does i t s
index ( i . e . , i t s s u p e r s c r i p t ) d e f i n e a th -cha in . (The same
can probably be s a i d about c l i t i c s . Namely, i n t h e c l i t i c -
doubl ing c o n s t r u c t i o n s t h e c l i t i c w i l l n o t be p a r t o f t h e t h -
c h a i n . ) Consequently, i n ( 7 9 ) b t h e non-overt 1JP i n s u b j e c t
p o s i t i o n and t h e pos t -ve rba l N P a r e members of t h e same t h -
cha in . The former t r a n s m i t s t h e e x t e r n a l t h - r o l e t o t h e l a t t e r .
But i n (80) a-b t h e pronoun and t h e pos t -ve rba l NP do n o t form
a th -cha in . Hence, t h e e x t e r n a l t h - r o l e of phone/t616phoner
i s borne by t h e pronoun i n s u b j e c t p o s i t i o n and n o t by t h e
argument N P i n pos t -ve rba l p o s i t i o n . Sentences (80 )a -b a r e
t hen excluded by t h e Argument Th-Cr i te r ion .
Now r e c a l l t h e c o n t r a s t between e r g a t i v e s and i n t r a n s i -
t i v e s w i t h r e s p e c t t o n e - c l i t i c i z a t i o n ( c f . 11 .4 .3 .1 and f o o t - -
n o t e 1 5 i n Chapter 11). We r e p e a t below.
(81) *a- N e hanno t e f o n a t o m o l t i j
. ( i n t r a n s i t i v e ) -j
b- Ne sono a r r i v a t i m o l t i j
- ( e r g a t i v e ) -1
The s e n t e n c e s (81 ) a and (81) b have t h e fo l lowing indexed-
s t r u c t u r e s :
i i ( 8 2 ) a- [ p r o j [ [ ne - hanno t e f o n a t o ] [ m o l t i p r o . 1 . 1 l S W V P j 3 3
i b- [ p r o j [ n e - sono a r r i v a t i [rnolt i p r o . I 1 1 s VP j I j
I n b o t h ( 8 2 ) a and ( 8 2 ) b , t h e NP i n p o s t - v e r b a l p o s i t i o n form
a t h - c h a i n w i t h t h e non-over t NP i n s u b j e c t p o s i t i o n ; b u t
t h e pro i n p o s t - v e r b a l p o s i t i o n i n ( 8 2 ) a i s n o t c o r r e c t l y
i d e n t i f i e d , a s r e q u i r e d by t h e c o n d i t i o n i n 11. (128) , b e c a u s e
i n ( 8 2 ) a -j- ne -V d o e s n o t govern t h e t h - p o s i t i o n i n t h e c h a i n j .
I n ( 8 2 ) b , on t h e o t h e r hand, n e -j- -V d o e s govern t h e t h - p o s i t i o n
i n t h e c h a i n j , namely t h e o b j e c t p o s i t i o n . I n t e r e s t i n g l y
enough, t h e c o n t r a s t between i n t r a n s i t i v e s and e r g a t i v e s i s
a l s o a t t e s t e d w i t h v o l e r e when it f u n c t i o n s a s a m o d i f i e r
as shown below. (These f a c t s were n o t e d by B u r z i o 1 9 8 1 ) . 1 3
( 8 3 ) *a- N e v o r r e b b e r o t e l e f o n a r e m o l t i ( i n t r a n s i t i v e ) -1 -1
(Of them-would want t o phone many.)
b- N e v o r r e b b e r o i n t e r v e n i r e m o l t i . ( e r g a t i v e ) -1 -1 (Of them-would want t o i n t e r v e n e many.)
*c- Vorrebbero i n t e r v e n i r n e m o l t i -1 -ja
I n (83) b m o l t i p r o i s t h e o b j e c t o f i n t e r v e n i r e which forms a
t h - c h a i n w i t h t h e embedded s u b j e c t and t h e m a t r i x s u b j e c t .
Hence, t h e m a t r i x s u b j e c t p o s i t i o n may t r a n s m i t t h e a d j u n c t
t h - r o l e a s s i g n e d by v o l e r e t o m o l t i p r o . I n ( 8 3 ) a m o l t i p r o
a l s o forms a t h - c h a i n w i t h t h e embedded and m a t r i x s u b j e c t s
b u t t h e argument t h - p o s i t i o n i n t h i s c h a i n i s t h e embedded
s u b j e c t p o s i t i o n : i - e . , t h e s u b j e c t o f t e l e f o n a r e . ( 8 3 ) a i s
t h e n ungrammat ica l f o r t h e same r e a s o n t h a t ( 8 1 ) a i s , i . e . ,
, i s n o t c o r r e c t l y i d e n t i f i e d b e c a u s e ne . -V does n o t govern -1-
t h e t h - p o s i t i o n i n t h e c h a i n j . I n ( 8 3 ) c v o l e r e f u n c t i o n s
s o l e l y a s a main v e r b a s i n d i c a t e d by t h e f a c t t h a t
" c l i t i c - c l i m b i n g " h a s n o t a p p l i e d . Hence, v o l e r e f u n c t i o n s a s
a c o n t r o l v e r b . ( 8 3 ) c i s t h e n ungrammatical f o r t h e same
r e a s o n t h a t *Vorrebbero m o l t i r a g a z z i i n t e r v e n i r e i s : t h e
l e x i c a l N P i n t h e embedded s e n t e n c e i s n o t case-marked. Thus,
w i t h i n t h i s a n a l y s i s t h e e x p l a n a t i o n f o r t h e g r a m m a t i c a l i t y
o f ( 8 3 ) a r e l i e s c r u c i a l l y on t h e f a c t t h a t when v o l e r e f u n c t i o n s
as an a d j u n c t - p r e d i c a t e e . , a s a m o d i f i e r ) it i s a r a i s i n g -
p r e d i c a t e : it does n o t a s s i g n an argument t h - r o l e t o t h e
s u b j e c t . I t a s s i g n s an a d j u n c t t h - r o l e which , r e c a l l , i s
i n v i s i b l e f o r t h e Argument ~ h - C r i t e r i o n . 1 4
Note t h a t it f o l l o w s from t h e p a r a l l e l - s t r u c t u r e s a n a l y s i s
t h a t S-1 i n (77) c a n n o t b e a c o n t r o l c o n s t r u c t i o n , i . e . , t h e
embedded s u b j e c t may n o t be PRO. I f i t were , it would mean
t h a t comprar would th -na rk two d i s t i n c t a rguments : P R O and - ~ a r < a . I t would th-mark NP2 (=PRO) because it f u n c t i o n s a s - t h e complement ' s main v e r b i n S-1 and it would th-mark NP1
( = ~ a r < a ) because it f u n c t i o n s a s head o f t h e complex p r e d i c a t e
i n S - 2 . T h i s would c o n s t i t u t e a v i o l a t i o n o f t h e p r o j e c t i o n
P r i n c i p l e and t h e Argument T h - C r i t e r i o n b e c a u s e comprar selects
one and o n l y one e x t e r n a l argument . ( I n e f f e c t , it i s a g e n e r a l
p r o p e r t y of l e x i c a l c a t e g o r i e s t h a t t h e y may t a k e a t most one
e x t e r n a l argument . ) One might t h e n a s k : how come q u e r e r
may s i m u l t a n e o u s l y a s s i g n an argument t h - r o l e t o t h e embedded
c l a u s e S and modify comprar i n ( 7 7 ) ? How i s t h i s d u a l 2
s e m a n t i c r e l a t i o n compat ib le w i t h t h e P r o j e c t i o n P r i n c i p l e ?
I t i s c o m p a t i b l e w i t h t h e P r o j e c t i o n P r i n c i p l e because comprar
i s p a r t o f t h e c o n t e n t o f t h e p r o p o s i t i o n a l argument S 2 . T h i s
d u a l s e m a n t i c r e l a t i o n i s i n e f f e c t t h e same s e m a n t i c r e l a t i o n
c o n t e n t - w i s e r e a l i z e d i n two forms: (1) a s an argument t h - r e l a t i o n
w i t h r e s p e c t t o t h e p r o p o s i t i o n S and (2) a s a m o d i f i c a t i o n 2
r e l a t i o n w i t h r e s p e c t t o a s u b - p a r t o f S 2 , namely w i t h r e s p e c t
t o t h e p r e d i c a t e V 2 .
I n I t a l i a n , o r a t l e a s t i n some d i a l e c t s o f I t a l i a n ,
t h e r e a r e two v e r b s o f movement a n d a r e and v e n i r e which a l l o w
c l i t i c - c l i m b i n g and - s e - p a s s i v e b u t c u r i o u s l y enough t h e y do
n o t a l l o w change o f a u x i l i a r y a s shown i n ( 8 4 ) .
( 8 4 ) Giovanni - elf - h a a n d a t o / v e n u t o a p r e n d e r e il l i b r o .
( John " i s W / h a v e went/came t o f e t c h t h e book. )
( a n d a r e , v e n i r e s e l e c t e s s e r e ; p r e n d e r e s e l e c t a v e r e . )
A n o t i m p l a u s i b l e h y p o t h e s i s is t h a t t h e s e v e r b s a r e n o t members
o f t h e l i s t i n ( 4 2 ) , t h e y do n o t f u n c t i o n a s a d j u n c t - p r e d i c a t e s .
I n I t a l i a n , o r i n some d i a l e c t s o f I t a l i a n , v e n i r e and a n d a r e
c a n f u n c t i o n a s a u x i l i a r i e s on t h e b a s i s o f ana logy w i t h t h e
non-movement a u x i l i a r i e s v e n i r e and a n d a r e which e x i s t indepen-
d e n t l y i n t h e grammar o f I t a l i a n .
(85) a- Q u e s t o l i b r o v i e ' a n d a t o p e r d u t o .
( T h i s book l o c a t i v e c l i t i c - " i s " went l o s t . / T h i s
book g o t l o s t t h e r e . )
b- Q u e s t o l i b r o v i venne l e t t o da t u t t i .
( T h i s book the re -was read by everybody . )
As e x p e c t e d , w i t h r e s p e c t t o n e - c l i t i c i z a t i o n t h e a u x i l i a r i e s - v e n i r e / a n d a r e p a t t e r n w i t h v o l e r e a n d c o n t r a s t w i t h t h e main
v e r b s v e n i r e / a n d a r e , which a r e e r g a t i v e v e r b s . 1 5
(86) *a- G l i e . n e sono a n d a t i / v e n u t i a p a r l a r e -i m o l t i 1 j -j
( T o him-of them went/came t o speak many.)
*b- G l i e . n e v o g l i o n o p a r l a r e - i m o l t i 1 j -j
(To him-of them want t o speak many.)
(87) N e sono a n d a t i / v e n u t i m o l t i j
a p a r l a r g l i i -1 - i '
( O f them-went/came many t o s p e a k - t o him. )
Note t h a t t h e main v e r b s a n d a r e / v e n i r e c a n n o t f u n c t i o n a s
bound v e r b s -- i . e . , a s a f f i x e s -- f o r p r i n c i p l e d r e a s o n s .
Andare and v e n i r e i n ( 8 4 ) t a k e two i n t e r n a l a rguments ( an NP
and a n S ) b u t no e x t e r n a l a rgument . The o b j e c t NP s u r f a c e s a s
t h e S - S t r u c t u r e s u b j e c t . But a n argument i n o b j e c t p o s i t i o n
c a n n o t be t h e r e c i p i e n t o f an a d j u n c t t h - r e l a t i o n . R e c a l l
t h a t t h e o b j e c t p o s i t i o n , u n l i k e t h e s u b j e c t p o s i t i o n , i s a
s u b c a t e g o r i z e d p o s i t i o n . I t i s g e n e r a t e d o n l y i f it i s a n
argument p o s i t i o n . Consequen t ly , a n d a r e / v e n i r e can o n l y func-
t i o n a s c o n t r o l p r e d i c a t e s ; t h e y c a n n o t f u n c t i o n a s r a i s i n g
p r e d i c a t e s a s t h e a f f i x a t i o n - a n a l y s i s r e q u i r e s . Another
p i e c e of e v i d e n c e t h a t t h e movement v e r b s a n d a r e and v e n i r e
may behave l i k e a u x i l i a r i e s i s t h a t a n d a r e / v e n i r e - Verb
behave a s t r a n s i t i v e v e r b s w i t h r e s p e c t t o t h e " f a r e ... da"
c o n s t r u c t i o n ( t o be d i s c u s s e d i n t h e n e x t c h a p t e r ) . Only
t r a n s i t i v e v e r b s may be i n s e r t e d i n t h i s c o n s t r u c t i o n . ( T h i s
f a c t i s p o i n t e d o u t i n Burz io 1981. p . 663 . )
( 8 8 aria s i f a v e n i r e a p r e n d e r e / a i u t a r d a s u o f r a t e l l o . - (Mary made h e r s e l f come t o p i c k up/help by h e r
b o r t h e r . / ' M a r y h a s h e r b o r t h e r come t o p i c k h e r up/
h e l p h e r . ' )
Compare ( 8 8 ) w i t h t h e f o l l o w i n g " f a r e ... d a " c o n s t r u c t i o n
which c o n t a i n s an e r g a t i v e o r i n t r a n s i t i v e v e r b :
* ~ a r & f a l a v o r a r e / v e n i r e d a s u o f r a t e l l o . -
(Mary made work/come by h e r b r o t h e r . / Mary made h e r
b r o t h e r work/come. ) . ,
There i s a n o t h e r v e r b which behaves l i k e a n d a r e and v e n i r e :
s t a r e p e r ( t o be a b o u t t o ) . I t a l l o w s c l i t i c - c l i m b i n g and
s e - p a s s i v e b u t no Aux-change. -
( 9 0 ) a - P i e r o g l i s t a p e r p a r l a r e i -i '
( P e t e r d a t . c l . i s a b o u t t o t a l k . )
b- L e mele s i s t a n n o p e r s e r v i r e .
(The a p p l e s a r e a b o u t t o be s e r v e d . )
*c- P i e r o ha s t a t o p e r p a r l a r e . -
(Peter h a s been a b o u t t o t a l k . )
( p a r l a r e s e l e c t s a v e r e ; s t a r e p e r s e l e c t s e s s e r e if
it can c o e x i s t w i t h a n a u x i l i a r y a t a l l . )
~ u t i n t e r e s t i n g l y enough, t h i s v e r b c a n n o t be p r e c e d e d a t a l l
by a n a u x i l i a r y , a t l e a s t i n t h e r e l e v a n t c a s e s : when c l i t i c -
c l i m b i n g and - s e - p a s s i v e have a p p l i e d , as shown below.
( 9 1 ) *a- Giovanni g l i i e ' s t a t o p e r p a r l a r e -i '
(John t o them was a b o u t t o t a l k . )
*b- Le m e l e s i sono s t a t e p e r s e r v i r e .
(The a p p l e s were a b o u t t o be s e r v e d . )
Consequen t ly , t h e i m p o s s i b i l i t y of Aux-change w i t h s t a r e p e r
i s i r r e l e v a n t t o t h e phenomenon under s t u d y . 16
A f t e r t h e s e remarks on t h e n a t u r e o f t h e r e l e v a n t c l a s s
of v e r b s , w e s h a l l now t u r n t o t h e a c c o u n t o f c l i t i c - c l i m b i n g ,
s e - p a s s i v e , and a u x i l i a r y - s e l e c t i o n w i t h i n t h e p a r a l l e l - - s t r u c t u r e s a n a l y s i s .
2 . 4 . 1 - C l i t i c - c l i m b i n g , s e - p a s s i v e , and Aux-se lec t ion
w i t h i n a p a r a l l e l - s t r u c t u r e s a n a l y s i s .
Wi th in t h i s a n a l y s i s c l i t i c - c l i m b i n g i s e q u a l t o c l i t i c -
p e r c o l a t i o n . C l i t i c s a r e g e n e r a t e d on t h e v e r b which f u n c t i o n s
as head o f t h e b e r b a l complex. They p e r c o l a t e up t o t h e V
node p r o j e c t i o n o f t h e v e r b a l head. For example i n ( 9 2 ) t h e
c l i t i c s t e , l o a r e g e n e r a t e d on r e g a l a r . They p e r c o l a t e up t o - -
Vx. L i n e a r i z a t i o n t h e n t a k e s p l a c e i n t h e phonology.
(92) a- Pedro t e l o q u i e r e comprar .
( P e t e r t o you- i t -wants t o buy. )
Pedroi q u i e r e
I
I n ( 9 2 ) t h e c l i t i c s c o r r e c t l y i d e n t i f y t h e p r o w i t h which t h e y
a r e co indexed : t h e complex v e r b Vx t o which t h e c l i t i c s a r e
a t t a c h e d a t S - S t r u c t u r e govern t h e t h - p o s i t i o n s i n c h a i n s k
and j. ( C f . 11. (128) )
W e s h a l l c o n s i d e r n e x t t h e phenomenon known a s Aux-change:
i . e . , a u x i l i a r y s e l e c t i o n by t h e complex v e r b . W e r e p e a t t h e
r u l e o f A u x - s e l e c t i o n below f o r e a s e o f r e f e r e n c e .
11. (68) A. A v e r b s e l e c t s t h e a u x i l i a r y essere i f
I . it does n o t a s s i g n an argument t h - r o l e t o
t h e s u b j e c t
11: . t h e nominal c l i t i c s i ( o r t h e f i r s t o r - second p e r s o n c o u n t e r p a r t o f s i ) i s -
a t t a c h e d t o i t .
B. O t h e r w i s e , a v e r b s e l e c t s t h e a u x i l i a r y a v e r e .
I n t h e case of t h e conlplex v e r b , t h e a u x i l i a r y may a p p e a r
a t t a c h e d t o t h e v e r b which f u n c t i o n s a s head , a s i n example
( 9 3 ) a . O r it may a p p e a r a t t a c h e d t o t h e p r o j e c t i o n of t h e
head, namely t o t h e complex v e r b , a s shown i n (93)b. I n e f f e c t ,
aux may e i t h e r modify t h e head o f t h e complex v e r b o r t h e
complex v e r b i t s e l f . The a u x i l i a r y may n o t a p p e a r t w i c e a s
shown i n ( 9 3 ) c. T h i s i s j u s t what we e x p e c t s i n c e (93) h a s
two s i m u l t a n e o u s a n a l y s e s and i n one o f t h e s e a n a l y s e s dovere
and comprare c o n s t i t u t e one l e x i c a l u n i t . A v e r b a l u n i t may
c o n t a i n a t most one A u x i l i a r y node . ( F o r a t e n t a t i v e s t r u c t u r e
o f Aux i n I t a l i a n s e e f . n . 1 6 . )
(93) a- Giovanni - l o dovrebbe a v e r comprato.
( John i t - s h o u l d have bought . )
b- Giovanni - l o a v r e b b e dovu to comprare .
*c- Giovanni l o a v r e b b e dovu to a v e r comprato. - -
(94) Giovanni a v r e b b e dovu to a v e r - l o comprato.
B u t i f i n one o f t h e a n a l y s e s o f ( 9 3 ) a p o t e r e and comprare
c o n s t i t u t e one l e x i c a l i t e m , how come an a u x i l i a r y may i n t e r -
vene between them? W e mzy assume t h a t a u x i l i a r i e s may undergo
t h e same a f f i x a t i o n p r o c e s s a s p o t e r e and t h e o t h e r v e r b s i n
( 4 2 ) , i . e . , a u x i l i a r i e s may a l s o f u n c t i o n a s bound v e r b s .
I f A u x i s a t t a c h e d t o t h e v e r b a l head , t h e choice i s
d e t e r m i n e d by t h e head i t s e l f a s e x p e c t e d . For example , i n
( 9 3 ) a t h e v e r b a l head comprare selects a v e r e . I t f a l l s under --
P a r t B o f r u l e 11. (68) . I n ( 9 5 ) t h e v e r b a l head t o r n a r e
s e l e c t s e s s e r e , a s de te rmined by P a r t A I o f r u l e I1 ( 6 8 ) .
(95) Giovanni v o r r e b b e e s s e r e t o r n a t o a c a s a p i u p r e s t o .
( John wanted t o have r e t u r n e d home e a r l i e r . )
I f Aux i s a t t a c h e d t o t h e complex v e r b a s i n ( 9 3 ~ ) b , i t i s
t h e complex v e r b which d e t e r m i n e s t h e c h o i c e o f a u x i l i a r y .
S e l e c t i o n i n t h i s c a s e i s a l s o governed by r u l e I I . ( 6 8 ) .
R e c a l l t h a t t h e l e x i c a l p r o p e r t i e s o f a complex v e r b , namely
i t s argument s t r u c t u r e , i s d e t e r m i n e d by i t s head . Consequen t ly ,
i f t h e v e r b a l head h a s t h e l e x i c a l p r o p e r t y o f a s s i g n i n g an
argument t h - r o l e t o t h e s u b j e c t , t h e complex v e r b w i l l i n h e r i t
t h i s p r o p e r t y . Thus, i f t h e v e r b a l head i s an e r g a t i v e v e r b
t h e complex v e r b w i l l s e l e c t t h e a u x i l i a r y e s s e r e a s shown i n
(96).
(96) Giovanni s a r e b b e v o l u t o t o r n a r e a c a s a .
Cons ide r now t h e c a s e o f t h e i m p e r s o n a l s i - p a s s i v e . - R e c a l l t h a t we assume t h a t t h e p a s s i v i z i n g morpheme s i , a s - w e l l a s t h e i m p e r s o n a l nominal c l i t i c s u b j e c t s i , a r e g e n e r a t e d - under t h e I n f l e x i o n node. I n t h e p a r a l l e l - s t r u c t u r e s c o n s t r u c -
t i o n s , s i must be g e n e r a t e d under t h e m a t r i x I n f l e x i o n node i n - o r d e r f o r it t o be a t t a c h e d t o t h e complex v e r b i n t h e s y n t a x
a s shown i n ( 9 7 ) .
