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

REFERENCES

A i s s e n , J . and D . P e r l m u t t e r (1976) , "Clause r e d u c t i o n i n S p a n i s h , " P r o c e e d i n g s of t h e Secc,nd Annual Meeting o f t h e B e r k e l e y L i n g u i s t i c s S o c i e t y .

Akmajian, A . , S . S t e e l e and T. Wasow ( 1 9 7 9 ) , "The Ca tegory Aux i n u n i v e r s a l grammar," L i n g u i s t i c s I n q u i r y 10 .1 .

Aoun, Y . and D . S p o r t i c h e (1981) , "On t h e Formal Theory of Government ," t o a p p e a r i n The L i n g u i s t i c Review.

B e l l e t t i , A. (19801, "Morphologica l p a s s i v e and p ro -d rop : a n o t e on t h e impersona l c o n s t r u c t i o n i n I t a l i a n , " mimeo- g raphed , S c u o l a N o m a l e S u p e r i o r e , ~ i s a .

B e l l e t t i , A . and L . ~ i z z i ( 1 9 8 0 ) , "The s y n t a x o f ' n e t : Some t h e o r e t i c a l i m p l i c a t i o n s , " t o a p p e a r i n The ~ i n q u i s t i c Review.

B e s t e n , H. den ( 1 9 7 8 ) , " A u x i l i a r y D e l e t i o n s and t h e I n t e r p l a y Between Loca l D e l e t i v e Rules and F i l t e r s , " p a p e r p r e s e n t e d t o t h e 1978 GLOW Colloquium.

B o r e r , H . (1981) , P a r a m e t r i c V a r i a t i o n s i n ~ l i t i c Cons t ruc - t i o n s , PhD D i s s e r t a t i o n , MIT.

Bowers, H . ( 1 9 7 3 ) , Grammatical R e l a t i o n s , PhD D i s s e r t a t i o n , MIT.

B r a n d i , L. and P . Cordin (1981) , "On C l i t i c s and I n £ l e x i o n i n Some I t a l i a n D i a l e c t s , " mimeographed, S c u o l a Normale S u p e r i o r e , P i s a .

Bresnan, J . (1973) , "Syntax o f t h e Comparat ive C l a u s e Const ruc- t i o n i n E n g l i s h , " L i n g u i s t i c I n q u i r y 4 . 3 .

B u r z i o , L . (1981) , I n t r a n s i t i v e Verbs and I t a l i a n ~ u x i l i a r i e s , PhD D i s s e r t a t i o n , MIT.

C a r t e r , D. ( u n d a t e d ) , mimeographed.

Chomsky, N . ( 1 9 5 7 ) , S y n t a c t i c S t r u c t u r e s , Mouton, The Hague.

Chomsky, N . ( 1 9 6 5 ) , Aspec t s o f t h e Theory o f S y n t a x , MIT - P r e s s , Cambridge.

Chomsky, N . (1972) , S t u d i e s on Semant ics i n G e n e r a t i v e Grammar, Mouton, The Hague.

Chomsky , N. (1973) , " C o n d i t i o n s on T r a n s f o n a t i o n s , " i n Anderson a n d K i p a r s k y , e d s . , A F e s t s c h r i f t f o r orris Halle, Halt, R i n e h a r t , and Wins ton , New York.

Chomsky, N. (19761, " C o n d i t i o n s on R u l e s of Grammar," Lin- g u i s t i c A n a l y s i s 2 .

Chomsky, N . (19781, "On B i n d i n g , " L i n g u i s t i c I n q u i r y 11.1, 1980 .

Chomsky, N. ( 1 9 8 0 ) , "On t h e R e p r e s e n t a t i o n of Form a n d F u n c t i o n , " The L i n g u i s t i c Review 1.1, 1981.

Chomsky, N . ( 1 9 8 1 a ) , L e c t u r e s on Government and B i n d i n g , F o r i s , D o r d r e c h t .

Chomsky, N . (1981b1, Some Concep t s and Consequences o f t h e Theory o f Government and B i n d i n g , t o a p p e a r , MIT P r e s s , Cambridge.

/ Couquaux, D. (1979) , "Sur l a s y n t a x e d e s p h r a s e s p r e d i c a t i v e s

e n f r a n ~ a i s , " L i n g u i s t i c a e I n v e s t i g a t i o n e s , 3 . 2 .

Emonds, J . ( 1 9 7 8 ) , "The V e r b a l Complex v ' -v i n F r e n c h , " L i n g u i s t i c I n q u i r y , 9 . 2 .

Fa rmer , A . ( 1 9 8 0 ) , On t h e I n t e r a c t i o n o f Morphology a n d S y n t a x , PhD D i s s e r t a t i o n , NIT.

F i e n g o , R. ( 1 9 7 4 ) , Seman t i c C o n d i t i o n s on S u r f a c e S t r u c t u r e , PhD D i s s e r t a t i o n , M I T .

G e e , J . (19761, "Comments on t h e p a p e r by Akmaj i an , " i n T. Wasow a n d A . Akmajian, e d s . , Formal S y n t a x , Academic P r e s s , N e w York.

Higginbotham, J . ( 1 9 8 1 ) , "The Log ic o f p e r c e p t u a l R e p o r t s : An E x t e n s i o n a l A l t e r n a t i v e t o S i t u a t i o n S e m a n t i c s , " mimeo- g r a p h e d , MIT.

H i g g i n s , R . ( u n d a t e d ) , "On t h e u s e o f i d i o m s a s e v i d e n c e f o r movement: a c a u t i o n a r y n o t e , " mimeographed.