( 9 7 ) [ NP1 INFL [ 1 1 1 1
I
[. NP1 INFL [ [ v1 - v2 1 NP3 1 1 S VP v
If s i were g e n e r a t e d u n d e r t h e embedded I n f l e x i o n node , it -
would have t o be a t t a c h e d o n t o t h e embedded v e r b , s i n c e t h e
embedded I n f l e x i o n node i s n o t p a r t o f t h e s i m p l e s t r u c t u r e .
B u t t h i s d e r i v a t i o n w i l l b e r u l e d o u t by a p r i n c i p l e o f
L e x i c a l I n t e g r i t y i n d e p e n d e n t l y needed i n t h e grammar i n o r d e r - t o b l o c k s y n t a c t i c r u l e s f rom a p p l y i n g t o a s u b p a r t o f a
l e x i c a l c a t e g o r y . I n ( 9 7 ) t h e morpheme s i i n t r a n s i t i v i z e s - t h e complex v e r b , and hence t h e h e a d o f t h e complex v e r b .
Namely, i t b l o c k s t h e v e r b ' s e x t e r n a l t h - r o l e f rom mapping o n t o
s u b j e c t p o s i t i o n , which c o n s e q u e n t l y a l l o w s t h e D - S t r u c t u r e
o b j e c t t o move i n t o s u b j e c t p o s i t i o n . The a u x i l i a r y , w h e t h e r
a t t a c h e d t o t h e v e r b a l head o r t o t h e complex v e r b , w i l l t h e n
b e e s s e r e a s shown i n ( 9 8 ) a and ( 9 8 ) b .
( 9 8 ) a- Q u e i l i b r i s i s a r e b b e r o d o v u t i compra re . -
(Those books would have had t o b e b o u g h t . )
b- Q u e i l i b r i s i d o v r e b b e r o essere c o m p r a t i . -
Note t h e c o n t r a s t be tween t h e s e - p a s s i v e i n ( 9 8 ) and t h e - c o r r e s p o n d i n g p a s t - p a r t i c i p i a l p a s s i v e , which i s ungrammat i ca l .
* E s t o s l i b r o s son p o d i d o s / q u e r i d o s comprar .
(These books were must/wanted t o be bough t . )
T h i s f o l l o w s from t h e f a c t t h a t t h e i m p e r s o n a l s e - p a s s i v e -
verb is s y n t a c t i c a l l y d e r i v e d w h i l e t h e p a s t - p a r t i c i p i a l
p a s s i v e v e r b is l e x i c a l l y d e r i v e d . S i n c e p o d e r / q u e r e r f u n c t i o n
as r a i s i n g v e r b s i n ( 9 9 ) , t h e y may n o t b e p a s s i v i z e d ( i . e . ,
p a s s i v i z a t i o n may n o t a p p l y v a c u o u s l y ) .
W e s h a l l c o n s i d e r n e x t t h e c a s e s o f a u x i l i a r y s e l e c t i o n
t h a t f a l l under P a r t A 1 1 of r u l e II.(68). Cons ide r t h e c a s e
of t h e i m p e r s o n a l s i i n ( 1 0 0 ) a - b . -
(100) a- L i s i s a r e b b e d o v u t i comprare .
(Them-ARB sub j . -would have t o buy. )
b- L i s i dovrebbe a v e r c o m p r a t i .
I f Aux i s a t t a c h e d t o t h e v e r b a l h e a d , a s i n ( 1 0 0 ) b , t h e
s e l e c t e d a u x i l i a r y i s a v e r e a s e x p e c t e d . I n e f f e c t , t h e c h o i c e
o f a u x i l i a r y i s de te rmined by comprare. I f A m i s a t t a c h e d t o
t h e complex v e r b , as i n ( 1 0 0 ) a , t h e s e l e c t e d a u x i l i a r y i s
essere. Again, t h i s i s what we e x p e c t s i n c e t h e nominal c l i t i c
s i i s a t t a c h e d t o t h e complex v e r b , and r e c a l l t h a t p a r t B o f -
I1 ( 6 8 ) is an " e l s e w h e r e " r u l e . Note t h a t t h e c o n t r a s t between
( 9 8 ) b and ( 1 0 0 ) b s u p p o r t s t h e h y p o t h e s i s assumed i n 1 1 1 . 2 . 2 ,
namely t h a t t h e se i n the se-passive c o n s t r u c t i o n and t h e imper- - - s o n a l - se a r e f u n c t i o n a l l y d i s t i n c t .
Cons ide r n e x t t h e c a s e o f t h e r e f l e x i v e c l i t i c s i . I t - c o n t r a s t s min imal ly w i t h t h e c a s e o f t h e i m p e r s o n a l c l i t i c s i -
j u s t d i s c u s s e d . I n t h e c a s e o f t h e r e f l e x i v e s i , t h e s e l e c t e d -
a u x i l i a r y i s e s s e r e whe the r i t i s a t t a c h e d t o t h e complex
verb a s i n ( 1 0 1 ) a o r t o t h e head o f t h e complex v e r b a s i n
( 1 0 1 ) b .
(101) a- I r a g g a z z i s i . s a r e b b e r o v o l u t i v e d e r e e i . -1
(The k i d s would have wanted t o s e e each o t h e r . )
b- I r a g g a z z i s i . v o r r e b b e r o e s s e r e v i s t i e . -1 i
(The k i d s would l i k e t o have s e e n e a c h o t h e r . )
The c o n t r a s t i s due t o t h e f a c t t h a t t h e r e f l e x i v e s i , u n l i k e -
t h e impersona l s i , o r i g i n a t e s on t h e v e r b which f u n c t i o n s a s -
head o f t h e v e r b a l complex. B y p e r c o l a t i o n it i s t h e n a t t a c h e d
t o t h e complex v e r b .
R e c a l l t h a t A u x - s e l e c t i o n t a k e s p l a c e a t LF ( o r S - S ) ,
a f t e r p e r c o l a t i o n h a s a p p l i e d . T h i s means t h a t p e r c o l a t i o n
must be t h o u g h t o f a s n o t s imply a " t r a n s f e r " o f f e a t u r e s b u t
a s a " s h a r i n g " o f f e a t u r e s o r p r o p e r t i e s . More g r e c i s e l y ,
i f % i s a p r o j e c t i o n o f t h e head X , 2 and X s h a r e a l l t h e
l e x i c a l p r o p e r t i e s and f e a t u r e s o f X : f o r example t h e p r e d i -
ca te-argument s t r u c t u r e , c l i t i c s which a r e b u n d l e s o f c a s e ,
p e r s o n , number, gender f e a t u r e s . Hence, c l i t i c s which o r i g i -
n a t e on t h e v e r b a l h e a d , l i k e t h e r e f l e x i v e s i , a l t h o u g h -
p h o n o l o g i c a l l y r e a l i z e d on t h e complex v e r b , a r e s t i l l f e a t u r e s
o f t h e head . I f a r u l e a l t e r s a f e a t u r e o f X, i t a l t e r s
s i m u l t a n e o u s l y t h e c o r r e s p o n d i n g f e a t u r e i n X . Thus, i f a r u l e
a t t a c h e s t h e p a s s i v e morpheme s i t o t h e complex v e r b and -
b l o c k s ass ignment o f i t s e x t e r n a l t h - r o l e , i t i n e f f e c t b l o c k s
ass ignment o f t h e e x t e r n a l t h - r o l e ~f t h e head o f t h e complex v e r b .
On t h e o t h e r hand, if a r u l e a p p l i e s which adds f e a t u r e s t o
2 , l i k e t h e i m p e r s o n a l nominal c l i t i c s i , it does n o t a f f e c t - X . . I n e f f e c t , t h e i m p e r s o n a l nominal c l i t i c s i d o e s n o t be- -
come p a r t o f t h e head o f t h e complex v e r b . 17
2.4.2 Q u a n t i f i e r s and t h e p a r a l l e l - s t r u c t u r e s c o n s t r u c t i o n
B u r z i o 1981 n o t i c e d t h e f o l l o w i n g c o n t r a s t between p o t e r e /
d o v e r e and v o l e r e .
(102) a- Un i n t e r p r e t e c i a s c u n o p o t r e b b e e s s e r e a s s e g n a t o
a q u e i v i s i t a t o r i .
(One i n t e r p r e t e r e a c h c o u l d be a s s i g n e d t o t h o s e
v i s i t o r s . )
*b- Un i n t e r p r e t e c i a s c u n o v o r r e b b e e s s e r e a s s e g n a t o
a q u e i v i s i t a t o r i .
(One i n t e r p r e t e r e a c h would l i k e t o be a s s i g n e d t o
t h o s e v i s i t o r s . )
Note t h a t a n a n a l y s i s which assumes t h e r e s t r u c t u r i n g r u l e
( 4 5 ) c a n n o t accoun t f o r t h e c o n t r a s t between ( 1 0 2 ) a and ( 1 0 2 ) b .
I n t h i s a n a l y s i s b o t h s e n t e n c e s have t h e same s t r u c t u r e a t LF.
On t h e o t h e r hand, t h e a n a l y s i s t h a t w e have p roposed i n t h i s
s e c t i o n , which assumes t h a t modals i n I t a l i a n may f u n c t i o n
s i m u l t a n e o u s l y as m a i n - p r e d i c a t e s and as a d j u n c t - p r e d i c a t e s ,
can a c c o u n t f o r t h e above c o n t r a s t . I n e f f e c t , reca l l t h a t
v o l e r e , u n l i k e p o t e r e / d o v e r e , o b l i g a t o r i l y a s s i g n s a s e m a n t i c
r o l e t o t h e s u b j e c t , b o t h when it f u n c t i o n s as a main v e r b and
as a n a d j u n c t - p r e d i c a t e . I n ( 1 0 2 ) b , v o l e r e f u n c t i o n s as a
m a i n - p r e d i c a t e b u t it a l s o f u n c t i o n s as an a d j u n c t - p r e d i c a t e .
Hence, it a s s i g n s a n a d j u n c t t h - r o l e t o t h e s u b j e c t . I n
11 .1 .3 w e saw t h a t " r e c o n s t r u c t i o n " i s n o t p o s s i b l e f rom a
s e m a n t i c p o s i t i o n . Hence " r e c o n s t r u c t i o n " i s n o t p o s s i b l e
i n ( 1 0 2 ) b and t h e s e n t e n c e i s r u l e d o u t b e c a u s e c i a s c u n o w i l l
n o t b e c-commanded by i t s a n t e c e d e n t q u e i v i s i t a t o r i a t LF.
Moreover , s i n c e " r e c o n s t r u c t i o n " i s n o t p o s s i b l e , t h e c l a u s e -
boundedness c o n d i t i o n on r e f e r e n t i a l dependency r e l a t i o n s
be tween q u a n t i f i e d Noun P h r a s e s may b e f u l f i l l e d i n t h e
m o n o s e n t e n t i a l s t r u c t u r e b u t n o t i n t h e b i s e n t e n t i a l s t r u c t u r e .
If b o t h s t r u c t u r e s must f u l f i l t h i s c o n d i t i o n , t h e n t h e mutua l
r e f e r e n t i a l dependency r e l a t i o n between un i n t e r p r e t e and q u e i
v i s i t a t o r i (which i s r e q u i r e d i n t h e one N e a c h c o n s t r u c t i o n )
w i l l n o t b e e s t a b l i s h e d . Iri ( 1 0 2 ) a , on t h e o t h e r hand , " r econ-
s t r u c t i o n " i s p o s s i b l e s i n c e p o t e r e / d o v e r e o p t i o n a l l y a s s i g n s
an a d j u n c t t h - r o l e t o t h e s u b j e c t . C o n s e q u e n t l y , c i a s c u n o
w i l l b e c-commanded by i t s a n t e c e d e n t , and t h e c lause-bounded-
n e s s c o n d i t i o n w i l l b e met by t h e b i - s e n t e n t i a l s t r u c t u r e .
A s e x p e c t e d , (102) b o n l y h a s t h e e p i s t e m i c r e a d i n g .
2 . 2 . 3 Why a f f i x e s and n o t a u x i l i a r i e s ?
W e have a r g u e d t h a t modals as w e l l a s c e r t a i n a s p e c t u a l
v e r b s f u n c t i o n s i m u l t a n e o u s l y a s main v e r b s and a s v e r b a l
a f f i x e s i n S p a n i s h and I t a l i a n . A l e g i t i m a t e q u e s t i o n i s why
t h e grammar o f t h e s e l a n g u a g e s have r e c o u r s e t o a n a f f i x a t i o n
mechanism and a p a r a l l e l - s t r u c t u r e s a n a l y s i s ? Why d i d n ' t t h e
grammar o f t h e s e l a n g u a g e s s imply t r e a t t h e s e v e r b s a s a u x i l i -
a r ies , much a s E n g l i s h t rea t s t h e modals? A p l a u s i b l e answer
t o t h i s q u e s t i o n i s t h e f o l l o w i n g . R e c a l l t h a t i n E n g l i s h
Aux may be g e n e r a t e d under S . I n t h e Romance l a n g u a g e s , on
t h e o t h e r hand, t h e a u x i l i a r i e s a r e g e n e r a t e d under VP, a t t a c h e d
t o t h e main v e r b . Now a c c o r d i n g t o t h e d e f i n i t i o n o f modi f i ca -
t i o n g i v e n i n I,(52), t h e modals i f g e n e r a t e d under t h e VP
w i l l modify t h e v e r b , n o t t h e S . But r e c a l l t h a t a l e x i c a l
p r o p e r t y o f modals i s t h a t t h e y have a s e m a n t i c r e l a t i o n w i t h a
p r o p o s i t i o n . T h a t i s , t h e y s e l e c t a p r o p o s i t i o n a s ARGUPLZNT
as i n d i c a t e d by t h e e n t a i l m e n t s i n 111. ( 7 ) , ( 8 ) , ( 9 ) . A s we
have s e e n , i n E n g l i s h t h i s r e l a t i o n i s r e a l i z e d a s a modi f i ca -
t i o n r e l a t i o n . I n F rench , t h i s r e l a t i o n i s r e a l i z e d a s a
p r e d i c a t e - a r g u m e n t r e l a t i o n . I n S p a n i s h and I t a l i a n t h e modals
may f u n c t i o n as m o d i f i e r s a s i n E n g l i s h b u t t h e y c a n n o t func-
t i o n a s S - m o d i f i e r s b e c a u s e i n t h e s e l a n g l ~ a g e s Aux i s g e n e r a t e d
u n d e r t h e VP. The d o u b l e - s t r u c t u r e s t r a t e g y p r o v i d e s a way
f o r t h e modals i n t h e s e l a n g u a g e s t o f u n c t i o n s i m u l t a n e o u s l y
a s a rgument - t ak ing p r e d i c a t e s , t h u s f u l f i l l i n g t h e i r s e l e c t i o n
r e q u i r e m e n t by t a k i n g a p r o p o s i t i o n a s argument , and a s modi-
f i e r s -- namely a s v e r b a l m o d i f i e r s -- by f u n c t i o n i n g a s bound
v e r b s .
On the nature of parallel-structures. Speculation
and Implications.
In this section we will attempt to make precise the idea
of parallel-structures or simultaneous-analyses and make
explicit some of its implications.
Recall that in Chapter I it was suggested that for lan-
guages like Japanese the grammar generates parenthesized
phrase-markers, from which two different projections can be
read off: 1- the virtual projection, which is the structure
with parenthesized nodes and 2- the actual projection, which
is the reduced structure. The former encodes semantic relations
and the latter encodes ordering relations. Which nodes are
parenthesized follows from language-particular statements
like "VP is virtual" or "S is virtual".
Suppose we also viewed the parallel-structures in ~panish
and Italian as two projections of a parenthesized phrase-marker.
Thus, for example, S-1 and S-2 in (75) may be viewed as the
two projections of the parenthesized phrase-marker in (103).
Juan i
puede
visitar a Maria
The p r o j e c t i o n which i n c l u d e s t h e nodes i n p a r e n t h e s i s i s t h e
"autonomous t h e m a t i c - p r e d i c a t e s " p r o j e c t i o n ( i . e . , S-1 i n
( 7 5 ) ) and t h e o n e w i t h o u t t h e nodes i n p a r e n t h e s i s i s t h e
"complex t h e m a t i c - p r e d i c a t e " p r o j e c t i o n ( i . e . , S-2 i n ( 7 5 ) ) .
I n e f f e c t , u n l i k e J a p a n e s e , i n t h i s c a s e b o t h p r o j e c t i o n s
-- t h e maximal and t h e reduced e x p a n s i o n s o f t h e p a r e n t h e s i z e d
phrase-marker -- encode mean ingfu l s e m a n t i c r e l a t i o n s . The
( i n t e r n a l ) s e m a n t i c r e l a t i o n induced by t h e modal o r a spec -
t u a l v e r b i s r e a l i z e d a s an argument t h - r e l a t i o n on t h e " a u t o -
nomous-pred ica tes" p r o j e c t i o n and a s a m o d i f i c a t i o n r e l a t i o n
on t h e " c o m p l e x - p r e d i c a t e n p r o j e c t i o n . F u r t h e r m o r e , r e c a l l
t h a t t h e A u x - s e l e c t i o n f a c t s c o n s t i t u t e e v i d e n c e t h a t t h e
complex-pred ica te i s a t h e m a t i c u n i t , g i v e n t h a t t h e c h o i c e
o f a u x i l i a r y i s , i n i t s c o r e - p a r t , d e t e r m i n e d by t h e argument
s t r u c t u r e o f t h e v e r b i n q u e s t i o n .
I n t h e c a s e s under d i s c u s s i o n , which nodes a r e p a r e n t h e -
s i z e d depends t o a g r e a t e x t e n t on t h e l e x i c a l r e q u i r e m e n t s
o f t h e l e x i c a l i t e m s i n q u e s t i o n . I n e f f e c t , p a r a l l e l - s t r u c t u r e s ,
i n s o f a r a s t h e y e x p r e s s s e m a n t i c r e l a t i o n s , a r e c o n s t r a i n e d
by t h e P r o j e c t i o n P r i n c i p l e . For example , c o n s i d e r ( 1 0 3 ) . I t
f o l l o w s from t h e l e x i c a l p r o p e r t y o f p o d e r t h a t VP1 and S2
a r e p a r e n t h e s i z e d -- i . e . , a r e n o t p r o j e c t e d a t S2. R e c a l l
t h a t p o d e r b e s i d e s f u n c t i o n i n g a s a main v e r b a l s o f u n c t i o n s
a s a n a f f i x a s i n d i c a t e d i n i t s s u b c a t e g o r i z a t i o n frame. A s
a s y n t a c t i c a f f i x , it is n o t t h e head o f a VP n o r does it t a k e
and S argument . Consequen t ly , t h e S-2 p r o j e c t i o n c o n t a i n s
one S and one V P : S1 and V P 2 . S i n c e p o d e r f u n c t i o n s
s y n t a c t i c a l l y a s a n a f f i x , V w i l l b e i n t e r p r e t e d as bound t o 1
V i n S - 3 i n much t h e same way t h a t - s a s e i s i n t e r p r e t e d as 2
bound t o t a b e i n s t r u c t u r e I . ( 1 8 ) by v i r t u e o f b e i n g morpholo-
g i c a l l y a n a f f i x . F u r t h e r m o r e , t h e r e d u c e d s t r u c t u r e must have
gne [NP,S] p o s i t i o n s i n c e c l a u s e s have o n e and o n l y one sub-
j e c t ( r e l a t e d , u n d o u b t e d l y , t o t h e f a c t t h a t v e r b s t a k e a t
most o n e e x t e r n a l a r g u m e n t ) . C f . r u l e I ( 7 ) . The q u e s t i o n t h a t
t h e n ar ises i s : which o f t h e two [NP,SI p o s i t i o n s i s p a r e n -
t h e s i z e d ? Let u s assume t h a t nodes which domina te l e x i c a l
material may n o t be p a r e n t h e s i z e d . I n e f f e c t , e v e r y morpheme
must be p a r t of b o t h s t r u c t u r e s . C o n s e q u e n t l y , NP2 -- a n d n o t
NP1 -- i s p a r e n t h e s i z e d i n ( 1 0 3 ) a s d e s i r e d .
( 1 0 3 ) i s t h e p a r e n t h e s i z e d ph rase -marke r a t S - S t r u c t u r e
Q £ t h e s e n t e n c e J u a n puede v i s i t a r a aria. With what p a r e n t h e -
o i z e d p h r a s e - m a r k e r i s i t a s s o c i a t e d a t D - S t r u c t u r e ? Recal l
t h a t a l l t h e v e r b s i n I I ( 4 2 ) a r e r a i s i n g p r e d i c a t e s , a t l e a s t
when t h e y f u n c t i o n a s a d j u n c t - p r e d i c a t e s . ( 1 0 3 ) i s h e n c e
a s s o c i a t e d w i t h t h e D - S t r u c t u r e i n ( 1 0 4 ) .
puede NP VP
I / \
\ ' /
v i s i t a r a M a r l a
I n (104) NP2 dominates l e x i c a l m a t e r i a l . Hence it c a n n o t be
p a r e n t h e s i z e d . I n s t e a d NP1, which d o e s n o t dominate any l e x i -
cal m a t e r i a l , i s p a r e n t h e s i z e d . Note t h a t i n t h e reduced p ro -
j e c t i o n o f (104) NP2 i s immedia te ly dominated by t h e f i r s t
n o n - p a r e n t h e s i z e d node above i t , namely S1 ( i n c o n f o r m i t y w i t h
t h e we l l - fo rmedness c o n d i t i o n s on domina t ion r e l a t i o n s g i v e n
i n Vergnaud & Z u b i z a r r e t a ( 1 9 8 1 ) . The reduced p r o j e c t i o n o f
(104) i s t h e n a s i n ( 1 0 5 ) .
p u e d e - v i s i t a r a aria
Note t h a t t h e e x i s t e n c e o f s t r u c t u r e s l i k e ( 1 0 4 ) a t D-
S t r u c t u r e i m p l i e s t h a t morphemes may be unordered w i t h r e s p e c t
t o each o t h e r a t D - S t r u c t u r e . W e may then assume t h a t i t i s
o n l y a t S - S t r u c t u r e t h a t morphemes must be o r d e r e d s i n c e it i s
S - S t r u c t u r e t h a t maps o n t o PF and a s t r i n g may o n l y be i n t e r -
p r e t e d p h o n o l o g i c a l l y i f t h e morphemes i n t h e s t r i n g a r e o r d e r e d
w i t h r e s p e c t t o e a c h o t h e r . ( P o s s i b l y , o r d e r might a l s o be
r e l e v a n t a t L F i n l a n g u a g e s i n which order i s r e l e v a n t f o r
t h e i d e n t i f i c a t i o n o f grammat ica l r e l a t i o n s ) . I n c o n c l u s i o n ,
t h e s u g g e s t i o n i s t h a t D-S t ruc tu re i s s imply a p u r e r e p r e s e n -
t a t i o n o f t h e m a t i c r e l a t i o n s . Order i s i r r e l e v ~ n t a t t h i s
l e v e l . S - S t r u c t u r e , b e s i d e s encod ing t h e m a t i c r e l a t i o n s , a l s o
e n c o d e s o r d e r i n g r e l a t i o n s . Hence, o r d e r i n g s t a t e m e n t s a s
w e l l as t h e a d j a c e n c y c o n d i t i o n on c a s e - a s s i g n m e n t i n l a n g u a g e s
which have s u c h c o n d i t i o n a p p l y a t S - S t r u c t u r e , n o t a t D-
S t r u c t u r e . D - S t r u c t u r e i s e q u a l t o S - S t r u c t u r e a b s t r a c t i n g
away f rom movement and f rom o r d e r .
The f o r m a l i s m s u g g e s t e d i n t h i s s e c t i o n t o r e p r e s e n t
p a r a l l e l - s t r u c t u r e s , a s w e l l as i t s r e l a t i o n t o t h e f o r m a l
o b j e c t s d i s c u s s e d i n Vergnaud & Z u b i z a r r e t a 1981 i n r e l a t i o n
t o J a p a n e s e , i s y e t t o b e i n v e s t i g a t e d more t h o r o u g h l y and t o
be made more p r e c i s e . W e l e a v e t h i s t o p i c f o r f u r t h e r r e s e a r c h .
F i n a l l y , n o t e t h a t i n s o f a r as p a r a l l e l - s t r u c t u r e s en-
code s e m a n t i c r e l a t i o n s and a r e c o n s e q u e n t l y c o n s t r a i n e d by t h e
P r o j e c t i o n P r i n c i p l e , t h e y w i l l n o t c r e a t e s t r u c t u r e s which
are n o r m a l l y e x c l u d e d by t h e P r o j e c t i o n P r i n c i p l e . F o r example ,
p a r a l l e l - s t r u c t u r e s w i l l n o t a l l o w s u b j e c t - t o - o b j e c t mapping.
I n o r d e r f o r t h i s t o be p o s s i b l e t h e r e would have t o e x i s t a
v e r b , such a s b e l i e v e f , which h a s t h e d o u b l e - s u b c a t e g o r i z a t i o n
f rame: [ S f - N P VPI, b u t s u c h a v e r b c a n n o t e x i s t b e c a u s e
V P s are n o t a rgument s . R e c a l l t h a t w e assume t h a t o n l y NPs
and S s a r e a rgument s .
To summarize, i t was p roposed t h a t modals a s w e l l a s some
a s p e c t u a l v e r b s i n I t a l i a n and S p a n i s h may f u n c t i o n as a d j u n c t -
p r e d i c a t e s . S p e c i f i c a l l y , t h e s e m a n t i c r e l a t i o n s i n d u c e d by
them may be o f t h e same t y p e as t h e s e m a n t i c r e l a t i o n s i n d u c e d
by a d v e r b s . T h e p r o p o s a l that modals may b e r e l a t e d t o a d v e r b s
i s n o t new. I t was p u t f o r t h by J a c k e n d o f f 1 9 7 2 who p roposed
t h a t t h e same r u l e s o f s e m a n t i c i n t e r p r e t a t i o n a p p l y t o modals
and a d v e r b s i n E n g l i s h . Modals select a p r o p o s i t i o n a s
ARGUMENT, undoubted ly a u n i v e r s a l p r o p e r t y of t h i s c l a s s o f
v e r b s . I n E n g l i s h t h i s ARGUMENT r e l a t i o n i s r e a l i z e d a s a
m o d i f i c a t i o n r e l a t i o n ; i n t h e Romance l anguages it i s r e a l i z e d
as a n argument t h - r e l a t i o n . Modals a l s o have t h e p o t e n t i a l
l e x i c a l p r o p e r t y o f b e i n g a b l e t o f u n c t i o n a s bound v e r b s .
T h i s p r o p e r t y i s r e a l i z e d i n some l a n g u a g e s b u t n o t i n o t h e r s .
A s bound v e r b s , t h e y modify t h e v e r b o n t o which t h e y a r e a f f i x e d ,
which means t h a t a s a f f i x e s t h e y behave a s non-heads. Although
t h e r e a r e , p e r h a p s , l a n g u a g e s i n which t h i s a f f i x a t i o n i s
l e x i c a l , i n S p a n i s h and I t a l i a n it i s s y n t a c t i c . T h i s i m p l i e s
t h a t t h e r e i s no one-to-one r e l a t i o n between morphology and
s y n t a x . Morpho log ica l a f f i x e s l i k e t h e J a p a n e s e - s a s e ( c f .
s e c t i o n 1.1) may f u n c t i o n s y n t a c t i c a l l y a s autonomous p r e d i -
cates; and c o n v e r s e l y , v e r b s t h a t a r e f u l l l e x i c a l i t e m s
m o r p h o l o g i c a l l y may f u n c t i o n a s s y n t a c t i c a f f i x e s , l i k e t h e
v e r b s i n I I ( 4 2 ) and t h e Romance c a u s a t i v e t o be d i s c u s s e d i n
t h e n e x t c h a p t e r . The d u a l s t a t u s o f t h e s e v e r b s -- a s main
v e r b s and a s a f f i x e s -- i s e x p r e s s e d by means o f s i m u l t a n e o u s
s y n t a c t i c a n a l y s e s . W e s u g g e s t e d t h a t p a r e n t h e s i z e d p h r a s e -
markers ( c o u p l e d w i t h c e r t a i n i n t e r p r e t a t i v e s t a t e m e n t s )
migh t be an a d e q u a t e fo rmal i sm t o r e p r e s e n t p a r a l l e l - s t r u c t u r e s .
I t s i m p l i c a t i o n s w i t h r e s p e c t t o t h e n a t u r e o f D - S t r u c t u r e
were b r i e f l y a d d r e s s e d .
F o o t n o t e s t o Chap te r 111
* W e are g r a t e f u l t o Adr iana B e l l e t t i and R i t a Manzini f o r
help w i t h t h e I t a l i a n d a t a i n t h i s c h a p t e r .
1) L i g h t f o o t 1979 a r g u e s c o n v i n c i n g l y t h a t modals i n Old
E n g l i s h a r e main v e r b s .
2 ) Suppose w e assume t h e s t r o n g h y p o t h e s i s t h a t s y n t a x i s - t h e p r o j e c t i o n o f t h e l e x i c o n , namely t h a t e v e r y s y n t a c t i c
r e l a t i o n e x c e p t f o r [NP,S] - VP ( sub jec t -VP r e l a t i o n ) a lways
c o r r e s p o n d s t o a meaningful s e m a n t i c r e l a t i o n . T h i s would mean
t h a t t h e s t r u c t u r e [ V V P I d o e s n o t e x i s t s i n c e it i s n o t VP
s e m a n t i c a l l y mean ingfu l . I t does n o t co r respond t o any of t h e
s e m a n t i c r e l a t i o n s d e f i n e d i n Chap te r I . R e c a l l t h a t we assume
t h a t o n l y NPs and c l a u s e s (i .e., t e rms and p r o p o s i t i o n s ) a r e
arguments : i . e . , may b e a r argument t h - r o l e s . Hence, t h e r e i s
b u t one p o s s i b l e s t r u c t u r a l p o s i t i o n f o r Aux when g e n e r a t e d
under t h e VP -- namely a d j o i n e d t o t h e main v e r b .
3 ) Aissen & P e r l m u t t e r 1976 and B u r z i o 1981 a l s o a n a l y z e
modals and a s p e c t u a l v e r b s a s main v e r b s .
Aissen & P e r l m u t t e r 1976 p ropose a c l a u s e - u n i o n o p e r a t i o n
which i s meant t o accoun t f o r t h e i r s t a t u s a s non-main v e r b s .
S i n c e t h e a n a l y s i s i s w i t h i n a d i f f e r e n t t h e o r y -- i . e . , r e l a -
t i o n a l grammar -- which makes different types o f a s s u m p t i o n s ,
w e w i l l n o t d i s c u s s it h e r e .
To account f o r t h e phenomena i n ( 3 3 ) 1-3 , Burz io 1981
p r o p o s e s a W-movement r u l e which moves t h e VP o f t h e embedded
c l a u s e i n t o t h e VP of t h e m a t r i x c l a u s e .
Concern ing t h i s a n a l y s i s w e have t h e f o l l o w i n g comments:
1. I t i s u n c l e a r why s t r u c t u r e b a l l o w s f o r V2 t o d e t e r -
mine t h e a u x i l i a r y which p r e c e d e s V 1 '
2 . The VP-movement r u l e which maps a o n t o b a l s o v i o l a t e s
t h e P r o j e c t i o n P r i n c i p l e . Unl ike R i z z i ' s r e s t r u c t u r i n g r u l e ,
t h e VP-movement a n a l y s i s does n o t d e s t r o y t h e r e l a t i o n between
V1 a n d S2 b u t - i t c r e a t e s a new r e l a t i o n : namely, between t h e
m a t r i x V and t h e embedded VP.
3 . A s we have s u g g e s t e d i n f o o t n o t e 2 , i t i s u n c l e a r
whe the r t h e s t r u c t u r e [ V VPI e x i s t s a t a l l . VP
4 ) Note t h a t t h e s e n t e n c e below -- where t h e d i r e c t o b j e c t
h a s n o t been p reposed -- i s a s ungrammat ica l a s ( 4 7 ) b .
i- I1 si l e s t p r 6 s e n t e l es e n f a n t s i par l a d i r e c t r i c e .
Suppose w e modify s l i g h t l y t h e d e f i n i t i o n o f c-command g i v e n
i n I1 ( 8 8 ) .
ii. oc c-commands ( W # 4 ) i f f Y@, @ a maximal p r o j e c t i o n and
(3 # head o f 0, $8 domina tes j $3 dominates 6 .
According t o t h i s d e f i n i t i o n o f c-command, les e n f a n t s i n t h e
s e n t e n c e above does n o t c-command s e i n s o f a r a s t h e c l i t i c - i s p a r t o f V and V i s t h e head o f t h e maximal p r o j e c t i o n VP.
I f w e assume moreover t h a t e a c h e lement i n t h e c h a i n i ( c 1 - e )
i s s u b j e c t t o t h e Bind ing P r i n c i p l e s , a s s u g g e s t e d i n 1 1 . 4 . 3 . 1 ,
t h e n s e n t e n c e i above i s r u l e d o u t by P r i n c i p l e A s i n c e i ( se -e )
i s a n anaphor b u t - se i s n o t c-commanded by t h e N P l e s e n f a n t s
w i t h which it i s co indexed . But n o t e t h a t t h i s s t i l l l e a v e s
u n e x p l a i n e d t h e c o n t r a s t between i- above and i i i - b e l o w (where
t h e s u b j e c t i s pos t -posed and a d j o i n e d t o t h e V P ) .
iii- Se a f e i t o 8 J u a n .
(h imse l f - shaved J o h n . )
5 ) There a r e c a s e s where a p a s t - p a r t i c i p l e p a s s i v e i s n o t
p o s s i b l e i n a c o n t r o l c o n s t r u c t i o n and t h e s e - p a s s i v e i s n o t -
p o s s i b l e e i t h e r . (Examples p rov ided by M.R. M a n z i n i . )
*a- I r a g a z z i f u r o n o m i n i a c c i a t i d i m a n d a r l i v i a .
(The c h i l d r e n w e r e t h r e a t e n e d t o send-them away./ The
c h i l d r e n w e r e t h r e a t e n e d t o be s e n t away.)
*b- I r a g a z z i s i m i n i a c c i a r o n o d i m a n d a r l i v i a .
6 ) But it a p p e a r s t h a t i n 1 8 t h c e n t u r y French t h e s e - p a s s i v e - could c o e x i s t w i t h a by-phrase : CJ.
( T h i s i s s a i d by t h e p e o p l e . ) T h i s f a c t i s n o t i c e d i n Ruwet
1972, who c i t e s Mar t inon 1 9 2 7 .
7 ) I n f a c t w e may assume t h a t p a s t - p a r t i c i p l e p a s s i v e mor-
phology can e i t h e r b l o c k a s s i g n m e n t o f t h e e x t e r n a l t h - r o l e
t o t h e s u b j e c t p o s i t i o n o r i n t e r n a l i z e t h e e x t e r n a l t h - r o l e .
I n t h e l a t t e r c a s e t h e i n t e r n a l i z e d t h - r o l e i s r e a l i z e d i n a
&-phrase. I n t h e former c a s e , a s i n t h e - s e - p a s s i v e c o n s t r u c -
t i o n , t h e e x t e r n a l t h - r o l e d o e s n o t become an i n t e r n a l t h - r o l e
and hence i t remains u n a s s i g n e d . The & - p h r a s e l e s s p a s s i v e s
w i l l t h e n n o t v i o l a t e t h e Argument T h - C r i t e r i o n , as reformu-
l a t e d i n I11 ( 5 5 ) .
8 ) French h a s t h e p a s s i v e o r middle se b u t no i m p e r s o n a l s e . - - B e l l e t t i 1980 s u g g e s t s t h a t t h i s may be a t t r i b u t e d t o t h e f a c t
t h a t Modern French i s n o t a n u l l - s u b j e c t l anguage . But Modern
French h a s t h e i m p e r s o n a l c l i t i c - on which behaves i n a l l rele-
v a n t r e s p e c t s l i k e t h e i m p e r s o n a l c l i t i c - se.
9 ) I n French t h e s e - p a s s i v e o r middle se, a s opposed t o t h e - - e r g a t i v e - s e , may o n l y a p p e a r i n p r e s e n t o r i m p e r f e c t t e n s e
and w i t h a VP m o d i f i e r (PP o r Adverb.)
1 0 ) On t h e o t h e r hand, t h e v e r b s which have t h e 1st o r 2nd
p e r s o n c o u n t e r p a r t o f t h e r e f l e x i v e c l i t i c se a t t a c h e d t o - them (me, t e . . . I s e l e c t e i t h e r a v e r e o r e s s e r e . The analogy- - - e x p l a n a t i o n does n o t accoun t f o r t h i s d i f f e r e n c e between 3 r d
and l s t / 2 n d p e r s o n s .
11) The s u g g e s t i o n t h a t a s e n t e n c e c a n have t w o s i m u l t a n e o u s
a n a l y s e s was f i r s t proposed by Rouvere t & Vergnaud 1978 f o r
French c a u s a t i v e c o n s t r u c t i o n s : one s t r u c t u r a l and one ex-
p r e s s e d by c o i n d e x i n g . Wi l l i ams 1980 s u g g e s t e d t h a t Rouvere t &
Vergnaud 's i d e a o f c o - a n a l y s i s can be c o n c e i v e d o f a s two
p a r a l l e l - s t r u c t u r e s . W e a d o p t and d e v e l o p W i l l i a m ' s s u g g e s t i o n
for t h e phenomenon under d i s c u s s i o n .
1 2 ) The p r o c e s s e s i n (33) 1-3 were a l s o a t t e s t e d i n e a r l i e r
s t a g e s of French . I t i s i n t e r e s t i n g t h a t " c l i t i c - c l i m b i n g "
seems t o be t h e l a s t o f t h e t h r e e p r o c e s s e s t o be l o s t . I n
e f f e c t , it a p p e a r s t h a t i n 1 7 t h c e n t u r y French Aux-change i s
no l o n g e r a t t e s t e d , w h i l e examples o f " c l i t i c - c l i m b i n g " a r e
s t i l l abundan t .
1 3 ) Burz io judges ( 8 3 ) a a s m a r g i n a l . H e a t t r i b u t e s t h e
d i f f e r e n c e i n judgement between ( 8 1 ) a -- which i s * - - and
( 8 3 ) a -- which i s ? ? -- t o t h e i n t e r a c t i o n o f two f a c t o r s :
1- t h e judgements c o n c e r n i n g t h e n e - c l i t i c i z a t i o n f a c t s , a l t h o u g h - r e a l and c l e a r , a r e s u b t l e i n n a t u r e . 2- t h e s t r u c t u r e i n (83) a
i s more complex t h a n t h e s t r u c t u r e i n (81)a. Consequen t ly ,
s e n t e n c e (83)a i s more d i f f i c u l t t o judge . What i s r e l e v a n t
i s t h a t s p e a k e r s do a g r e e t h a t t h e r e i s a d i f f e r e n c e i n s t a t u s
between ( 8 3 ) a and ( 8 3 ) b . Hence, we d i s r e g a r d t h e d i f f e r e n c e
between ( 8 1 ) a and ( 8 3 ) a .
1 4 ) Note t h a t t h e e x p l a n a t i o n f o r t h e c o n t r a s t between
*a- I1 menace d e v e n i r beaucoup d e monde. (cf. C h a p t e r 11)
and b- e ne v o r r e b b e r o i n t e r v e n i r e m o l t i relies c r u c i a l l y on
t h e f a c t t h a t - il and beaucoup d e monde i n a- do n o t form a - t h - c h a i n w h i l e e and m o l t i p r o i n b- a r e members o f t h e same - t h - c h a i n .
15) ( 8 6 ) a and ( 8 6 ) b were g i v e n m a r g i n a l s t a t u s by t h e s p e a k e r
w e have c o n s u l t e d . The r e a s o n s f o r ? ? i n s t e a d o f * a r e g i v e n
i n f o o t n o t e 1 3 . W e s h o u l d a l s o p o i n t o u t t h a t a c c o r d i n g t o
B u r z i o ' s judgements t h e r e i s a d i f f e r e n c e between (86) a , which
he c o n s i d e r s f u l l y g rammat ica l , and ( 8 6 ) b , which he c o n s i d e r s
q u e s t i o n a b l e . We can accoun t f o r B u r z i o ' s judgements on t h e
b a s i s o f ana logy ( c f . t h e d i s c u s s i o n o f ( 7 6 ) a ) and t h e s u b t l e t y
of t h e judgements on - n e - c l i t i c i z a t i o n (cf. f.n. 1 3 ) .
1 6 ) I t might be t h a t t h e i m p o s s i b i l i t y f o r s t a r e pe r t o be
p receded by a n a u x i l i a r y i s due t o t h e f a c t t h a t s t a r e p e r
i n ( 9 0 ) / ( 9 1 ) i s i t s e l f an a u x i l i a r y . I f t h i s were t h e c a s e ,
t h e Aux r u l e i n I t a l i a n would be:
Aux >
s t a r e per e s s e r e J 1 2
(Aux2 s e l e c t s e i t h e r e s s e r e o r s t a r e p e r b u t n o t a v e r e . )
1 7 ) There are some n o t t o o s t r a i g h t f o r w a r d c a s e s o f Aux-
s e l e c t i o n which w e have n o t d i s c u s s e d .
The p a s s i v e s :
a- Mario g l i - e f / * h a s t a t o p r e s e n t a t o d a G i a n n i . -
(Mario t o him-has been i n t r o d u c e d by J o h n . )
b- Mario g l i h a / * e f v o l u t o e s s e r p r e s e n t a t o da G i a n n i . - - (Mario t o him-wanted t o be i n t r o d u c e d by J o h n . )
c- Mario g l i v o r r e b b e e s s e r / * a v e r s t a t o p r e s e n t a t o da G i a n n i .
P r e d i c a t e P h r a s e s :
d- Mario - h a / ? e f - v o l u t o e s s e r e g e n t i l i con g l i o s p i t i .
(Mario wanted t o be n i c e w i t h t h e g u e s t s . )
-
W e t h i n k t h a t a b e t t e r u n d e r s t a n d i n g of t h e r e l a t i o n between
Aux2 on t h e one hand and t h e p a s t - p a r t i c i p l e and a d j e c t i v e on
t h e o t h e r a s w e l l a s between Aux and Aux2 ( c f . f .n . 1 6 ) would 1
s h e d l i g h t on b and d above.
Chapte r IV: C a u s a t i v e s
P a r t I : The C a u s a t i v e a s a n i n t r a n s i t i v i z e r
I V . l The Romance C a u s a t i v e a s a bound v e r b
I n Chap te r 111 we have s e e n t h a t c e r t a i n bound v e r b s
may f u n c t i o n a s m o d i f i e r s and hence a s non-heads: t h e modals
and a s p e c t u a l v e r b s i n S p a n i s h and I t a l i a n . I n t h i s s e c t i o n ,
w e s h a l l examine bound v e r b s t h a t f u n c t i o n a s heads and which
i n d u c e a l t e r a t i o n s i n t h e argument s t r u c t u r e o f t h e v e r b t o
which t h e y a r e a t t a c h e d : t h e c a u s a t i v e v e r b s i n t h e Romance
l a n g u a g e s . W e w i l l d i s c u s s French b u t t h e same comments and
a n a l y s i s h o l d f o r Span i sh and I t a l i a n .
C o n s i d e r t h e f o l l o w i n g s e n t e n c e s :
/ /
(1) a- Le g e n e r a l a f a i t d g t r u i r e l a v i l l e p a r s e s s o l d a t s .
(The g e n e r a l had d e s t r o y t h e c i t y by t h e s o l d i e r s . /
The g e n e r a l had t h e c i t y d e s t r o y e d by t h e s o l d i e r s . )
b- P i e r r e a f a i t p h o t o g r a p h i e r s e s e n f a n t s p a r Mar ie .