J a c k e n d o f f , R. ( 1972) , S e m a n t i c I n t e r p r e t a t i o n i n G e n e r a t i v e Grammar, MIT P r e s s , Cambridge.

J a e g g l i , 0 . ( 1 9 8 0 ) , "A Modular Approach t o P a s s i v e s i n Romance A g e n t i v e C a u s a t i v e s , " mimeographed, U . S . C .

Kayne, R. (1975) , French S y n t a x , N I T P r e s s , Cambridge.

Kayne, R. and J.Y. Pollock (1978), "Stylistic Inversion, Successive Cyclicity, and Move NP in French," Linguistic Inquiry, 9.4.

Kiparsky, P. and C. Kiparsky (1971), "Fact," in D. Steinberg and L. Jakobovits, eds., Semantics, Cambridge University Press.

Koster, I. (1978), "Why Subject Sentences ~ o n ' t xis st," in S. J. Keyser, ed., Recent Transformational Studies in European Languages, Linguistic Inquiry ~onograph 3, MIT Press, Cambridge.

Kuroda, Y. (1979), "On Japanese Passives,." in G. Bedell, E . Kobayashi, and M. ~uraki, eds., ~xplorations in Linguistics, Kenkyusha, Tokyo.

Kuroda, Y. (19811, "Some Recent Trends in Syntactic Theory and the Japanese Language," in A. Farmer and C. Kitagawa, eds., Coyote Papers, University of Arizona, Tucson.

Levin, L. (1980), "Lexical Representations of Quirky Case in Icelandic," mimeographed, MIT.

Lieber, S. (1980), On the Organization of the Lexicon, PhD Dissertation, MIT.

Lightfoot, D. (1979), Principles of Diachronic Syntax, Cambridge University Press.

Manzini, R. (1980) , "On Control, I' mimeographed, MIT.

Manzini, R. (19821, "On Control and Control Theory," mimeo- graphed, MIT.

Marantz, A. (1981), On the Nature of Grammatical Relations, PhD Dissertation, MIT.

May, R. (1977), The Grammar of Quantification, PhD Dissertation, MIT.

Perlmutter, D. (1978), "Impersonal Passives and the Unaccusa- tive Hypothesis," proceedings of the Fourth Annual Meeting of the Berkeley Linguistics Society, U.C.L.A.

Pesetsky, D. (19791, "Complementizer-trace phenomena and the nominative island condition," mimeographed, MIT, to appear in The Linsuistic Review.

Pesetsky, D. (1982), PhD dissertation, MIT.

Rizzi, L. (1978), "A Restructuring Rule in Italian Syntax," in S.J. Keyser, ed., Recent Transfornational studies in European Languages, Linguistics Inquiry Monograph Three, FIIT Press, Cambridge.

R i z z i , L . ( 1 9 8 0 a ) , "Nega t ion , WH-Movement and t h e PRO-Drop P a r a m e t e r , ' ' p a p e r r e a d a t t h e I V GLOW C o n f e r e n c e , Nijmegen.

R i z z i , L. (1980b) , "Comments on Chomsky's P a p e r 'On t h e R e p r e s e n t a t i o n of Form and F u n c t i o n ' , " mimeographed, U n i v e r s i t a d e l l a C a l a b r i a .

R o u v e r e t , A. and J .R. Vergnaud (1978) , " S p e c i f y i n g r e f e r e n c e t o t h e S u b j e c t , " L i n g u i s t i c I n q u i r y 11.1., 1980.

R o u v e r e t , A. ( 1 9 8 0 ) , " S u r l a n o t i o n d e p r o p o s i t i o n f i n i e : gouvernement e t i n v e r s i o n , " Languages , 6 0.

Ruwet, N . ( 1 9 7 2 ) , ~ h g o r i e S y n t a x i q u e e t S y n t a x e du ~ r a n q a i s , S e u i l , P a r i s .

Simpson, J . ( 1 9 8 2 ) , C o n t r o l a n d P r e d i c a t i o n i n W a l p i r i , PhD D i s s e r t a t i o n , MIT.

S t o w e l l , T . ( 1 9 8 1 ) , O r i g i n s o f P h r a s e S t r u c t u r e , PhD Disser- t a t i o n , M I T .

S t r o z e r , J . ( 1 9 7 6 ) , C l i t i c s i n S p a n i s h , PhD D i s s e r t a t i o n , U . C . L . A .

~ h r : i n s s o n , El. ( 1979) , On Complementa t ion i n I c e l a n d i c , G a r l a n d , N e w York.

Vergnaud, J.R. a n d M.L. Z u b i z a r r e t a , ( 1 9 8 1 ) , "On V i r t u a l C a t e g o r i e s , " t o a p p e a r i n t h e MIT Working P a p e r s , no . 4 .

Vergnaud, J. R . ( t o a p p e a r ) , ~ g ~ e n d e n c e s e t Niveaux de ~ 6 ~ r e - s e n t a t i o n s , Benjamin , Amsterdam.

W i l l i a m s , E . ( 1 9 8 0 ) , " F r e n c h C a u s a t i v e s , " mimeographed, U n i v e r s i t y o f M a s s a c h u s e t t s , Ainherst .

W i l l i a m s , E . ( 1981a ) , On t h e N o t i o n s ' L e x i c a l l y R e l a t e d ' and 'Head o f a W o r d ' , " L i n g u i s t i c I n q u i r y , 1 2 . 2 .

W i l l i a m s , E . ( 1 9 8 1 b ) , "Argument S t r u c t u r e a n d Morphology," The L i n g u i s t i c Review, 1.1.

Z u b i z a r r e t a , M.L. (1 981) , " 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.

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.