( P e t e r had pho tograph h i s c h i l d r e n by Mary./
P e t e r had h i s c h i l d r e n photographed by Mary. )
Kayne 1975 and o t h e r s have shown t h a t a l t h o u g h p a s s i v e mor-
phology i s l a c k i n g i n t h e f a i r e - p a r c o n s t r u c t i o n ( c f . (1) a-b) ,
it behaves l i k e t h e p a s s i v e i n many ways.
F i r s t , n o n p a s s i v i z a b l e id ioms may n o t o c c u r i n t h e f a i r e -
p a r c o n s t r u c t i o n . -
/ ( 2 ) a- S a famille a casse l a c ro t t e .
( H i s f a m i l y had a s n a c k . )
*b- La c r o G t e a 6td c a s s g e p a r sa f a m i l l e .
*c- P i e r r e a. f a i t casser l a crocte p a r sa f a m i l l e .
( H e had h i s f a m i l y have a s n a c k . )
( 3 ) a- Son f i l s f e r a l e m a l a d e .
( H i s s o n w i l l p l a y s i c k . )
*b- Le malade s e r a f a i t p a r s o n f i l s .
*c- I1 fe ra f a i r e l e malade p a r s o n f i l s .
( H e w i l l h a v e h i s s o n p l a y s i c k . )
On t h e o t h e r h a n d , p a s s i v i z a b l e i d i o m s may a l s o o c c u r i n t h e
f a i r e - p a r c o n s t r u c t i o n .
( 4 ) a- Son f i l s t e pr$tera a s s i s t a n c e .
( H i s s o n w i l l l e n d you a s s i s t a n c e . ) - b- A s s i s t a n c e t e sera p r G t 4 e p a r s o n f i l s .
c- I1 t e f e r a p r z t e r a s s i s t a n c e par s o n f i l s .
( H e w i l l h ave you l e n t a s s i s t a n c e by h i s s o n . )
(5) a- Son c l i e n t p o r t e r a p l a i n t e .
( H i s c l i e n t w i l l b r i n g s u i t . )
b- P l a i n t e s e r a p o r t 6 e p a r s o n c l i e n t .
c- L ' a v o c a t f e r a p o r t e r p l a i n t e p a r s o n c l i e n t .
(The l a w y e r w i l l have s u i t b r o u g h t by h i s c l i e n t
Second, o b j e c t s which a r e i n a l i e n a b l e p o s s e s s i o n s o f t h e
s u b j e c t may n o t be p a s s i v i z e d and t h e y may n o t o c c u r i n t h e
f a i r e - p a r c o n s t r u c t i o n e i t h e r .
( 6 ) a- J e a n l e v e r a l a main.
( John w i l l r a i s e h i s hand . )
0 *b- La main s e r a l e v e e p a r J e a n .
*c- E l l e £ e r a l e v e r l a main p a r J e a n .
( S h e ' l l have John r a i s e h i s h a n d . )
The same r e s t r i c t i o n h o l d s f o r o v e r t p o s s e s s i v e s .
A ( 7 ) a- J e a n a p p r e n d r a s o n r o l e . i i
*b- Soni r e l e s e r a a p p r i s p a r J e a n i . A
*c- Tu f e r a s a p p r e n d r e soni r o l e p a r J e a n . i
( Y o u ' l l have J e a n l e a r n h i s r o l e . )
T h i r d , v e r b s c o m p a t i b l e w i t h p a s s i v e s i n de can o c c u r i n -
a f a i r e - d e c o n s t r u c t i o n .
(8) a- Marie e s t hai'e d e t o u t l e monde.
(Marie i s h a t e d by everybody . )
b- Mar ie e s t a r r i v e ' e 2 se f a i r e h a y r de t o u t l e monde.
(Marie managed t o g e t h e r s e l f h a t e d by everybody. )
v e r b s t h a t c a n n o t t a k e p a s s i v e s i n de c a n n o t a p p e a r i n a -
f a i r e - p a r c o n s t r u c t i o n .
1 ( 9 ) *a- Jean s e r a t u e de ce garqon .
( John will be k i l l e d by t h a t boy . )
*b- J e a n se f e r a t u e r de c e garFon.
( John w i l l have h i m s e l f k i l l e d by t h a t boy.)
F o u r t h , v e r b s t h a t c a n n o t undergo p a s s i v i z a t i o n c a n n o t
o c c u r i n t h e f a i r e - p a r c o n s t r u c t i o n .
T r a n s i t i v e s w i t h a l o c a t i v e o b j e c t :
( 1 0 ) a- J e a n q u i t t e r a l a maison demain.
( J e a n w i l l leave t h e house tomorrow.)
*b- L a maison s e r a q u i t t & e p a r J e a n demain.
*c- Je f e r a i q u i t t e r l a maison p a r J e a n demain.
( I ' 11 have J e a n l e a v e t h e house tomorrow. )
I n t r a n s i t i v e s :
(11) a- J e a n t r a v a i l l e .
( John works. )
*b- I1 a 6t6 t r a v a i l l g p a r J e a n .
*c- On a f a i t t r a v a i l l e r p a r J e a n .
(We had John work. )
F i f t h , t h e p a r - p h r a s e i n t h e f a i r e - p a r c o n s t r u c t i o n a s - i n t h e p a s s i v e c o n s t r u c t i o n i s o p t i o n a l l y r e a l i z e d .
( 1 2 ) a- La v i l l e a 6t; d g t r u i t e ( p a r les s o l d a t s ) .
(The c i t y was d e s t r o y e d (by t h e s o l d i e r s ) . )
b- L e g g n d r a l a f a i t d 6 t r u i r e l a v i l l e .
Cf. (1 )a .
I n c o n c l u s i o n , i t a p p e a r s t h a t t h e f a i r e - p a r c o n s t r u c t i o n
f u n c t i o n s l i k e a p a s s i v e c o n s t r u c t i o n b u t c u r i o u s l y enough
p a s s i v e morphology i s a b s e n t .
The Romance c a u s a t i v e c o n s t r u c t i o n h a s a n o t h e r c u r i o u s
p r o p e r t y which we t h i n k i s r e l a t e d t o t h e phenomenon d i s c u s s e d
above. R e c a l l t h a t i n Romance many v e r b s a r e i n t r a n s i t i v i z e d
by a t t a c h m e n t o f t h e morpheme s e . Cf . 111.2.2.4. The a n t i - -
c a u s a t i v e o r e r g a t i v e r u l e i s a l e x i c a l r u l e which d e l e t e s t h e
e x t e r n a l t h - r o l e o f a v e r b and removes t h e v e r b ' s a c c u s a t i v e -
case a s s i g n i n g p r o p e r t y . Some examples :
(13) a- P i e r r e a casse/ l e v e r r e .
( p e t e r b roke t h e g l a s s . )
b- L e v e r r e s ' e s t casse/ h i e r . -
(The g l a s s b roke y e s t e r d a y . )
*c- Le v e r r e es t cass; h i e r .
(14) a- La c h a l e u r a b r i s ; l ' a s s i e t t e .
(The h e a t c r a c k e d t h e d i s h . )
b- L'assiette s ' e s t b r i s g e h i e r . -
(The d i s h c r a c k e d y e s t e r d a y . )
*c- L 1 a s s i e t t e e s t b r i s 4 e h i e r .
I
(15) a- Le v e n t a e t e i n t l e f e u .
(The wind p u t o u t t h e f i r e . )
b- L e f e u - s ' e s t g t e i n t t o u t d e s u i t e .
(The f i r e went o u t immedia te ly . )
/ *c- Le f e u e s t e t e i n t t o u t de s u i t e .
Note t h a t t h e a n t i - c a u s a t i v e o r e r g a t i v e form o f c a s s e r ,
b r i s e r , 4 t e i n d r e w i t h o u t t h e morpheme - se a r e i m p o s s i b l e . Cf.
(13) c , ( 1 4 ) c , ( 1 5 ) c . But i n t e r e s t i n g l y enough t h e morpheme
se may be a b s e n t when t h e a n t i - c a u s a t i v e v e r b i s embedded -
under f a i r e .
(16) La p r e s s i o n a f a i t c a s s e r l e v e r r e .
(The p r e s s u r e made t h e g l a s s b r e a k . )
La c h a l e u r a f a i t b r i s e r l ' a s s i e t t e .
(The h e a t made t h e d i s h b r e a k . )
L e manque d loxyg&ne a f a i t g t e i n d r e l e f e u .
(The absence of oxygen made t h e f i r e go o u t . )
There a r e o t h e r t r a n s i t i v e v e r b s whose a n t i - c a u s a t i v e
c o u n t e r p a r t s do n o t have t h e morpheme se a t t a c h e d t o them. -
/ (19) a- P i e r r e a c o u l e l e b a t e a u .
( p e t e r s a n k t h e b o a t . )
b- La b a t e a u a c o u l g h i e r .
(The b o a t sank y e s t e r d a y . )
(20 ) a- P i e r r e a c u i t l e p o u l e t .
( p e t e r cooked t h e c h i c k e n . )
b- Le p o u l e t a c u i t v i t e .
(The c h i c k e n cooked f a s t . )
When t h e s e v e r b s a r e embedded i n t h e f a i r e - c o n s t r u c t i o n , t h e
s e n t e n c e i s ambiguous.
(21 ) a- P i e r r e a f a i t c o u l e r l e b a t e a u .
b- P i e r r e a f a i t c u i r e l e p o u l e t .
( 2 1 ) a and ( 2 1 ) b have i n t e r p r e t a t i o n s ( 2 2 ) a - b and ( 2 3 ) a - b
r e s p e c t i v e l y .
( 2 2 ) a- P e t e r had somebody s i n k t h e b o a t .
b- P e t e r s a n k t h e b o a t .
(23 ) a- P e t e r had somebody cook t h e c h i c k e n .
b- P e t e r cooked t h e c h i c k e n .
I n t e r p r e t a t i o n s ( 2 2 ) a and ( 2 3 ) a c o r r e s p o n d t o t h e f a i r e - p a r
c o n s t r u c t i o n w i t h a n o n - r e a l i z e d p a r - p h r a s e and ( 2 2 ) b a n d -
(23)b c o r r e s p o n d t o t h e a n t i - c a u s a t i v e r e a d i n g s . Cf. ( 1 9 ) b ,
(20)b.
W e know t h a t p a s s i v i z a t i o n and a n t i - c a u s a t i v i z a t i o n a r e
very s i m i l a r p r o c e s s e s . They b o t h p r e v e n t t h e e x t e r n a l a rgu-
ment o f a v e r b from b e i n g r e a l i z e d . The d i f f e r e n c e between
them i s t h a t i n p a s s i v e s t h e e x t e r n a l t h - r o l e i s " i n t e r n a l i z e d "
i n t h e s e n s e o f Wil l iams 1981b: i . e . , it i s r e a l i z e d i n s i d e
t h e VP i n a p a r - p h r a s e o r it remains u n a s s i g n e d ( s e e f o o t n o t e
7 i n C h a p t e r III), w h i l e i n t h e a n t i - c a u s a t i v e s t h e e x t e r n a l
t h - r o l e i s d e l e t e d . The f a c t t h a t a v e r b need n o t b e a r p a s s i v e
morphology n o r a n t i - c a u s a t i v e morphology i n o r d e r t o p r e v e n t
i t s e x t e r n a l t h - r o l e from mapping o n t o s u b j e c t p o s i t i o n s t r o n g l y
s u g g e s t s t h a t f a i r e i t s e l f i s a c c o m p l i s h i n g t h i s t a s k i n t h e
c o n s t r u c t i o n s under d i s c u s s i o n . I n o r d e r f o r f a i r e t o i n d u c e
a l t e r a t i o n s i n t h e argument s t r u c t u r e o f a n o t h e r v e r b , t h e y
must form one l e x i c a l u n i t . More p r e c i s e l y , f a i r e must f u n c t i o n
a s a v e r b a l a f f i x .
But f a i r e behaves a s an autonomous l e x i c a l i t e m w i t h
r e s p e c t t o l e x i c o - m o r p h o l o g i c a l r u l e s . Moreover, a s an au to -
nomous p r e d i c a t e i t t a k e s a p r o p o s i t i o n a s i n t e r n a l argument
as shown by t h e e n t a i l m e n t s below.
( 2 4 ) a - Pierre a f a i t c u e i l l i r les f l e u r s p a r les e n f a n t s .
(Peter made p i c k t h e f l o w e r s by t h e c h i l d r e n . /
P e t e r had t h e c h i l d r e n p i c k t h e f l o w e r s . )
b- P i e r r e a f a i t que les e n f a n t s c u e i l l e n t les f l e u r s .
( P e t e r made t h a t t h e c h i l d r e n p i c k t h e f l o w e r s . )
Hence, f a i r e i n t h e c o n s t r u c t i o n s d i s c u s s e d i n t h i s
s e c t i o n f u n c t i o n s b o t h a s a n autonomous p r e d i c a t e and a s a
bound v e r b . Thus, s e n t e n c e s l i k e ( 1 ) a and (18) have a double-
a n a l y s i s a s shown below.
/ Le & n & r a l a f a i t e d e t r u i r e l a v i l l e p a r s e s
( 2 6 ) S-1: [ - NPl [ V2 NPJ 1 1 1 1
S1 I I I La p r e s s i o n a f a i t e c a s s e r l e v e r r e
/ I n ( 2 5 ) t h e e x t e r n a l t h - r o l e o f d e t r u i r e i s r e a l i z e d i n a
par-phrase i n s i d e t h e VP. I n ( 2 6 ) t h e e x t e r n a l t h - r o l e o f
c a s s e r i s d e l e t e d . Hence, N P 2 i n ( 2 5 ) and ( 2 6 ) i s n o t an
argument p o s i t i o n . - e i s f r e e , ungoverned, n o n - r e f e r e n t i a l ,
and d o e s n o t b e a r a t h - r o l e : i . e . , it is an e x p l e t i v e prono-
m i n a l anaphor .
But how e x a c t l y does f a i r e p r e v e n t t h e e x t e r n a l t h - r o l e
of d g t r u i r e and c a s s e r from b e i n g r e a l i z e d i n s u b j e c t p o s i t i o n ?
I t c e r t a i n l y does n o t a c h i e v e t h i s r e s u l t i n t h e same way t h a t
p a s s i v e o r a n t i - c a u s a t i v e morphology d o e s . The l e x i c a l
f u n c t i o n o f t h e s e morphemes i s t o f u n c t i o n a s i n t r a n s i t i v i z e r s :
i .e. , t h e y c a r r y t h e f e a t u r e s [ -Ext . t h - r o l e , - A c c . case1 . T h i s i s c l e a r l y n o t t r u e f o r f a i r e . F a i r e h a s b o t h a n e x t e r n a l
argument and c a s e - a s s i g n i n g p r o p e r t y .
A t t h i s p o i n t a more p r e c i s e s p e c i f i c a t i o n o f t h e perco-
l a t i o n c o n v e n t i o n i s i n o r d e r . R e c a l l t h a t i f t h e a f f i x
f u n c t i o n s a s t h e head of a l e x i c a l c a t e g o r y , t h e f e a t u r e s o f
t h e a f f i x t a k e p recedence o v e r t h e f e a t u r e s o f t h e r o o t . But
i f t h e a f f i x i s u n s p e c i f i e d f o r t h e v a l u e o f some f e a t u r e ,
that f e a t u r e o f t h e r o o t p e r c o l a t e s up t o become t h e v a l u e
o f t h e a f f i x + r o o t c a t e g o r y . Cf. ~ i e b e r 1 9 8 0 , Marantz 1981.
Unl ike t h e modals and a s p e c t u a l s d i s c u s s e d i n C h a p t e r
111, f a i r e f u n c t i o n s a s t h e head o f t h e complex v e r b . A s a
bound v e r b , f a i r e h a s t h e f e a t u r e s [ E x t . t h - r o l e , Acc/Dat
c a s e ] . S i n c e f a i r e f u n c t i o n s a s t h e head o f t h e complex
v e r b , i t s e x t e r n a l t h - r o l e and c a s e f e a t u r e s p e r c o l a t e up ,
thus p r e v e n t i n g t h e e x t e r n a l t h - r o l e and c a s e f e a t u r e s o f t h e
v e r b t o which it i s a t t a c h e d from b e i n g r e a l i z e d . The e x t e r -
n a l t h - r o l e o f t h e embedded v e r b i s e i t h e r i n t e r n a l i z e d and
mapped o n t o a by-phrase o r r emains unass igned ( a s i n t h e case - o f p a s s i v e s ) o r i t i s d e l e t e d ( a s i n t h e c a s e of a n t i - c a u s a -
I t i v e s ) . On t h e o t h e r hand, s i n c e f a i r e a s a bound v e r b does
n o t t a k e i n t e r n a l a rguments , t h e i n t e r n a l t h - r o l e s o f t h e
" r o o t " - v e r b p e r c o l a t e up t o t h e complex v e r b . Thus, t h e
complex v e r b s i n ( 2 5 ) and ( 2 6 ) have s t r u c t u r e s (27 )a and
(27) b r e s p e c t i v e l y .
a- y-7; [ f a i r e ]
E x t . t h - r o l e
!case ] Ext . t h - r o l e
I n t . t h - r o l e s
The ar row i n d i c a t e s t h a t t h e e x t e r n a l t h - r o l e becomes an
i n t e r n a l t h - r o l e , a s i n t h e c a s e o f p a s s i v e s . The " i n t e r -
n a l i z e d " e x t e r n a l t h - r o l e p e r c o l a t e s up t o V a s an i n t e r n a l
t h - r o l e . I t i s t h e n s y n t a c t i c a l l y r e a l i z e d i n s i d e t h e VP
b-
[ c a s s e r ]
E x t . t h - r o l e -) (d
I n t . t h - r o l e
A s i n t h e c a s e o f a n t i - c a u s i t i v e s , t h e e x t e r n a l t h - r o l e
d e l e t e s . A s i s well-known, t h e r e a r e c e r t a i n v e r b s t h a t may
have t h e i r e x t e r n a l t h - r o l e d e l e t e d b u t n o t o t h e r s . T h i s i s
a l e x i c a l l y d e t e r m i n e d p r o p e r t y .
I n ( 1 2 ) b , u n l i k e ( 2 5 ) , t h e e x t e r n a l t h - r o l e o f t h e " r o o t w -
v e r b i s n o t i n t e r n a l i z e d and hence it remains u n a s s i g n e d .
C f . f o o t n o t e 7 i n C h a p t e r 111. What c r u c i a l l y d i s t i n g u i s h e s
s e n t e n c e s l i k e ( 2 5 ) and ( 1 2 ) b from s e n t e n c e s l i k e ( 2 6 ) i s
t h a t t h e e x t e r n a l t h - r o l e ( w h e t h e r r e a l i z e d i n a &-phrase
or n o t ) is p r e s e n t a t LF i n t h e f o r m e r b u t n o t i n t h e l a t t e r
case. Thus , s e n t e n c e s l i k e ( 2 5 ) and ( 1 2 ) b b u t n o t s e n t e n c e s
l i k e ( 2 6 ) c may c o e x i s t w i t h a n " a g e n t i v e " a d v e r b .
/ ( 2 8 ) a- L ' a r c h i t e c t e a f a i t t r a c e r l e p l a n m e t i c u l e u s e m e n t
/ ( p a r s o n a s s o c i e ) . .
(The a r c h i t e c t had t h e p l a n drawn c a r e f u l l y / m e t i c u -
l o u s l y (by h i s p a r t n e r ) . ) d
b- P i e r r e a f a i t e t e i n d r e l e f e u rngt icu leusement ( p a r
M a r i e ) . ( P e t e r had t h e f i r e p u t o u t c a r e f u l l y / r ~ ~ e t i c u l o u s l y
(by M a r y ) . )
*c- Le v e n t a f a i t g t e i n d r e l e f e u m&t icu leusemen t .
(The wind made t h e f i r e go o u t c a r e f u l l y / m e t i c u -
l o u s l y . )
When an i n h e r e n t r e f l e x i v e i s embedded under f a i r e , t h e
morpheme se may a l s o b e a b s e n t . -
/ ( 2 9 ) a- Pierre s'est e v a n o u i e .
( P e t e r f a i n t e d . )
/ *b- P i e r r e e s t e v a n o u i e .
T h i s
I c- La p e u r a f a i t e v a n o u i r P i e r r e .
( F e a r made John f a i n t . )
r e q u i r e s some c l a r i f i c a t i o n o f t h e n a t u r e o f t h e
/ se i n s ' e v a n o u i r . Recall t h a t s l & v a n o u i r may f u n c t i o n l i k e -
an e r g a t i v e v e r b . Cf . 111.2.2.4. R e c a l l a l s o t h a t s ' g v a n o u i r /
h a s no e v a n o u i r c o u n t e r p a r t , which r a i s e s t h e q u e s t i o n o f
w h e t h e r - se h a s any f u n c t i o n a t a l l . The c o n t r a s t between
( 2 9 ) b and ( 2 9 ) c s u g g e s t s t h a t i t d o e s . O t h e r w i s e , it would
/ remain a m y s t e r y why t h e - se i n s ' e v a n o u i r can b e a b s e n t j u s t
i n case i t i s embedded under f a i r e . C o n s e q u e n t l y , w e w i l l
a n a l y z e t h e s o - c a l l e d i n h e r e n t r e f l e x i v e s i n t h e f o l l o w i n g
/ way. Verbs l i k e e v a n o u i r a r e o b l i g a t o r i l y r e f l e x i v e when
t h e y f u n c t i o n a s t r a n s i t i v e s ( u n d o u b t e d l y due t o t h e i r m e a n i n g ) .
Hence, i n t h i s case, - se i n s ' g v a n o u i r i s a nominal c l i t i c ,
p a r t o f a n argument t h - c h a i n . But t h e t r a n s i t i v e g v a n o u i r
may a l s o undergo a n t i - c a u s a t i v i z a t i o n . I n t h i s c a s e , - se
i n s ' g v a n o u i r i s t h e e r g a t i v e o r a n t i - c a u s a t i v e morpheme.
Now c o n s i d e r t h e c l i t i c s i n t h e f a i r e - p a r c o n s t r u c t i o n .
.' ( 3 0 ) a- i- P i e r r e l e l u i a f a i t e c r i r e p a r J e a n . --
( P e t e r i t - t o him-had w r i t e by J o h n . / P e t e r
had John w r i t e i t t o him.)
f ii- Pierre a f a i t l e l u i g c r i r e p a r J e a n . -- b- i- L a c h a l e u r l ' a f a i t f o n d r e . -
(The h e a t i t -made m e l t . / The h e a t made it m e l t
* i i - L a c h a l e u r a f a i t l e f o n d r e . -
c- i- J e a n s ' es t f a i t r a s e r p a r Marie. - (John h imse l f -had shave by Mary./ John had
Mary shave h im.)
* ii- J e a n a f a i t se r a s e r p a r Mar ie . -
R e c a l l t h a t c l i t i c s are b u n d l e s o f c a s e , p e r s o n , number, and
g e n d e r f e a t u r e s . Given t h a t f a i r e i s t h e head o f t h e complex-
v e r b i n t h e c o n s t r u c t i o n s under d i s c u s s i o n , i t s A c c u s a t i v e
and D a t i v e c a s e - f e a t u r e s p e r c o l a t e up t o t h e complex v e r b :
i . e . , t h e y t a k e p recedence o v e r t h e c a s e - f e a t u r e s o f t h e v e r b
t o which f a i r e i s a t t a c h e d . We may t h e n assume t h a t t h e
c l i t i c s i n ( 3 0 ) a - i , b - i , and c - i o r i g i n a t e on f a i r e . They
t h e n p e r c o l a t e up t o t h e complex v e r b . ( L i n e a r i z a t i o n t a k e s
p l a c e i n t h e phonology. ) Note t h a t t h e c l i t i c s i n t h e s e
s e n t e n c e s c o r r e c t l y i d e n t i f y t h e non-over t p ronomina l s w i t h
which t h e y a r e coindexed a t S-2 ( t h e m o n o s e n t e n t i a l s t r u c t u r e ) ,
b u t n o t a t S-1 ( t h e b i s e n t e n t i a l s t r u c t u r e ) .
(31) S-1 [ N P [ vl [ - NP [ NPi I 1 I I S S
. . . . . l e x . v e r b p r o
S - 2 [ NP [ V NPi I I S VP
( i r r e l e v a n t d e t a i l s o m i t t e d . )
I n e f f e c t , r e q u i r e m e n t b i n t h e C o n d i t i o n on I d e n t i f i c a t i o n
of p r o -- which we r e p e a t below -- i s n o t f u l f i l l e d a t S-1.
I I ( 1 2 8 ) X i d s n t i f i e s a p o s i t i o n i i n : - -
j .......... X ........ j iff a- X = AGR o r [ c l - V 1 , where A G R / c l - v
b e a r t h e i n d e x i -
b- X governs t h e t h - p o s i t i o n i n t h e c h a i n -
c- 1) = i o r 2 ) t h e l e x i c a l head i n t h e c h a i n j. -
governs i. -
On t h e o t h e r hand, i f t h e c l i t i c s a r e g e n e r a t e d on V2 t h e y
c o r r e c t l y i d e n t i f y t h e p o s i t i o n s w i t h which t h e y a r e coindexed
a t S-1 b u t n o t a t S-2. S i n c e f a i r e ' s f e a t u r e s t a k e p r e c e -
dence o v e r t h o s e o f V 2 , if t h e c l i t i c s o r i g i n a t e on V2 t h e y
may n o t p e r c o l a t e up. Consequen t ly , c l . -V w i l l govern N P -1-2 i
a t S-1 b u t n o t a t S - 2 . T h i s c a s e i s e x e m p l i f i e d i n ( 3 0 ) a - i i ,
b - i i , c - i i . Now s i n c e a - i f b - i t and c-i a r e g rammat ica l w h i l e
a - i i , b - i i , and c - i i a r e ungrammat ica l , we conc lude t h a t
c o n d i t i o n I1 (128) must be s a t i s f i e d a t S-2. I t i s t h i s
s t r u c t u r e , i . e . , t h e one t h a t maps o n t o phonology (PR), namely,
t h e reduced s t r u c t u r e , which must s a t i s f y t h e C o n d i t i o n on
I d e n t i f i c a t i o n o f p r o .
The above c o n c l u s i o n r a i s e s t h e q u e s t i o n : what i s t h e
" r a i s o n d f 8 t r e " o f c o n d i t i o n 1 1 ( 1 2 8 ) ? W e s u s p e c t t h a t i t
p l a y s some r o l e i n r e c o v e r i n g t h e LF s t r u c t u r e from t h e P F
s t r u c t u r e . More p r e c i s e l y , l i k e word-order i n some l a n g u a g e s
a n d case i n o t h e r s , c o n d i t i o n I1 (128) i s p r o b a b l y r e l e v a n t
i n i d e n t i f y i n g grammat ica l r e l a t i o n s .
As example ( 3 0 ) c - i shows, r e f l e x i v e c l i t i c s may a p p e a r
i n t h e f a i r e - p a r c o n s t r u c t i o n b u t , r e c a l l , t h e y may n o t a p p e a r
i n t h e p a s s i v e c o n s t r u c t i o n . Cf . I I I ( 4 7 ) *Les e n f a n t s i se -i
s o n t presente /s -i -i p a r l a d i r e c t r i c e . The r e a s o n i s t h a t
t h e S - S t r u c t u r e s u b j e c t i n t h e f a i r e - p a r c o n s t r u c t i o n , u n l i k e
t h e S - S t r u c t u r e s u b j e c t i n t h e p a s s i v e c o n s t r u c t i o n , i s i t s
D - S t r u c t u r e s u b j e c t . C f . t h e d i s c u s s i o n i n 111 .2 .2 .1 .
I n t h e c o n s t r u c t i o n s under d i s c u s s i o n t h e complex v e r b
f a i r e - V 2 s e l e c t s a v o i r ( h a v e ) and n o t g t re ( b e ) a s an a u x i l i a r y .
C f . ( 1 ) a - b , ( 1 6 ) , (171 , ( l a ) , ( 2 1 ) a-b. T h i s i s j u s t what w e
e x p e c t s i n c e a l t h o u g h V2 i n f a i r e - V does n o t have an e x t e r n a l - 2
argument , t h e complex v e r b fa i re -V2 d o e s .
I f t h e complex v e r b ' s e x t e r n a l t h - r o l e i s b locked from
mapping o n t o s u b j e c t p o s i t i o n by a t t a c h m e n t o f t h e p a s s i v e
morpheme se (i . e . , t h e middle se) , t h e s e l e c t e d a u x i l i a r y i s - - essere ( b e ) .
( 3 2 Q u e i b r a n i s i e r a n o f a t t i l e g g e r e ( d a G i o v a n n i ) .
(These p a s s a g e s were made-read ( b y John) . ) ( f rom Burz io 1981)
L i k e w i s e , if p a s s i v e morphology i s a t t a c h e d o n t o f a r e , t h e
complex v e r b w i l l be i n t r a n s i t i v i z e d . I n e f f e c t , t h e f e a t u r e s
[-Ext . t h - r o l e , -Acc c a s e ] p e r c o l a t e up t o t h e complex v e r b
b l o c k i n g b o t h a c c u s a t i v e c a s e ass ignment and ass ignment o f I
i f a r e - V ' s e x t e r n a l t h - r o l e t o t h e s u b j e c t p o s i t i o n . A s e x p e c t e d ,
t h e s e l e c t e d a u x i l i a r y i s e s s e r e .
Q u e i b r a n i sono s t a t t i f a t t i l e g g e r e ( d a G i o v a n n i ) .
(Those p a s s a g e s have been made t o r e a d (by John) . ) ( f rom Burz io 1981)
The s t r u c t u r e o f ( 3 2 ) and ( 3 3 ) i s ( 3 4 ) .
Q u e i b r a n i i . . . f a t t i ei l e g g e r e ei (da Giovann i )
I
R e c a l l t h a t t h e embedded s u b j e c t p o s i t i o n i s n o t a t h - p o s i t i o n .
Hence, t h e D-S o b j e c t Quei b r a n i may move t o m a t r i x s u b j e c t
p o s i t i o n t h r o u g h t h e embedded s u b j e c t p o s i t i o n . The non-over t
N P i n o b j e c t p o s i t i o n i s a t r a c e ( i . e . , a non-pronominal
anaphor ) . I t i s bound i n i t s govern ing c a t e g o r y -- a s r e q u i r e d
by P r i n c i p l e A o f t h e Bind ing Theory -- a t b o t h S-1 and S-2.
The non-over t NP i n t h e embedded s u b j e c t p o s i t i o n i s a pronomi-
nal anaphor -- i .e., it i s ungoverned -- and d o e s n o t b e a r a
t h - r o l e . But u n l i k e t h e non-over t NP i n ( 2 5 ) and ( 2 6 ) , it is
p a r t o f a t h - c h a i n .
I n F rench , s e - p a s s i v i z a t i o n may a p p l y t o f a i r e - V . -
/ ( 3 5 ) a- Un bateau a m e r i c a i n , ?a s e fait c o u l e r f a c i l e m e n t .
(An American b o a t , i t i s made t o s i n k e a s i l y . )
b- Un p o u l e t , qa s e f a i t c u i r e r ap idement .
( A c h i c k e n , it i s made t o cook f a s t . )
On t h e o t h e r hand, p a s t - p a r t i c i p i a l p a s s i v e i s i m p o s s i b l e i n
French i n t h e f a i r e - V c o n s t r u c t i o n f o r some unknown r e a s o n .
(36) *Ces p a s s a g e s o n t &t& f a i t l i r e ( p a r J e a n ) . (= ( 3 3 ) ) .
(The same remarks h o l d f o r S p a n i s h . )
Another c a u s a t i v e v e r b which behaves l i k e f a i r e i n a l l
r e l e v a n t r e s p e c t s i s l a i s s e r ( l e t ) . Hence, l a i s s e r , l i k e
f a i r e , may be assumed t o have a doub le l e x i c a l e n t r y . I t
may f u n c t i o n s i m u l t a n e o u s l y a s an autonomous p r e d i c a t e and
as a bound v e r b .
I n c o n c l u s i o n , t h e c a u s a t i v e c o n s t r u c t i o n s d i s c u s s e d i n
t h i s s e c t i o n c o n s t i t u t e s independen t m o t i v a t i o n f o r p a r a l l e l -
s t r u c t u r e s r e p r e s e n t a t i o n i n s o f a r a s t n i s a n a l y s i s p r o v i d e s
a u n i f i e d a c c o u n t o f t h e p r o p e r t i e s o f f a i r e - p a r , t h e a b s e n c e
o f a n t i - c a u s a t i v e m o r ~ h o l o g y , t h e d i s t r i b u t i o n o f c l i t i c s ,
s e - p a s s i v i z a t i o n , and t h e c h o i c e o f a u x i l i a r y . -
1v.2 The J a p a n e s e P a s s i v e
I n t h e p r e v i o u s s e c t i o n w e have s e e n t h a t t h e Romance
c a u s a t i v e may f u n c t i o n a s an i n t r a n s i t i v i z e r by v i r t u e of
f u n c t i o n i n g a s a n a f f i x . A s an a f f i x , i t c a r r i e s an E x t e r n a l
t h - r o l e and c a s e f e a t u r e s . S i n c e i t f u n c t i o n s a s t h e head
of t h e complex v e r b t h e c a u s a t i v e ' s f e a t u r e s t a k e p recedence
over t h e f e a t u r e s o f t h e v e r b t o which i t i s bound, t h u s p re -
v e n t i n g t h e e x t e r n a l t h - r o l e of t h e non-head v e r b from mapping
onto s u b j e c t p o s i t i o n .
A f o r m a l l y s i m i l a r c a s e i s found i n t h e J a p a n e s e " i n d i r e c t "
p a s s i v e c o n s t r u c t i o n . I n t h e s e c o n s t r u c t i o n s t h e bound mor-
pheme - r a r e adds a n argument t o t h e l e x i c a l l y d e r i v e d v e r b -
and c a u s e s t h e e x t e r n a l argument o f t h e n o n - h e a d v e r b t o s u r -
f a c e as an i n t e r n a l argument w i t h d a t i v e c a s e . (The examples
a r e from Kuroda 1 9 7 9 ) .
( 3 7 ) a- Taroo-wa s e n s e i - n i Hanako-o s i k a r - a r e - t a .
(Taro ( t o p ) t e a c h e r ( d a t ) 13anako ( a c c ) s c o l d -
p a s s i v e - p a s t . / Taro had Hanako s c o l d e d by t h e
t e a c h e r . )
b- Boku-wa kodomo-o s e n s e i - n i home-rare- ta .
( I ( t o p ) c h i l d ( a c c ) t e a c h e r ( d a t ) p r a i s e - p a s s i v e -
p a s t . / I had my c h i l d p r a i s e d by t h e t e a c h e r . )
e- John-ga ame-ni h u r - a r e - t a .
( John (nom) r a i n ( d a t ) f a l l - p a s s i v e - p a s t . / I t r a i n e d
on John. )
d- John-wa kodomo-ni s i n - a r e - t a .
( John ( t o p ) c h i l d ( d a t ) d i e - p a s s i v e - p a s t . / J o h n ' s
c h i l d d i e d on him.)
A s t h e a f f i x f a i r e , t h e bound v e r b - r a r e h a s an e x t e r n a l t h -
r o l e . Moreover, it c a r r i e s d a t i v e c a s e . Consequen t ly , i t s
e x t e r n a l t h - r o l e and c a s e f e a t u r e t a k e p recedence o v e r t h e
e x t e r n a l t h - r o l e and c a s e f e a t u r e ( i f i t h a s o n e ) o f t h e v e r b
t o which it i s bound. The e x t e r n a l argument o f t h e l a t t e r
becomes a n i n t e r n a l argument . For example , t h e complex v e r b s
i n ( 3 7 ) a and ( 3 7 ) c have t h e f o l l o w i n g s t r u c t u r e s ( p u t t i n g
t e n s e a s i d e ) .
E x t . t h - r o l e
u n t . t h - r o l e
(The a r row i n d i c a t e s " i n t e r n a l i z a t i o n " o f t h e e x t e r n a l t h - r o l e . )
On t h e o t h e r hand, i n t h e " d i r e c t " p a s s i v e - r a r e f u n c t i o n s
as a c a n o n i c a l i n t r a n s i t i v i z e r . I t may o n l y be a t t a c h e d t o
t r a n s i t i v e v e r b s . T h e D-S t ruc tu re o b j e c t a p p e a r s a s t h e S-
S t r u c t u r e s u b j e c t : i . e . , it i s case-marked n o m i n a t i v e . The
e x t e r n a l t h - r o l e s u r f a c e s a s an i n t e r n a l argument w i t h d a t i v e
case o r i n a n i y o t t e p h r a s e (&-phrase ) . (Kuroda 1979 a r g u e s
t h a t t h e - n i - d i r e c t p a s s i v e , l i k e t h e n i - i n d i r e c t p a s s i v e and - u n l i k e t h e n i y o t t e - d i r e c t p a s s i v e , c a r r i e s a c o n n o t a t i o n o f
a f f e c t i v i t y . )
( 3 9 a- Taroo-wa s e n s e i - n i s i k a r - a r e - t a .
(Taro ( t o p ) t e a c h e r ( d a t ) s c o l d - p a s s i v e - p a s t . /
Ta ro was s c o l d e d by t h e t e a c h e r . )
b- John-ga B i l l - n i y o t t e h i h a n s a r e - t a .
( John (nom) by B i l l c r i t i c i z e - p a s s i v e - p a s t . /
John was c r t i c i z e d by B i l l . )
I n c o n c l u s i o n , t h e a f f i x - r a r e h a s two d i f f e r e n t l e x i c a l
e n t r i e s : 1- [ E x t . t n - r o l e , Dat c a s e ] and 2- [ - ~ x t . t h - r o l e ,
-Acc c a s e , ( D a t . c a s e ) 1 . I n t h e former c a s e it i s f u n c t i o n a l l y
s i m i l a r t o t h e bound v e r b f a i r e . I n t h e l a t t e r c a s e i t func-
t i o n s a s a " p u r e " i n t r a n s i t i v i z e r l i k e t h e p a s t - p a r t i c i p l e
p a s s i v e i n Romance and E n g l i s h . The e x t e r n a l t h - r o l e e i t h e r
r emains u n a s s i g n e d o r i s i n t e r n a l i z e d .
P a r t I1 : The Acc/Dat C a u s a t i v e C o n s t r u c t i o n
I V . 3 D i f f e r e n c e s between t h e f a i r e - p a r and t h e Acc/Dat
C a u s a t i v e C o n s t r u c t i o n
I n t h e p r e v i o u s s e c t i o n we have s e e n t h a t t h e s u b j e c t
o f t h e v e r b embedded under t h e c a u s a t i v e s f a i r e / l a i s s e r may
a p p e a r i n a p a r - p h r a s e . B u t , as i s well-known, it may a l s o -
a p p e a r i n t h e a c c u s a t i v e o r d a t i v e form.
P i e r r e a f a i t t r a v a i l l e r M a r i e ,
( P e t e r made work Mary . / I P e t e r made Mary work. ' )
P i e r r e a f a i t gcr ire l a l e t t r e % Marie.
( P e t e r made w r i t e t h e l e t t e r t o M a r y . / ' P e t e r made
M a r y w r i t e t h e l e t t e r . ' )
W e s h a l l r e f e r t o t h e s e c o n s t r u c t i o n s as t h e ~ c c / D a t C a u s a t i v e .
I t h a s been s t u d i e d b y , among o t h e r s , Kayne 1 9 7 5 , S t r o z e r 1 9 7 6 ,
R o u v e r e t & Vergnaud 1978 , B u r z i o 1981 .
A s n o t e d by Xayne 1975 and o t h e r s , t h i s c o n s t r u c t i o n
d i f f e r s f rom t h e f a i r e - p a r c o n s t r u c t i o n i n s e v e r a l ways. - F i r s t , n o n - p a s s i v i z a b l e i d i o m s may be embedded i n t h e D a t i v e
C a u s a t i v e c o n s t r u c t i o n . Compare ( 4 2 ) a-b w i t h ( 2 ) c and ( 3 ) c
i n P a r t I o f t h i s c h a p t e r .
( 4 2 ) a- I1 a f a i t casser l a c r o c t e 2 s a f a m i l l e .
b- I1 f e r a f a i r e l e malade s o n f i l s .
Second , o b j e c t s which a r e i n a l i e n a b l e p o s s e s s i o n s o f t h e
s u b j e c t a s w e l l a s o v e r t p o s s e s s i v e s may a p p e a r i n t h e ~ a t i v e
C a u s a t i v e c o n s t r u c t i o n . Compare ( 4 3 ) a-b w i t h ( 6 ) c and ( 7 ) c
i n P a r t I .
( 4 3 ) a- E l l e f e r a l e v e r l a main 2 J e a n .
b- Tu f e r a s a p p r e n d r e s o n r$le > J e a n i . i
T h i r d , a l t h o u g h t h e s u b j e c t o f v e r b s w i t h l o c a t i v e o b j e c t s
may n o t a p p e a r i n a p a r - p h r a s e (cf. I V ( 1 0 ) , i t may a p p e a r i n
a d a t i v e NP.
( 4 4 ) Je f e r a i q u i t t e r ma maison > J e a n demain.
Is t h e s t r u c t u r e o f t h e Acc/Dat C a u s a t i v e d i s t i n c t from
t h e s t r u c t u r e o f t h e f a i r e - p a r C a u s a t i v e ? I n e f f e c t , i s t h e
A c c u s a t i v e o r D a t i v e N P an " i n t e r n a l i z e d " e x t e r n a l argument
o f t h e embedded v e r b o r n o t ? Tha t i s , a r e t h e u n d e r l i n e d Acc
and D a t i v e NPs i n ( 4 0 ) and ( 4 1 ) under VP o r under S?
The g r a m m a t i c a l i t y o f ( 4 3 ) b i s n e u t r a l w i t h r e s p e c t t o
t h i s q u e s t i o n because a d a t i v e i n d i r e c t o b j e c t i s a p o s s i b l e
p r o p e r a n t e c e d e n t i n d e p e n d e n t l y o f t h i s c o n s t r u c t i o n .
(45) On a a p p r i s soni r$ le J e a n i .
( W e t a u g h t h i s r o l e t o John. / ' W e t a u g h t John h i s
r o l e . ' )
The g r a m m a t i c a l i t y o f ( 4 3 ) a i s somewhat more r e l e v a n t
s i n c e , a s n o t e d by Kayne 1975, t h e r e i s normal ly a d i f f e r e n c e
i n s t a t u s between t h e s e n t e n c e w i t h a d a t i v e i n d i r e c t o b j e c t
NP and t h a t w i t h a d a t i v e i n d i r e c t o b j e c t c l i t i c i n many
c a s e s o f a n o n p r e p o s i t i o n a l p o s s e s s i o n , a l t h o u g h t h e c o n t r a s t
i s less t h a n s h a r p ,
# ( 4 6 ) a- P a u l l u i a embrasse le f r o n t .
?b- P a u l a embrasse' l e f r o n t 2 M a r i e - C l a i r e . )
( P a u l k i s s e d h e r / M a r i e - C l a i r e ' s f o r e h e a d . )
(47) a- La p o u s s i ~ r e l u i a n o i r c i les jambes.
?b- La p o u s s i e r e a n o i r c i les jambes c e garFon.
(The d u s t b lackened h i s / t h a t b o y ' s l e g s . )
( 4 6 ) b and ( 4 7 ) b c o n t r a s t w i t h ( 4 3 ) a which i s f u l l y g rammat ica l .
T h i s c o n t r a s t s u g g e s t s t h a t ; J e a n i n ( 4 3 ) a i s a s u b j e c t and
n o t an i n d i r e c t o b j e c t .
The g r a m m a t i c a l i t y o f ( 4 2 ) a and ( 4 2 ) b p r o v i d e s s t r o n g
e v i d e n c e t h a t t h e d a t i v e NP i n t h e D a t i v e C a u s a t i v e , u n l i k e
t h e p a r - N P i n t h e f a i r e - p a r c o n s t r u c t i o n , i s n o t an " i n t e r -
n a l i z e d " e x t e r n a l argument o f t h e embedded v e r b . To see why
t h i s i s s o , we must t u r n back t o t h e c o n t r a s t between non-
p a s s i v i z a b l e id ioms and p a s s i v i z a b l e id ioms . Cf. ( 2 ) - ( 3 )
v e r s u s ( 4 - 5 The d i f f e r e n c e between id ioms l i k e c a s s e r l a
c r o G t e / f a i r e l e malade on t h e one hand and p r G t e r a s s i s t a n c e /
p o r t e r p l a i n t e on t h e o t h e r i s t h a t t h e meaning o f t h e l a t t e r
( c a l l them q u a s i - i d i o m s ) b u t n o t t h e meaning o f t h e fo rmer
( c a l l them f u l l - i d i o m s ) i s e q u a l t o t h e sum o f t h e meaning
o f t h e i r p a r t s . The q u e s t i o n i s t h e n why c a n ' t t h e f u l l
id ioms p a s s i v i z e ? The ungramrna t i ca l i ty of t h e f a i r e - p a r
s e n t e n c e s ( 2 ) c and ( 3 ) c -- c o n s t r u c t i o n s i n which t h e r e h a s
been no o b j e c t - t o - s u b j e c t movement -- i n d i c a t e t h a t t h e
ungrarnrnat ica l i ty o f ( 2 ) b and ( 3 ) b does n o t l i e ( o r a t l e a s t
not solely) i n t h e i m p o s s i b i l i t y f o r t h e o b j e c t s o f f u l l -
id ioms t o move.* W e conc lude t h e n t h a t f u l l id ioms c a n n o t
p a s s i v i z e due ( a t l e a s t p a r t l y ) t o t h e f a c t t h a t t h e i r e x t e r n a l
a rguments c a n n o t be i n t e r n a l i z e d . T h i s i m p l i e s t h a t i n (42)a
and ( 4 2 ) b t h e d a t i v e NP s a f a m i l l e and son f i l s a r e i n
s u b j e c t p o s i t i o n and n o t i n s i d e t h e VP.
W e may a s k why t h e e x t e r n a l argument o f non-compos i t iona l
id ioms c a n n o t b e i n t e r n a l i z e d . O r t o p u t t h e q u e s t i o n i n
a n o t h e r way, when can an e x t e r n a l argument b e i n t e r n a l i z e d ?
A p l a u s i b l e answer t o t h i s q u e s t i o n i s t h e f o l l o w i n g . An
e x t e r n a l argument may b e i n t e r n a l i z e d i f t h e argument i n
q u e s t i o n is s e l e c t e d o n l y by t h e v e r b . If t h e e x t e r n a l a rgu-
ment i s s e l e c t e d by t h e u n i t Verb + O b j e c t t h e n t h e e x t e r n a l
argument may n o t s u r f a c e a s an i n t e r n a l argument f o r obv ious
r e a s o n s : i n t e r n a l a rguments a r e arguments o f t h e Verb o n l y .
The id ioms l i k e c a s s e r l a croGte and f a i r e l e malade a r e a
case i n p o i n t . I n t h e s e c a s e s , t h e v e r b and t h e o b j e c t a s
a u n i t s e l e c t t h e e x t e r n a l argument v i a t h e VP node which
dominates them. The e x t e r n a l t h - r o l e i s n o t a s s i g n e d by A
c a s s e r and f a i r e b u t by c a s s e r l a c r o u t e and f a i r e l e malade.
( R e c a l l t h a t t h i s i s i n f a c t p o s s i b l e because t h e VP governs
t h e s u b j e c t p o s i t i o n and b e c a u s e t h e VP i s a th-marking
c a t e g o r y . C f . Chap te r I . ) Consequen t ly , i n t h e s e c a s e s
c a s s e r and f a i r e have no e x t e r n a l argument which can be
i n t e r n a l i z e d . 3
O t h e r c a s e s i n which t h e u n i t Verb + O b j e c t c o m p o s i t i o n a l l y
a s s i g n s a t h - r o l e t o t h e s u b j e c t canno t be p a s s i v i z e d e i t h e r .
Cons ide r t h e f o l l o w i n g example: ( p r o v i d e d by N . Chomsky)
( 4 8 ) a- John b r o k e s e v e r a l bones.
b- S e v e r a l bones were broken (by J o h n ) .
While a i s ambiguous between t h e a g e n t i v e and non-agen t ive
r e a d i n g , b i s n o t . b o n l y h a s t h e non-compos i t iona l r e a d i n g :
i . e . , t h e a g e n t i v e r e a d i n g . (Cf . t h e d i s c u s s i o n i n C h a p t e r
I ) . The i m p o s s i b i l i t y o f p a s s i v i z i n g q u i t t e r l a maison ( c f .
I V ( 1 0 ) ) m i g h t b e e x p l a i n e d i n a s i m i l a r way.
A s n o t e d by B u r z i o 1981, s u b j e c t c o n t r o l v e r b s may a p p e a r
i n t h e D a t i v e C a u s a t i v e c o n s t r u c t i o n b u t n o t i n t h e f a i r e - p a r
cons t r u c i t o n .
(49) a- F e c i a f f e r m a r e d i a v e r l o l e t t o a Mario.
*b- F e c i a f f e r m a r e d i a v e r l o l e t t o da Mario/@.
( I had Mario a f f i r m t h a t he had r e a d i t . )
Assuming t h a t v e r b s l i k e a f f e r m a r e a r e l e x i c a l l y marked a s
+SUBJ c o n t r o l v e r b s , t h e n t h e c o n t r a s t between ( 4 9 ) a and ( 4 9 ) b
f o l l o w s from t h e f a c t t h a t t h e d a t i v e N P i s i n s u b j e c t p o s i t i o n
and t h a t t h e da -phrase i s n o t . - The above f a c t s do n o t snow t h a t f a i r e i s n e v e r a bound
v e r b i n t h e Acc/Dat c o n s t r u c t i o n . But i t shows t h a t f a i r e
may f u n c t i o n s o l e l y a s an autonomous p r e d i c a t e i n t h e Acc/Dat
c o n s t r u c t i o n . T h a t t h i s i s s o i s f u r t h e r i n d i c a t e d by t h e
d i s t r i b u t i o n o f c l i t i c s . I n t h e Acc/Dat C a u s a t i v e s , c l i t i c s
may a p p e a r o n t h e c a u s a t i v e v e r b b u t t h e y may a l s o a p p e a r
on t h e embedded v e r b .
( 5 0 ) a- Mar i e l e l u i a f a i t a c h e t e r .
(Mary i t - t o him made buy . / 'Mary made him buy i t . ' )
b- Mar i e l ' a f a i t l ' a c h e t e r . - -
(51) a- aria se l a h i z o e s c r i b i r . --
( M a r i a him-i t -made w r i t e . / ' M a r i a made h im w r i t e i t . ' )
b- aria - l e h i z o e s c r i b i r l a . -
On t h e o t h e r h a n d , i n t h e f a i r e - p a r c o n s t r u c t i o n c l i t i c s may
n o t a p p e a r on t h e l o w e r v e r b . Cf . ( 3 0 ) a - i i , b - i i , c - i i
i n s e c t i o n I V . l a n d be low.
( 5 2 ) *a- Marie a f a i t - 1 - a c h e t e r ( p a r P i e r r e ) .
*b- aria h a r i e s c r i b i r l a - ( p o r P e d r o ) .
(The c o n t r a s t be tween ( 5 1 ) b a n d ( 5 2 ) b was n o t e d by S t r o z e r 1 9 7 6 . )
I V . 4 The S t r u c t u r e o f ~ c c / D a t C a u s a t i v e s
B e f o r e w e examine t h e s t r u c t u r e o f s e n t e n c e s l i k e
( 4 0 ) a n d ( 4 1 ) , i t i s i m p o r t a n t t o n o t i c e t h e e x i s t e n c e o f t h e
f o l l o w i n g s e n t e n c e s .
( 5 3 ) a- $a f a i t r i re .
(It makes l a u g h . / ' I t makes o n e l a u g h . ' )
b- L e s o i g n o n s , ?a f a i t p l e u r e r .
( T h e o n i o n s , it makes one c r y . )
c- . L e magic ien a f a i t p l e u v o i r .
(The magic ian made r a i n . / ' T h e magic ian made it r a i n . ' )
(54) a- On n'a j amais vu n e i g e r dans ce pays .
( W e n e v e r saw r a i n i n t h i s country . / 'We n e v e r saw
it r a i n i n t h i s c o u n t r y . ' )
b- Rara vez v: l l o r a r e n m i v i d a .
( R a r e l y d i d I s e e cry i n my l i f e . / ' R a r e l y d i d I
see somebody c r y i n my l i f e . ' )
c- Escuchan~os l l a m a r a l a p u e r t a .
( W e h e a r d c a l l on t h e door./ 'We h e a r d somebody
knock on t h e d o o r . ' )
The embedded s u b j e c t i n ( 5 3 ) a - b and ( 5 4 ) b-c i s a r b i t r a r y i n
r e f e r e n c e . I n ( 5 3 ) c and ( 5 4 ) a t h e embedded s u b j e c t " r e f e r s "
t o wha tever " o b j e c t " may f u n c t i o n a s s u b j e c t o f p l e u v o i r and
n e i g e r r e s p e c t i v e l y . I n any c a s e , t h e a r b i t r a r y i n t e r p r e t a -
t i o n o f t h e s u b j e c t i n s e n t e n c e s l i k e ( 5 3 ) a-b and ( 5 4 ) b - c
c l e a r l y i n d i c a t e s t h a t t h e embedded s u b j e c t must be a PRO:
i . e . , t h e embedded s u b j e c t p o s i t i o n i s f r e e and ungoverned.
Hence, t h e complement c l a u s e o f f a i r e i n ( 5 3 ) and o f v o i r / v e r -- and e s c u c h a r i n ( 5 4 ) must be an 5 , as i n t h e b i s e n t e n t i a l a n a l y -
s i s o f t h e f a i r e - p a r c o n s t r u c t i o n . C f . ( 2 5 ) and ( 2 6 ) i n I V . l .
I n c o n c l u s i o n , t h e c a u s a t i v e s and v e r b s of p e r c e p t i o n a r e
non-grammatical c o n t r o l v e r b s ( i - e . , t h e c o n t r o l l e r i s o u t s i d e
o f t h e s e n t e n c e ) when t h e y f u n c t i o n s o l e l y a s autonomous
p r e d i c a t e s and t a k e a n ?-complement. I n t h e case o f ( 5 3 ) a - b
and ( 5 4 ) b - c , t h e r a n g e o f P R O ' s a n t e c e d e n t i s t h e se t o f
an imate ( o r human) o b j e c t s . I n t h e case o f ( 5 3 ) c and (54)a,
PRO's a n t e c e d e n t i s a c o n s t a n t -- n o t because i t is d e i c t i c
b u t b e c a u s e o f t h e s e m a n t i c s of p l e u v o i r and n e i g e r r e s p e c -
t i v e l y .
A s f o r t h e Acc/Dat C a u s a t i v e c o n s t r u c t i o n s l i k e t h e o n e s
e x e m p l i f i e d i n ( 4 0 ) and ( 4 1 ) , a s w e l l a s t h e Acc/Dat c o n s t r u c -
t i o n s w i t h p e r c e p t i o n v e r b s l i k e t h e o n e s below:
( 5 5 ) a- E l l e a vu p a r t i r J e a n .
(She saw l e a v e J e a n . / ' S h e saw J e a n l e a v e . ' )
b- E l l e g c o u t a i t c h a n t e r son f r s r e .
(She l i s t e n e d s i n g h e r b r o t h e r . / ' S h e l i s t e n e d t o h e r
b r o t h e r s i n g . ' )
c- On a vu v o l e r l e l i v r e P i e r r e .
( W e saw s t e a l t h e book t o P e t e r . / ' W e saw P i e r r e
s t e a l t h e b o o k . ' ) s
d- J ' a i e n t e n d u d i r e c e l a a un de tes amis .
( I h e a r d s a y t h a t t o one o f y o u r f r i e n d s . / ' I h e a r d
one o f your f r i e n d s s a y t h a t . ' )
t h e b a s i c p r o p e r t i e s t h a t must be accoun ted f o r a r e :
1- The p o s t - v e r b a l p o s i t i o n o f t h e embedded s u b j e c t .
2- The p r e s e n c e ( i . e . , t h e case-marking) o f t h e l e x i c a l NP
i n t h e embedded s u b j e c t p o s i t i o n .
3- The p o s s i b i l i t y f o r c l i t i c s on t h e m a t r i x v e r b t o b e
l i n k e d w i t h arguments o f t h e embedded v e r b .
To a c c o u n t f o r t h e f i r s t p r o p e r t y t h e r e are two a l t e r -
n a t i v e s : e i t h e r some v e r b a l p r o j e c t i o n i s preposed o r t h e
s u b j e c t i s pos t -posed . W e w i l l assume t h e f o n n e r h y p o t h e s i s
f o r r e a s o n s t h a t w i l l soon become e v i d e n t . To what p o s i t i o n
i s t h e v e r b a l p r o j e c t i o n p reposed? T h i s b r i n g s u s t o t h e
second p r o p e r t y .
R e c a l l t h a t f o r a p o s i t i o n t o be o c c u p i e d by a l e x i c a l
N P i t must be a case-marked p o s i t i o n : i . e . , a l e x i c a l NP
must be case-marked. S i n c e t h e r e is no nomina t ive c a s e i n
i n f i n i t i v a l s , t h e embedded s u b j e c t must be case-marked by t h e
c a u s a t i v e o r p e r c e p t i o n v e r b i n t h e m a t r i x c l a u s e . R e c a l l
moreover t h a t government i s a n e c e s s a r y c o n d i t i o n f o r "non-
s t r u c t u r a l " c a s e - a s s i g n m e n t . Consequen t ly , t h e embedded
c l a u s e i n t h e Acc/Dat c o n s t r u c t i o n must be a non-maximal
clause. L e t u s t h e n assume t h a t u n l i k e r a i s i n g v e r b s ( c f .
C h a p t e r 111, t h e c a u s a t i v e s f a i r e , l a i s s e r and t h e v e r b s o f
p e r c e p t i o n v o i r , e n t e n d r e , .... a r e o p t i o n a l : -de le t ion v e r b s .
These v e r b s a s s i g n e i t h e r a c c u s a t i v e o r d a t i v e case t o t h e
embedded s u b j e c t , which e x p l a i n s t h e p r e s e n c e of a l e x i c a l
NP i n t h i s p o s i t i o n . See s e c t i o n I V . 5 f o r f u r t h e r d i s c u s s i o n
on t h e c a s e - a s s i g n i n g p r o p e r t i e s o f t h e s e v e r b s .
Given t h a t S - d e l e t i o n a p p l i e s i n t h e Acc/Dat c o n s t r u c t i o n ,
t h e r e i s b u t one p o s s i b l e l a n d i n g s i t e f o r t h e p reposed v e r b a l
p r o j e c t i o n c o m p a t i b l e w i t h t h e P r o j e c t i o n P r i n c i p l e : namely
a d j u n c t i o n t o S . I n e f f e c t , t h e a l t e r n a t i v e p o s s i b i l i t y which
i s movement i n t o t h e m a t r i x VP i s r u l e d o u t by t h e P r o j e c t i o n
P r i n c i p l e . C f . f o o t n o t e 3 i n C h a p t e r 111.
A s f o r t h e t h i r d p r o p e r t y , r e c a l l t h a t t h e C o n d i t i o n on
I d e n t i f i c a t i o n o f p r o ( C f . I1 (128) , r e p e a t e d i n P a r t I o f
this c h a p t e r ) r e q u i r e s some k i n d o f " c l o s e n e s s " between t h e
c l i t i c ( i . e . , " t h e i d e n t i f i e r " ) and t h e co indexed p o s i t i o n
i l . , " t h e i d e n t i f i e d p o s i t i o n " ) . The " c l o s e n e s s " r e l a t i o n
r e q u i r e d between t h e c l i t i c and t h e co indexed p o s i t i o n i s a
" c h a i n - l i n k i n g " r e l a t i o n where e i t h e r
1- c 1 . - V governs t h e i d e n t i f i e d p o s i t i o n i o r , -1- -
2- c l -V governs t h e t n - p o s i t i o n i n a c h i a n i. And t h e -i-
l e x i c a l head i n t h e c h a i n j governs i . - The " l i n k i n g " i s d i r e c t i n 1- and i n d i r e c t i n 2- .
Now suppose t h a t t h e VP i s p reposed i n t h e s t r u c t u r e s under
d i s c u s s i o n .
I n t h i s c o n f i g u r a t i o n , t h e p o s i t i o n i i s n o t c o r r e c t l y i d e n t i - -
f i e d . The r e l a t i o n between t h e c l i t i c and t h e p o s i t i o n i - d o e s n o t fall under any of t h e two c a s e s d i s c u s s e d above. The
o n l y way i n which t h e p o s i t i o n i i n ( 5 6 ) would be c o r r e c t l y . - -
i d e n t i f i e d i s i f t h e p reposed v e r b a l p r o j e c t i o n i s non-maximal.
c 1 . - V would t h e n govern t h e p o s i t i o n i . L e t us t h e n assume -1- - -
t h a t t h e r e i s an i n t e r m e d i a t e V which c o n t a i n s a l l and o n l y -. -
t h e o b l i g a t o r y arugments of t h e v e r b s . The o p t i o n a l a rguments - o f t h e v e r b o r t h e arguments t h a t a r e added t o t h e v e r b a r e - - -
i n s e r t e d under t h e VP. And i t i s V o r V which i s a d j o i n e d t o -
t h e l e f t o f S i n t h e Acc/Dat c o n s t r u c t i o n s . - - -
The Acc/Dat c o n s t r u c t i o n s t h e n have t h e f o l l o w i n g s t r u c t u r e s :
P i e r r e
t r a v a i l l e r NP INFL VP
Marie
The n e x t two q u e s t i o n s t h a t a r i s e a r e :
1- Why is t h e r e p r e p o s i n g o f a v e r b a l p r o j e c t i o n i n t h e
non-maximal c l a u s a l complement o f c a u s a t i v e s and v e r b s
of p e r c e p t i o n ?
2- Why p r e p o s i n g o f a non-maximal p r o j e c t i o n ?
The two q u e s t i o n s a r e undoubtedly r e l a t e d .
A s f o r t h e f i r s t q u e s t i o n , w e s u g g e s t t h e f o l l o w i n g
answer . There i s p r e p o s i n g o f a v e r b a l p r o j e c t i o n i n t h e
c l a u s a l complement o f c a u s a t i v e s and v e r b s o f p e r c e p t i o n
because t h i s c l a s s o f v e r b s may s e l e c t a v e r b a l complement.
B e f o r e w e e l a b o r a t e on t h i s p r o p o s a l , l e t u s t u r n t o E n g l i s h
i n o r d e r t o s e e i t s p l a u s i b i l i t y .
Cons ide r t h e fol l .owing c o n s t r u c t i o n s known a s N I (Naked
I n f i n i t i v e s ) .
( 5 9 ) a - John made P e t e r l e a v e e a r l y .
b- John l e t Mary smoke c i g a r s .
c- John saw your b r o t h e r s t e a l t h e c a r .
d- I f e l t Susan h i t me w i t h a s t o n e .
A p r i o r i , t h e r e a r e two p l a u s i b l e s t r u c t u r e s f o r t h e s e n t e n c e s
i n ( 5 9 ) a - d : e i t h e r ( 6 0 ) o r ( 6 1 ) .
( 6 0 ) a- John [ made [ P e t e r ] [ P R O l e a v e e a r l y ] 1 VP NP
b- John [ l e t [ Mary] [ - PRO smoke c i g a r s ] 1 VP N P S
c- John [ saw [ y o u r b r o t h e r 1 [ PRO s t e a l t h e c a r ] 1 - VP NP S
d- I [ f e l t [ Mary1 [ - PRO h i t me] J VP NP S
(61) a- John [ made [ P e t e r l e a v e e a r l y ] ] w d
b- John [ l e t [ Mary smoke c i g a r s ] ] V P o(
c- John [ s a w [ y o u r b r o t h e r s t e a l t h e c a r ] 1 VP c4
d- I [ f e l t [ Mary h i t me] 1 VP o(
= c l a u s e i n ( 6 1 ) a - d .
As n o t e d by Gee 1976, t h e second NP i n ( 5 9 ) i s n o t s e l e c t e d
by make, l e t , see, f e e l . I t i s s e l e c t e d by t h e v e r b i n t h e - - - - embedded c l a u s e a s shown by t h e f o l l o w i n g f a c t s .
(62) a- W e s a w - it r a i n .
b- I ' v e n e v e r s e e n t h e r e be so many c o m p l a i n t s from
s t u d e n t s b e f o r e .
( 6 3 ) a- T h i s makes it seem t h a t "make" h a s a doub le sub- -
c a t e g o r i z a t i o n frame.
b- They n e v e r make / l e t i t seem obv ious t h a t t h e govern- -
ment h a s no p u b l i c s u p p o r t .
Hence, we conc lude t n a t t h e s t r u c t u r e o f ( 5 9 ) i s ( 6 1 ) . 4
Note moreover t h a t t h e c l a u s a l complement i n (61) must
be non-maximal i n o r d e r f o r t h e embedded s u b j e c t t o r e c e i v e
c a s e from t h e m a t r i x v e r b . I n e f f e c t , a n o t h e r i m p o r t a n t
p r o p e r t y o f t h i s c o n s t r u c t i o n i s t h a t t h e c l a u s a l i n f i n i t i v a l
complement l a c k s t h e i n f i n i t i v e i n f l e c t i o n a l e l e m e n t , t o . - T h i s s u g g e s t s t h a t t h e c l a u s a l complement i n t h i s c o n s t r u c -
t i o n i s n o t a p r o j e c t i o n o f I N F L . I t must t h e n b e a p r o j e c -
t i o n o f t h e v e r b j u s t a s i n John c o n s i d e r s [ P e t e r f o o l i s h ] A
DC i s an A d j e c t i v a l p r o j e c t i o n . T h a t i s , c a u s a t i v e and
p e r c e p t i o n v e r b s may s e l e c t a v e r b a l c l a u s e j u s t a s many
e p i s t e m i c v e r b s l i k e c o n s i d e r may s e l e c t an A d j e c t i v a l c l a u s e .
C f . S t o w e l l 1981, Chomsky 1981. These c o n s t r u c t i o n s a r e
r e f e r r e d t o a s " s m a l l c l a u s e s " (Cf . f o o t n o t e 1 3 i n Chap te r 11).
(64) a- C a u s a t i v e / P e r c e p t i o n v e r b s : [- NP [ V . . . I 1 w VP
b- E p i s t e m i c v e r b s : [ - N P [ A . . . I 1 AP AP
Hence, t h e c a u s a t i v e and p e r c e p t i o n v e r b s i n (59) a-d govern
and a s s i g n a c c u s a t i v e c a s e t o t h e s u b j e c t o f i t s complement
c l a u s e .
The N I - c o n s t r u c t i o n h a s v a r i o u s c u r i o u s s e m a n t i c p r o p e r -
t i e s d i s c u s s e d , among o t h e r s , by Gee 1976 and Higginbotham
1981. W e s h a l l n o t go i n t o t h i s complex and i n t e r e s t i n g
domain. W e s h a l l s imply q u o t e G e e 1 9 7 6 who s a y s :
" S e m a n t i c a l l y , I b e l i e v e N I - c o n s t r u c t i o n s have a p a r t i c u -
l a r l y c l o s e r e l a t i o n s h i p between t h e VP i n t h e complement
and t h e h i g h e r p e r c e p t i o n v e r b ( a n a l m o s t " d i r e c t o b j e c t M -
like r e l a t i o n s h i p ) . I n t h e way i n which ' John f e l t Mary1
means t h a t what John f e l t was Mary, ' J o h n f e l t Mary h i t
him1 means t h a t what John f e l t was t h e h i t t i n g o f Mary
on him. I f [ t h i s c o n s t r u c t i o n ] h a s c o m p l e m e n t i z e r l e s s
o r b a r e Ss o r h a s z e r o complement izer S s , t h e n t h e r e
may be something o f a l a c k o f c o r r e s p o n d e n c e between
s y n t a x and s e m a n t i c s h e r e . . . ." ( p . 4 7 7 ) .
I f t h e s e m a n t i c s o f t h e N I - c o n s t r u c t i o n can be l i n k e d -- a t
l e a s t p a r t l y -- t o t h e non-maximal v e r b a l c l a u s e s t a t u s o f
t h e complement, t h e n w e c o u l d conc lude t h a t t h e r e i s i n f a c t
a cor respondence between s y n t a x and s e m a n t i c s i n t h i s c o n s t r u c -
t i o n . F o r t h e p r e s e n t though w e have no s u g g e s t i o n t o make
a s t o t h e n a t u r e o f t h i s c o r r e s p o n d e n c e .
Turn ing back t o f a i r e , v o i r . . . , j u s t how d o e s p r e p o s i n g
of a v e r b a l p r o j e c t i o n s a t i s f y t h e s e v e r b s ' l e x i c a l r e q u i r e -
ment: i . e . , s e l e c t i o n of a non-maximal v e r b a l c l a u s e ?
Although S i s t h e p r o j e c t i o n o f INFL, t h e c a t e g o r y a d j o i n e d
t o S can be i n t e r p r e t e d a s t h e head o f S by t h e m a t r i x p r e d i -
c a t e i f such c a t e g o r y f u l f i l s t h e m a t r i x p r e d i c a t e ' s c a t e g o r i a l
s e l e c t i o n r e q u i r e m e n t . I n e f f e c t , i n ( 5 7 ) and ( 5 8 ) t h e c l a u s a l
complement i s i n t e r p r e t e d a s t h e p r o j e c t i o n of V w i t h r e s p e c t
t o " f a i r e " . How can S f u n c t i o n b o t h a s t h e p r o j e c t i o n o f - I N F L and a s t h e p r o j e c t i o n of t h e c a t e g o r y a d j o i n e d t o S?
W e would l i k e t o s u g g e s t t h a t t h i s i s i n f a c t p o s s i b l e
because t h e node S/S i s d i f f e r e n t from ITn, N ~ , A", pn i n t h a t
it i s n o t c a t e g o r i a l l y s p e c i f i e d -- p r o b a b l y due t o t h e f a c t
t h a t INFL i s n o t c a t e g o r i a l l y s p e c i f i e d . I n e f f e c t , INFL
may be c o n s i d e r e d t o be a c o l l e c t i o n o f p e r s o n , number, g e n d e r ,
t e n s e f e a t u r e s b u t which does n o t i n c l u d e c a t e g o r i a l f e a t u r e s
+ of t h e t y p e -N, & v . ~ The h y p o t h e s i s t h a t t h e c a t e g o r y a d j o i n e d
t o S can f u n c t i o n a s t h e head o f S w i t h r e s p e c t t o t h e m a t r i x
p r e d i c a t e i s s u g g e s t e d i n Z u b i z a r r e t a 1 9 8 1 t o a c c o u n t f o r t h e
d i f f e r e n c e i n b e h a v i o r between f a c t i v e s and n o n - f a c t i v e s w i t h
r e s p e c t t o w h - e x t r a c t i o n . W e b r i e f l y review t h e argument
below.
A s n o t e d by Kiparsky & Kiparsky 1971, f a c t i v e v e r b s t a k e
nominal complements , n o n - f a c t i v e s d o n ' t a s s u g g e s t e d by
contrast,^ l i k e t h e f o l l o w i n g :
( 6 5 ) a- W e r e g r e t J o h n ' s b e i n g ill.
*b- W e b e l i e v e J o h n ' s b e i n g ill.
These two c l a s s e s o f v e r b s a l s o d i f f e r w i t h r e s p e c t t o wh-
e x t r a c t i o n . Rouveret 1980 and Kiparsky & Kiparsky n o t i c e d
t h a t w h i l e w h - e x t r a c t i o n i s p o s s i b l e from t h e s u b j e c t p o s i t i o n
o f n o n - f a c t i v e complements, it i s n o t p o s s i b l e from t h e
s u b j e c t p o s i t i o n o f f a c t i v e complements.
( 6 6 ) a- Q u i c r o i s - t u q u i a f a i t c e b r u i t ?
(Who do you b e l i e v e made t h a t n o i s e ? )
*b- Q u i r e g r e t t e s - t u q u i c h 2 t i e les e n f a n t s ?
(Who do you r e g r e t p u n i s h e d t h e c h i l d r e n ? )
Although f a c t i v e v e r b s a r e n o t a s good b r i d g e v e r b s a s non-
f a c t i v e v e r b s , s t i l l e x t r a c t i o n from o b j e c t p o s i t i o n i s p o s s i -
ble w i t h t h e s e v e r b s . For example , ( 6 7 ) i s s i g n i f i c a n t l y
b e t t e r t h a n ( 6 6 ) b .
( 6 7 ) ? Q u i r e g r e t t e s - t u que Marie c h $ t i e ?
(Who do you r e g r e t t h a t Mary p u n i s h e d ? )
S i m i l a r l y , S t y l i s t i c - I n v e r s i o n i n French i s p o s s i b l e i n t h e
complement o f n o n - f a c t i v e v e r b s b u t it i s n o t p o s s i b l e i n t h e
complement o f f a c t i v e v e r b s a s shown i n ( 6 8 ) c .
( 6 8 ) a- V o i c i l e l i v r e que P i e r r e c r o i t / r e g r e t t e que l e s
6l;ves de le're anne'e o n t / a i e n t l u .
( T h i s i s t h e book t h a t P e t e r b e l i e v e s / r e g r e t s t h a t
t h e 1st y e a r s t u d e n t s r e a d . )
b- V o i c i l e l i v r e que P i e r r e c r o i t q u ' o n t l u les
g l k v e s de l ; re annge.
*c- Voic i l e l i v r e que P i e r r e r e g r e t t e q u ' a i e n t l u
les g l s v e s de lGre annee .
s t y l i s t i c - I n v e r s i o n -- s t u d i e d by Kayne & P o l l o c k 1978 -- i s
a r u l e which o p t i o n a l l y p o s t - p o s e s t h e s u b j e c t . I t i s
t r i g g e r e d by a wh e l e m e n t i n Comp i n r e l a t i v e , q u e s t i o n . c l e f t , -
and compara t ive c o n s t r u c t i o n s . The c o n t r a s t between ( 6 8 ) b
and ( 6 8 ) c s u g g e s t s t h a t wh-movement i n t o t h e Comp o f a f a c t i v e
v e r b i s n o t p o s s i b l e . A s remarked by Rouvere t , i f t h e r e i s
no wh-movement i n t o t h e Comp o f f a c t i v e complements, t h e
c o n t r a s t between s u b j e c t and o b j e c t e x t r a c t i o n r e d u c e s t o
t h e * t h a t - t phenomenon.
(69) *a- Who do you b e l i e v e t h a t r e a d t h e book?
b- Who do you b e l i e v e r e a d t h e book?
c- Which book do you b e l i e v e t h a t he r e a d ?
I n e f f e c t , a wh- t race i n s u b j e c t p o s i t i o n -- u n l i k e a wh- t race
i n o b j e c t p o s i t i o n -- must be bound by a n a n t e c e d e n t i n Comp.
Cf. t h e d i s c u s s i o n i n f o o t n o t e (12) i n C h a p t e r 11. The
embedded s u b j e c t i n ( 6 6 ) a moves i n t o t h e m a t r i x Comp t r i g g e r i n g
t h e que + qui r u l e . Q u i f u n c t i o n s a s a n a n t e c e d e n t f o r t h e - wh-t race i n s u b j e c t p o s i t i o n . C f . P e s e t s k y 1979. On t h e
o t h e r hand, s i n c e movement i n t o t h e Comp o f a f a c t i v e v e r b is
n o t p o s s i b l e , t h e embedded s u b j e c t i n ( 6 6 ) b must move d i r e c t l y
i n t o t h e m a t r i x Comp. No que -- c& r u l e a p p l i e s . The -
wh- t race i n s u b j e c t i s n o t l o c a l l y bound a s it must
be. Hence, ( 6 6 ) b i s o u t f o r t h e same r e a s o n t h a t ( 6 9 ) a i s .
The same argument can be c o n s t r u c t e d f o r P o r t u g u e s e a s shown
i n Z u b i z a r r e t a 1981. S i m i l a r l y , i n E n g l i s h n o n - f a c t i v e s do
n o t r e q u i r e t h e p r e s e n c e o f t h e complement izer t h a t i n t h e
Comp of t h e i r complement, t h u s a l l o w i n g f o r a wh- t race i n
Comp t o b i n d t h e s u b j e c t p o s i t i o n . Cf . ( 6 9 ) b . F a c t i v e s ,
on t h e o t h e r hand, r e q u i r e t h e p r e s e n c e o f t h a t i n t h e i r
complement ' s Comp. Cf . *Who do you r e g r e t r e a d t h e book?
The q u e s t i o n i s t h e n : why i s movement i n t o t h e Comp
of t h e complement o f f a c t i v e v e r b s n o t p o s s i b l e ? R e c a l l t h a t
t h e d i f f e r e n c e between f a c t i v e s and n o n - f a c t i v e s i s t h a t t h e
fo rmer b u t n o t t h e l a t t e r s e l e c t a nominal complement. How
i s t h i s c a t e g o r i a l s e l e c t i o n r e q u i r e m e n t f u l f i l l e d i n t h e c a s e
of c l a u s a l complements? I f 5 i s n o t s p e c i f i e d f o r c a t e g o r i a l
f e a t u r e s , t h e o n l y way t h a t i t can be f u l f i l l e d i s by s e l e c t i n g
a complement w i t h a nominal complement izer which f u n c t i o n s a s
t h e c l a u s a l head w i t h r e s p e c t t o t h e m a t r i x f a c t i v e p r e d i c a t e .
W e s h a l l t h e n assume t h a t t h e complement izer t h a t / = i s
nomina l , a n o t i m p l a u s i b l e h y p o t h e s i s s i n c e i n some l a n g u a g e s
l i k e E n g l i s h ( a s n o t e d by P e s e t s k y 19791, S p a n i s h , and P o r t u -
guese it has t h e same morpho log ica l form a s t h e d e m o n s t r a t i v e
pronoun o r t h e wh-pronoun. C f . I r e g r e t t h a t ./ ~ u i g n v i o qu6?
(Who saw w h a t ? ) . Fur the rmore , f a c t i v e complements may be
p receded by a n a r t i c l e i n l a n g u a g e s l i k e S p a n i s h and P o r t u -
g u e s e . C f . Pedro lamenta o t e rem-se l anqado bombas. ( P e t e r
r e g r e t s d e t . have ( i n f l e c t e d i n f . ) thrown bombs.) The o b l i -
g a t o r y p r e s e n c e o f t h e complement izer t h a t i n t h e complement 's
Comp o f f a c t i v e v e r b s i n E n g l i s h may t h e n be r e l a t e d t o t h e
f a c t t h a t t h e s e v e r b s s e l e c t a nominal complement. On t h e
o t h e r hand , r e c a l l t h a t n o n - f a c t i v e v e r b s do n o t s e l e c t nominal
complements. Hence, t h e i r complement ' s Comp w i l l n o t be
i n t e r p r e t e d a s t h e head. I n t h e s e c a s e s o n l y I N F L w i l l func-
t i o n a s head.
But how i s t h e i m p o s s i b i l i t y of wh-movement i n t o t h e
Comp o f f a c t i v e complements i n French r e l a t e d t o t h e h e a d - s t a t u s
of Comp? Recall t h a t w e have assumed t h a t t h e r e f e r e n t i a l
index o f a c a t e g o r y p e r c o l a t e s down t o t h e head o f t h e c a t e g o r y
(cf. 11.4 .3 .1 .1 We may assume f u r t h e r m o r e t h a t what c o u n t s
a s head of a c a t e g o r y f o r t h e p u r p o s e o f i n d e x - p e r c o l a t i o n i s
what c o u n t s a s head f o r t h e p r e d i c a t e which selects t h e c a t e -
gory i n q u e s t i o n : namely Comp i n t h e c a s e o f t h e complement
of a f a c t i v e v e r b and INFL i n t h e c a s e of t h e complement o f
a n o n - f a c t i v e v e r b . But s i n c e Comp and INFL a r e n e i t h e r
r e f e r e n t i a l n o r a rguments , l e t u s assume t h a t i n t h i s c a s e t h e
r e f e r e n t i a l i n d e x p e r c o l a t e s down t o t h e head , o r what is
i n t e r p r e t e d a s h e a d , a s a s u p e r - i n d e x and n o t a s a sub- index.
( S u b - i n d i c e s a r e r e f e r e n t i a l i n d i c e s , t h e y i d e n t i f y arguments .
S u p e r - i n d i c e s i d e n t i f y p o s i t i o n s t h a t a r e " r e l a t e d " i n some
way t o a rguments . ) Hence, a f a c t i v e complement h a s indexed-
s t r u c t u r e ( 7 0 ) a and a n o n - f a c t i v e complement h a s indexed-
s t r u c t u r e (70)b.
£ a c t i v e V s ,
Comp S
NP INFL
1. n o n - f a c t i v e V
Now c o n s i d e r movement i n t o t h e Comp o f a f a c t i v e complement.
The c a t e g o r y moved i n t o t h e Comp o f a s t r u c t u r e l i k e ( 7 0 ) a
w i l l i n h e r i t t h e i n d e x of Comp and f u r t h e r m o r e i t w i l l t r a n s -
m i t it t o i t s t r a c e . ( R e c a l l t h a t e v e r y e lement i n a c h a i n
s h a r e t h e i r f e a t u r e s and i n d i c e s . ) Hence, s e n t e n c e ( 6 6 ) b
w i l l have i n d e x e d - s t r u c t u r e ( 7 1 ) .
i (71) 1- a u i i t r e g r e t t e s - t u [ - q u i L eQ c h h t i e l e s e n f a n t s ] I I s s j j SO
Note t h a t ( 7 1 ) does n o t v i o l a t e t h e ~ h - c r i t e r i o n . Q u i and
i t s t r a c e s b e l o n g t o t h e t h - c h a i n 1. The i n d e x i i s n o t t h e -
r e f e r e n t i a l i n d e x o f &. Consequen t ly , q u i and i t s t r a c e s -
a r e n o t members o f t h - c h a i n i. On t h e o t h e r hand, t h e indexed- -
s t r u c t u r e i n ( 7 1 ) v i o l a t e s t h e i - w i t h i n - i C o n d i t i o n ( c f . 11.4.2
and f . n . 1 4 i n Chap te r I I ) , which we r e f o r m u l a t e as f o l l o w s :
( 7 2 ) * [ . .. d . . . I , where 3 and d bear t h e same i n d e x Y
u n l e s s d f u n c t i o n s as t h e head o f 3 .
I n c o n c l u s i o n , we have s u g g e s t e d t h a t c a u s a t i v e and
p e r c e p t i o n v e r b s may s e l e c t a non-maximal v e r b a l c l a u s e . I n
E n g l i s h , t h i s non-maximal c l a u s e i s a v e r b a l s m a l l - c l a u s e . I n
Romance, i t i s an S w i t h a non-maximal v e r b a l p r o j e c t i o n l e f t -
a d j o i n e d t o i t . J u s t a s COW i n ( 7 0 ) a f u n c t i o n s a s t h e head
o f t h e c l a u s a l complement w i t h r e s p e c t t o t h e f a c t i v e v e r b ,
t h e p reposed Verb f u n c t i o n s a s t h e head of t h e c l a u s a l complement
w i t h r e s p e c t t o t h e m a t r i x c a u s a t i v e o r p e r c e p t i o n v e r b i n t h e
Acc/Dat c o n s t r u c t i o n s . Note t h a t t h i s immedia te ly answers
t h e second q u e s t i o n : Why p r e p o s i n g o f a non-maximal v e r b a l
p r o j e c t i o n ? I f a maximal VP were p r e p o s e d , t h e Verb would
f u n c t i o n o n l y a s t h e head o f t h e VP and n o t a s t h e head o f
t h e c l a u s e . L ikewise , s u b j e c t - p o s t p o s i n g would n o t p u t t h e
verb i n t h e " scope o f " f a i r e / v o i r , whe the r it i s a d j o i n e d t o
VP or t o S .
ei v . . . . . .
N o t e t h a t t h e f a c t t h a t t h e c a t e g o r i a l s e l e c t i o n r e q u i r e -
ment i s f u l f i l l e d by p r e p o s i n g o f a v e r b a l . p r o j e c t i o n i n
Romance means t h a t c a t e g o r i a l s e l e c t i o n need n o t be f u l f i l l e d
a t D - S t r u c t u r e . I n t e r e s t i n g l y enough, P e s e t s k y 1982 a r g u e s
o n i n d e p e n d e n t g r o u n d s t h a t c a t e g o r i a l s e l e c t i o n need b e
f u l f i l l e d o n l y a t t h e l e v e l o f L o g i c a l Form, a n o t i m p l a u s i b l e
h y p o t h e s i s i f it i s i n f a c t t h e c a s e t h a t t h e c a t e g o r i a l t y p e
and t h e s e m a n t i c t y p e o f an a rgumen t are i n t i m a t e l y r e l a t e d ,
and s i n c e t h e c h a r a c t e r i z a t i o n o f s e m a n t i c t y p e s i n v o l v e s
n o t i o n s and c o n c e p t s t h a t n a t u r a l l y ' b e l o n g t o LF s u c h a s
p r o p o s i t i o n , t e r m , and p r o b a b l y o t h e r s y e t t o be u n d e r s t o o d .
Based o n t h e d i f f e r e n c e s be tween t h e " f a i r e - p a r " c o n s t r u c -
t i o n and t h e ~ c c / D a t c a u s a t i v e c o n s t r u c t i o n , B u r z i o 1 9 8 1
p r o p o s e d t h a t f a i r e h a s two s u b c a t e g o r i z a t i o n f r a m e s : - vp, - S. ( W e r e f e r t h e r e a d e r t o B u r z i o ' s work f o r d i s c u s s i o n . )
W e p r o p o s e d i n s t e a d t h a t f a i r e a l w a y s se lec ts a c l a u s e as
complement ( e i t h e r a " v e r b a l " S o r an 2) a s s u g g e s t e d by t h e
e n t a i l m e n t i n ( 2 4 ) a - b and t h a t t h e d i f f e r e n c e s be tween t h e
" f a i r e - p a r " c o n s t r u c t i o n and t h e Acc/Dat c a u s a t i v e i s due t o
t h e f a c t t h a t f a i r e may o p t i o n a l l y f u n c t i o n a s a s y n t a c t i c
a f f i x and a s su.ch it f u n c t i o n s a s an i n t r a n s i t i z e r .
F i n a l l y , n o t e t h e f o l l o w i n g 2 r o p e r t y o f c a u s a t i v e s :
r a i s i n g v e r b s may n o t be embedded u n d e r f a i r e / l a i s s e r .
(These f a c t s were n o t e d by Kayne 1 9 7 5 ) .
( 7 4 ) *a- Son e x p r e s s i o n p e i n & e f a i t se rnbler J e a n s o u f f r i r .
/... f a i t s o u f f r i r J e a n .
(His pained e x p r e s s i o n makes J e a n seem t o be
s u f f e r i n g . )
*b- Son e x p r e s s i o n pe inge f a i t p a r d h e J e a n g t re e n A
col$re./. . . . f a i t J e a n p a r a ? t r e e t r e e n c o l s r e .
( H i s pa ined e x p r e s s i o n makes J e a n a p p e a r t o b e a n g r y . )
*c- L1aveu d e J e a n a f a i t s l a v L r e r s l y c o n n a z t r e P a u l .
/. . . . f a i t P a u l s l a v & r e r s ' y connaTt re .
( J e a n ' s c o n f e s s i o n made P a u l t u r n o u t t o know a l l
a b o u t i t . ) *d- Sa f o r m a t i o n m u s i c a l e l a f a i t se t r o u v e r a i m e r l ' o p e r a .
(Her m u s i c a l t r a i n i n g makes h e r e happen t o l i k e t h e
o p e r a . )
To a c c o u n t f o r t h e f a c t s i n ( 7 4 ) Burz io 1981 p roposed t h a t
t h e r u l e of VP-preposing i n c a u s a t i v e s a t t a c h t h e embedded VP
t o t h e m a t r i x VP ( i n v i o l a t i o n o f t h e P r o j e c t i o n P r i n c i p l e ) :
The p r e p o s e d VP c o n t a i n s t h e t r a c e o f t h e r a i s e d s u b j e c t b u t
t h i s t r a c e i s n o t c-commanded by i t s a n t e c e d e n t i n embedded
s u b j e c t p o s i t i o n . Consequent ly , t h e s e n t e n c e i s r u l e d o u t . 7
T h i s e x p l a n a t i o n c a n n o t be r i g h t . F i r s t , t h e p r e p o s e d
VP may c o n t a i n l e x i c a l anaphors t h a t a r e p r o p e r l y bound by an
a n t e c e d e n t i n t h e embedded s u b j e c t p o s i t i o n . (Examples ( 7 6 ) a - b
a r e from B u r z i o 1 9 8 1 ) .
( 7 6 ) ( ? ) a - Con l e minacce f e c e r o a c c u s a r e se s t e s s o a l l ' i
i m p u t a t o . i
(With t h r e a t s t h e y made t h e d e f e n d a n t a c c u s e
h i m s e l f . )
( ? ) b - Fa ranno i n f o r m a r e il p r o p r i o a v v o c a t o a t u t t i i
g l i i m p u t a t i . i
(They w i l l have e v e r y d e f e n d a n t i n f o r m h i s own
l a w y e r . )
( ? ) c - P i e r o h a f a t t o l e g g e r e l ' u n o i l i b r i d e l l l a l t r o i
a Mario e F r a n c e s c o . i
( P i e r o made Mario a n d F r a n c e s c o r e a d e a c h o t h e r ' s
books . )
Second, even i f s u b j e c t - t o - s u b j e c t r a i s i n g d o e s n o t a p p l y t h e
s e n t e n c e s a r e ungrammat ica l ( a s n o t e d by Kayne 1 9 7 5 ) .
( 7 7 ) *a- Ce r a p p o r t f a i t s e m b l e r que l a s i t u a t i o n e s t tr$s
mauvaise . (The r e p o r t makes i t seem t h a t t h e s i t u a t i o n i s
v e r y bad . ) A I
*b- Le j o u r n a l f a i t p a r a i t r e q u ' o n va augmente r l e me t ro .
(The newspaper makes i t a p p e a r t h a t t h e y ' r e g o i n g
t o raise t h e p r i c e o f t h e m e t r o . )
*c- L ' a v e u de J e a n a f a i t s l a v $ r e r q u e P a u l g t a i t
i n n o c e n t .
( J e a n ' s c o n f e s s i o n made it t u r n o u t t h a t P a u l was
i n n o c e n t . )
*d- C e t t e n o u v e l l e f a i t se t r o u v e r que t u as t o r t .
(Tha t b i t o f news makes it s o happen t h a t you a r e
wrong. )
I t i s i n t e r e s t i n g t o n o t e t h a t s e n t e n c e s w i t h p a r a ? t r e
when i n t e r p r e t e d i n t h e s e n s e o f a p p a r a r t r e ( a p p e a r ) and n o t
i n t h e s e n s e o f sernbler (seem) become much more a c c e p t a b l e .
(78 ) ? C e p u l l f a i t para: t re Marie p l u s g r o s s e q u ' e l l e
ne l ' e s t .
( T h a t s w e a t e r makes Mary a p p e a r f a t t e r t h a n s h e i s . )
The same remark h o l d s f o r g t r e .
( 7 9 ) *a- Ce la a f a i t Gtre son f i l s malade.
( T h a t made h i s son be s i c k . )
*b- I1 a l a i s s ; &re son f i l s malheureux.
( H e l e t h i s son be unhappy.)
( 7 9 ) a-b are u n a c c e p t a b l e under t h e r e a d i n g where g t re means
be. B u t when t h e meaning of d e v e n i r (become) i s imposed on - gt re t h e s e n t e n c e becomes more a c c e p t a b l e . W e hence t e n d t o
t h i n k t h a t t h e u n g r a m m a t i c a l i t y o f ( 7 4 ) and ( 7 7 ) is due t o
s e m a n t i c r e a s o n s . Vaguely s p e a k i n g , c a u s a t i v e s i n t h e s e
s t r u c t u r e s seem t o s e l e c t v e r b s t h a t d e n o t e change o f s t a t e .
Hence, "pure1 ' p r e d i c a t i v e o r s t a t i v e v e r b s a r e r u l e d o u t . 8
'1v.5 Some remarks and specu la t ions on case , c l i t i c s ,
and o r d e r i n the ACC/DAT Causat ives .
Consider t h e fol lowing sentences.
* ( 8 0 ) a- Marie a f a i t manger l a t a r t e a l ' e n f a n t .
(Mary had e a t t h e p i e t o t h e child./ 'Mary had t h e
c h i l d e a t t h e p i e . ' )
b- aria hizo comer l a t a r t a a 1 niEo.
The embedded s u b j e c t i s case-marked d a t i v e and t h e embedded
o b j e c t i s case-marked accusa t ive by f a i r e / h a c e r . A s we have
seen , both t h e embedded s u b j e c t and o b j e c t may c l i t i c i z e onto
t h e matr ix causa t ive verb.
(81) a- Marie l e l u i a f a i t manger. -- ( O B J ) acc- (SUBJ) d a t
b- ~ a r z a s e l a hizo comer. --
( S U B J ) da t - ( O B J ) acc
The s u b j e c t may no t c l i t i c i z e onto t h e lower verb.
( 8 2 ) *a- Marie a f a i t l u i manger l a t a r t e . --
*b- ~ a r i a hizo comerle l a t o r t a . -
I f we i n t e r p r e t t h e not ion "maximal p ro jec t ion" i n a r e l a t i v e
f a sh ion , t h e ungrammaticality of ( 8 2 ) a-b follows from t h e
f e e t t h a t t h e lower v e r b does n o t g o v e r n t h e s u b j e c t p o s i t i o n
in t h e s t r u c t u r e s ( 5 7 ) and ( 5 8 ) . W e r e p e a t t h e d e f i n i t i o n of
government g i v e n i n I ( 8 ) below.
X (8) I n t h e c o n f i g u r a t i o n :
(li) where @ i s a maximal p r o j e c t i o n , @ domina tes o(
if and o n l y i f @ dominates Y . d governs Y .
"maximal" must be u n d e r s t o o d i n t h e f o l l o w i n g way: @ is
maximal i n c o n f i g u r a t i o n C i f @ h a s no f u r t h e r p r o j e c t i o n
w i t h i n C ( i . e . , t h e r e i s no c a t e g o r y o f t h e same t y p e as @
which immedia te ly dominate @ I . According t o t h i s d e f i n i t i o n
of "maximal", t h e p reposed vn i n t h e Acc/Dat c o n s t r u c t i o n
f u n c t i o n s a s a maximal p r o j e c t i o n . Consequen t ly , t h e p reposed
verb d o e s n o t govern t h e s u b j e c t p o s i t i o n i n t h e embedded
e l a u s e , (82)a-b t h e n v i o l a t e t h e Condi t ion on t h e I d e n t i f i -
c a t i o n o f p r o .
O n t h e o t h e r hand, t h e o b j e c t may c l i t i c i z e o n t o t h e
lower v e r b :
(83 ) a- Marie l ' a f a i t l e manger. - - b- Maria l o h i z o comer la . - -
I n these s e n t e n c e s , t h e embedded s u b j e c t i s i n t h e a c c u s a t i v e
case. Note t h o u g h t h a t t h e r e a s o n f o r t h i s c a n n o t b e t h a t
V"-prepos ing h a s n o t a p p l i e d . I n e f f e c t , V"-preposing i s
o b l i g a t o r y w i t h f a i r e and w i t h h a c e r i n t h e d i a l e c t u n d e r
d i s c u s s i o n .
( 8 4 ) *a- Marie a f a i t l ' e n f a n t l e manger .
*b- ~ a r f a h i z o a1 niKo c o m e r l o .
I n S p a n i s h , t h e c o u n t e r p a r t o f ( 8 3 ) b where t h e s u b j e c t i s
n o t " c l i t i c i z e d " i s g r a m m a t i c a l . Bu t t h i s i s n o t so i n F r e n c h .
\
( 8 5 ) *a- Marie a f a i t - l e manger a l ' e n f a n t .
(OBJ) acc. (SUi3J) d a t . b- aria h i z o c o m e r l a - a 1 n i E o .
( O B J ) a c c - (SUBJ) d a t
T h e r e i s a n o t h e r c o n t r a s t be tween F r e n c h and S p a n i s h which
w e t h i n k i s r e l a t e d t o t h e c o n t r a s t i n ( 8 5 ) . I n S p a n i s h b u t
n o t i n F r e n c h , t h e c l i t i c i z e d s u b j e c t i n ( 8 3 ) may b e d a t i v e .
( 8 6 ) *a- Mar i e l u i a f a i t l e manger . - - *b- Mar i e l e h i z o c o m e r l a . - -
N o t e f u r t h e r m o r e t h a t i n S p a n i s h , b u t n o t i n F r e n c h , t h e
s u b j e c t o f an i n t r a n s i t i v e v e r b i n t h e c a u s a t i v e c o n s t r u c t i o n
may be case -marked a c c u s a t i v e o r d a t i v e .
(87) a - ( i ) Pedro l o h i z o v e n i r . - ( P e t e r him ( a c c ) -made come . / ' P e t e r made him
come. ' )
(ii) Pedro l e h i z o v e n i r . - ( d a t )
b- (i) P i e ' r r e l ' a f a i t v e n i r . -
(act)
* (ii) P i e r r e - l u i a f a i t v e n i r .
( d a t )
From t h e c o n t r a s t between ( 8 7 ) a - ( i) - (ii) and (87) b- (i) - (ii)
and between ( 8 3 ) a / ( 8 6 ) a and ( 8 3 ) b / ( 8 6 ) b we conc lude t h a t f a i r e ,
u n l i k e h a c e r , g i v e s p r i o r i t y t o t h e Acc c a s e . Hacer a s s i g n s
i n d i f f e r e n t l y e i t h e r A c c o r Dat c a s e . A s n o t e d by S t r o z e r
1 9 7 6 , t h i s i s n o t a un ique p r o p e r t y o f h a c e r b u t i t is i n
g e n e r a l a p r o p e r t y o f v e r b s i n S p a n i s h which t a k e an a n i m a t e
d i r e c t o b j e c t .
/ ( 8 8 ) a- Pedro l o / l e v i o en l a o f i c i n a . --
( P e t e r a c c / d a t him-saw i n t h e o f f i c e . )
b- (i) Pedro l e s i r v i o ' l a comida. - ( P e t e r t o h i m ( d a t ) - s e r v e t h e food . )
(ii) Pedro l e / l o s i rv io ' . -- (Peter d a t / a c c h im-se rve . )
Nor i s " p r i o r i t y t o Acc c a s e " a n unique p r o p e r t y o f f a i r e
i n F rench .
(89) a- P i e r r e l u i a s e r v i l e r e p a s . - ( P e t e r t o h i m ( d a t ) s e r v e d t h e meal. )
b - * ( i ) P i e r r e l u i a s e r v i . - (ii) Pierre ( d a t ) - l ' a s e r v i .
(act 1
Now n o t e t h a t i f f a i r e g i v e s p r i o r i t y t o t h e a c c u s a t i v e
case it f o l l o w s t h a t ( 8 5 ) a i s n o t p o s s i b l e . I n ( 8 5 ) a t h e
d i r e c t o b j e c t i s c l i t i c i z e d o n t o t h e lower v e r b , which means
t h a t i t i s n o t case-marked by f a i r e . Hence, f a i r e must
a s s i g n a c c u s a t i v e and n o t d a t i v e c a s e t o t h e s u b j e c t l ' e n f a n t .
But t h e c o u n t e r p a r t o f ( 8 5 ) a w i t h l ' e n f a n t case-marked accu-
s a t i v e i s a l s o ungrammat ica l .
(90) *Marie a f a i t - l e mager l ' e n f a n t .
(90) i s r e m i n i s c e n t o f t h e well-known " d o u b l e - a c c u s a t i v e "
c o n s t r a i n t i n J a p a n e s e . Bu t why s h o u l d such c o n s t r a i n t e x i s t ?
A p l a u s i b l e b u t f o r t h e p r e s e n t s p e c u l a t i v e e x p l a n a t i o n i s
t h a t l a n g u a g e s may use c a s e t o i d e n t i f y grammat ica l r e l a t i o n s
when word o r d e r i s n o t s u f f i c i e n t . R e c a l l t h a t i n J a p a n e s e
s u b j e c t and o b j e c t s a r e unordered w i t h r e s p e c t t o e a c h o t h e r .
Hence, o r d e r does n o t i d e n t i f y grammat ica l r e l a t i o n s . Nor
d o e s o r d e r i d e n t i f y t h e s u b j e c t and t h e o b j e c t i n s e n t e n c e s
l i k e ( 9 0 ) , where V"-preposing h a s a p p l i e d . Consequen t ly ,
c a s e becomes r e l e v a n t i n i d e n t i f y i n g g rammat ica l r e l a t i o n s .
D a t i v e c a s e i n s e n t e n c e s l i k e ( 3 5 ) i n Romance, and a l s o i n
Japanese, i d e n t i f i e s t h e s u b j e c t . The e l a b o r a t i o n and imple-
m e n t a t i o n o f t h i s p r o p o s a l i s l e f t open f o r f u r t h e r r e s e a r c h .
F o o t n o t e s t o C h a p t e r I V -
1) Note t h a t t h e f a c t t h a t t h e e x t e r n a l t h - r o l e o f t h e v e r b
embedded u n d e r f a i r e may be r e a l i z e d a s a p a r - p h r a s e g i v e s
s u p p o r t t o t h e " i n t e r n a l i z a t i o n o f t h e e x t e r n a l t h - r o l e "
a n a l y s i s o f p a s s i v e s r a t h e r t h a n t o t h e a n a l y s i s which assumes
t h a t t h e e x t e r n a l t h - r o l e i s b l o c k e d f rom mapping o n t o s u b j e c t
p o s i t i o n b u t r e m a i n s a n e x t e r n a l - t o - V P argument -- i . e . , t h e
Q-phrase i s a d j o i n e d t o t h e VP. Cf . C h a p t e r I , f o o t n o t e 2 .
2 ) T h i s o b s e r v a t i o n i s f u r t h e r c o r r o b o r a t e d by l a n g u a g e s
where t h e r e i s n o o b l i g a t o r y o b j e c t - t o - s u b j e c t movement i n
p a s s i v e s . ( S p a n i s h , I t a l i a n . . . ) .
a- P e d r o metid l a p a t a .
( P e d r o s t u c k t h e f o o t - / ' P e d r o s t u c k h i s f o o t i n
h i s mouth. ' )
*b- La p a t a fue ' m e t i d a p o r P e d r o .
*c - FU; m e t i d a l a p a t a p o r P e d r o .
S e n t e n c e c , where no o b j e c t - t o - s u b j e c t movement h a s a p p l i e d ,
i s s t i l l ungrammat i ca l .
3 ) Al though t h e r e a r e c l e a r c a s e s o f i d i o m s whose meaning
i s n o t e q u a l t o t h e sum o f t h e meaning o f t h e i r p a r t s l i k e
k i c k t h e b u c k e t and c l e a r cases o f i d i o m s whose meaning i s
e q u a l t o t h e sum o f t h e meaning o f t h e i r p a r t s l i k e keep t a b s
and g i v e a s s i s t a n c e , t h e r e are o t h e r l e s s c l e a r c a s e s l i k e
t a k e c a r e which c a n p a s s i v i z e . ~ f . W e t o o k good care o f t h e
c h i l d r e n . / G o o d c a r e was t a k e n o f t h e c h i l d r e n . F u r t h e r i n v e s -
t i g a t i o n o f t h e s e m a n t i c s o f i d i o m s i s needed t o see w h e t h e r
t h e e x p l a n a t i o n w e s u g g e s t e d f o r t h e n o n - p a s s i v i a t i o n o f a
c e r t a i n c lass o f i d i o m s i s i n e f f e c t c o r r e c t .
4 ) B u t , as n o t i c e d by Gee, a and b be low have d i f f e r e n t
meaning .
a- Make / l e t John examine Mary.
b- Make / l e t Mary b e examined by John .
W e may assume e i t h e r t h a t make and l e t o p t i o n a l l y s u b c a t e g o r i z e - f o r a n o b j e c t N P : [ - (NP) C l a u s e ] , o r t h a t t h e y s u b c a t e g o r i z e
o n l y f o r a c l a u s e : [- C l a u s e ] b u t t h e y may a s s i g n a n a d j u n c t
t h - r o l e t o t h e s u b j e c t o f i t s complement c l a u s e .
5 ) Our h y p o t h e s i s i s hence i n c o m p a t i b l e w i t h ~ i z z i ' s p r o p o s a l
+ ( c f . R i z z i 1 9 8 0 a ) t h a t INFL b e a r s t h e f e a t u r e -N. He s u g g e s t s
t h a t t h i s i s t h e f e a t u r e which d i s t i n g u i s h e s l a n g u a g e s w i t h
" m i s s i n g " s u b j e c t s f rom l a n g u a g e s w i t h no " m i s s i n g " s u b j e c t s :
INFL i n t h e f o r m e r c a s e i s e i t h e r +N o r - N I INFL i n t h e l a t t e r
case i s - N . No te t h a t o u r p r o p o s a l i s c o m p a t i b l e w i t h t h e i d e a
t h a t Comp o r t h e c a t e g o r y a d j o i n e d t o S and INFL may f u n c t i o n
as a d i s c o n t i n u o u s h e a d .
6) Note t h a t V"-preposing c a n n o t a p p l y i n E n g l i s h b e c a u s e i n
t h i s l a n g u a g e t h e complement c l a u s e i s . a l r e a d y a non-maximal
v e r b a l p r o j e c t i o n . Hence, V"-prepos ing creates a new th -mark ing
c o n f i g u r a t i o n between V" and E2, i n v i o l a t i o n o f t h e P r o j e c -
t i o n P r i n c i p l e , a s shown below.
7 ) A s w e have p o i n t e d o u t above i n t h e t e x t , B u r z i o assumes
t h a t f a i r e may e i t h e r t a k e a VP o r an S a s complement. I n
o r d e r t o a c c o u n t f o r t h e u n g r a m m a t i c a l i t y o f ( 7 4 ) i n t h e c a s e
VP i s chosen a s complement, Burz io s u g g e s t s t h a t c a s e c a n n o t
be a s s i g n e d a c r o s s VP and S : V [ V [ NP
I V P *
S ( c a s e )
t But it i s u n c l e a r why t h i s s h o u l d be s o .
8) A s h a s o f t e n been n o t i c e d , p a s s i v e v e r b s may n o t be
embedded under f a i r e : * p i e r r e a f a i t g t r e mang; l a pomme p a r
P i e r r e . We have no e x p l a n a t i o n f o r t h i s . I t might be r e l a t e d
t o t h e f a c t t h a t a u x i l i a r i e s may n o t a p p e a r a t a l l i n t h e
i n f i n i t i v a l complement o f f a i r e . B u r z i o ' s e x p l a n a t i o n f o r
t h e ungramrna t i ca l i ty o f t h e s e n t e n c e above i s t h e one g i v e n
f o r t h e u n g r a m m a t i c a l i t y o f ( 7 4 ) , coup led w i t h t h e assumpt ion
t h a t mang& l a pomme p a r P i e r r e i s a " s m a l l - c l a u s e " complement
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BIOGRAPHICAL NOTE
The a u t h o r . w a s b o r n i n ~ s u n c i d h , P a r a g u a y , on May 8 ,
1 9 5 5 . S h e s t u d i e d a t t h e American S c h o o l o f A s u n c i b n , and
g r a d u a t e d i n 1 9 7 3 . From 1 9 7 3 t o 1978 s h e l i v e d i n P a r i s ,
w h e r e s h e a t t e n d e d t h e ~ n i v e r s i t ; d e P a r i s V I I I . I n 1 9 7 7
s h e r e c e i v e d a L i c e n c e a n d i n 197d a ~ a ? t r i s e i n l i n g u i s t i c s .
I n t h e f a l l o f t h a t y e a r , s h e came t o MIT t o c o n t i n u e g r a d u a t e
work . H e r p u b l i c a t i o n s i n c l u d e :
" A n d a l u s i a n Vowel Harmony, " MIT Working P a p e r s , v o l . 1 ,
1979 .
" P o u r u n e R e s t r u c t u r a t i o n T h ~ m a t i q u e I t 1 R e c h e r c h e s in-
g u i s t i q u e s , 9 , P a r i s V I I I , 1 9 8 0 .
"On V i r t u a l C a t e g o r i e s , " MIT Working P a p e r s , v o l . 4 ,
1 9 8 2 ( i n c o l l a b o r a t i o n w i t h J.R. Vergnaud) . "The Fo rma l I n t e r a c t i o n o f Harmony and A c c e n t : t h e Tone
P a t t e r n s o f J a p a n e s e , " i n H . van d e r H u l s t a n d N. S m i t h , e d s . ,
The S t r u c t u r e o f P h o n o l o g i c a l R e p r e s e n t a t i o n s ( P a r t 111,
F o r i s , 1 9 8 2 .
" S u b j e c t E x t r a c t i o n i n P o r t u g u e s e , " t o a p p e a r i n The -
L i n g u i s t i c Review.