Week 6a. Case and checking (with a little more -Theory) CAS LX 522 Syntax I.

Week 6a. Case and checking Week 6a. Case and checking (with a little more (with a little more -Theory)-Theory)

CAS LX 522CAS LX 522Syntax ISyntax I

Previously, in LX522…Previously, in LX522… We were talking about We were talking about -roles, the -roles, the

“argument slots” that predicates (e.g., “argument slots” that predicates (e.g., verbs) have. These are the “roles” that the verbs) have. These are the “roles” that the participant play in the event.participant play in the event.

As part of their As part of their lexical entrylexical entry, verbs have a , verbs have a list of list of -roles that they assign, a list of -roles that they assign, a list of required participants.required participants. Kick: Agent, ThemeKick: Agent, Theme Jog: AgentJog: Agent Introduce: Agent, Theme, GoalIntroduce: Agent, Theme, Goal

Common thematic Common thematic relationsrelations

AgentAgent: initiator or doer in the event: initiator or doer in the event ThemeTheme: affected by the event, or undergoes : affected by the event, or undergoes

the actionthe action Bill kicked the ball. Bill kicked the ball.

ExperiencerExperiencer: feel or perceive the event: feel or perceive the event Bill likes pizza.Bill likes pizza.

GoalGoal:: Bill gave the book Bill gave the book to Maryto Mary.. (Recipient)(Recipient)

PropositionProposition: a statement, can be true/false.: a statement, can be true/false. Bill said that he likes pizza.Bill said that he likes pizza.

The The -criterion-criterion The The -criterion:-criterion:

every every -role in the -role in the -grid is assigned to exactly -grid is assigned to exactly one argument.one argument.

every argument is assigned exactly one every argument is assigned exactly one -role.-role. The second half protects us against The second half protects us against

superfluous arguments. But it’s hard to superfluous arguments. But it’s hard to evaluate this if we don’t know what an evaluate this if we don’t know what an argument is.argument is. It’s hard to say, actually. There are some further It’s hard to say, actually. There are some further

concepts that we should have before we can even concepts that we should have before we can even start to state this accurately. For now, let’s just start to state this accurately. For now, let’s just suppose that DPs and CPs are necessarily suppose that DPs and CPs are necessarily arguments, and PPs usually aren’t.arguments, and PPs usually aren’t.

Theta GridsTheta Grids

We can formalize the information about We can formalize the information about --roles in the lexical entry for a verb by using roles in the lexical entry for a verb by using a a theta gridtheta grid, like so:, like so:

The columns each represent a The columns each represent a -role, the -role, the indices in the lower row will serve as our indices in the lower row will serve as our connection to the actual arguments; e.g.connection to the actual arguments; e.g.

JohnJohnii gave [the book] gave [the book]jj [to Mary] [to Mary]kk..

give Source/Agent Theme Goal

i j k

Theta GridsTheta Grids

JohnJohnii gave [the book] gave [the book]jj [to Mary] [to Mary]kk..

give Source/Agent Theme Goal

i j k

The first -role is assigned to the subject. It is the external -role.It is often designated by underlining it.

The other -role are internal -roles.

Theta GridsTheta Grids

The The -roles in the theta grid are -roles in the theta grid are obligatory.obligatory. (Optional things like (Optional things like on the hillon the hill are not in the are not in the -grid).-grid).

AdjunctsAdjuncts are related to the verb via thematic are related to the verb via thematic relations (e.g., instrument, location, etc.), but relations (e.g., instrument, location, etc.), but an adjunct does not get a an adjunct does not get a -role-role. They are . They are optional.optional.

give Source/Agent Theme Goal

i j k

The Theta Criterion in The Theta Criterion in actionaction

An example: An example: pushpush..

BillBillii pushed the shopping cart pushed the shopping cartjj.. Fine, Fine, pushpush assigns two assigns two -roles, one (the external -roles, one (the external

-role) is assigned to -role) is assigned to BillBill, the other (the internal , the other (the internal --role) is assigned to role) is assigned to the shopping cartthe shopping cart. There are . There are two arguments here, each gets a two arguments here, each gets a -role.-role.

*Bill*Billii pushed. (j?) pushed. (j?) *Bill*Billii pushed the shopping cart pushed the shopping cartjj the corner the corner??..

push Agent Theme

i j

The Theta Criterion in The Theta Criterion in actionaction

An example: An example: coughcough..

BillBillii coughed. coughed. Fine, Fine, coughcough assigns one assigns one -role (the external -role (the external --

role), to role), to BillBill. There are one arguments here, and it . There are one arguments here, and it gets a gets a -role.-role.

*Bill*Billii coughed the shopping cart coughed the shopping cart??..

cough Agent

i

The EPPThe EPP

With the Theta Criterion in our toolbox, With the Theta Criterion in our toolbox, let’s take a look at a special kind of let’s take a look at a special kind of sentence (which will turn out to tell us sentence (which will turn out to tell us something important about syntax).something important about syntax). It rained.It rained. It snowed.It snowed.

How many How many -roles does -roles does rainrain assign?assign? If we think about If we think about itit, it doesn’t really mean , it doesn’t really mean

anything anything at all. It is not a participant in the at all. It is not a participant in the event; it really event; it really can’tcan’t be getting a be getting a -role. (cf. -role. (cf. also Spanish).also Spanish).

The EPPThe EPP

So, the theta grid for So, the theta grid for rainrain really really looks like this:looks like this:

The EPPThe EPP

Given the Given the -Criterion and the fact -Criterion and the fact that that rainrain doesn’t have any doesn’t have any -roles to -roles to assign, what’s assign, what’s itit doing there? And doing there? And why doesn’t why doesn’t itit violate the violate the -Criterion?-Criterion?

As to the first question, the As to the first question, the conclusion that syntacticians have conclusion that syntacticians have come to is that the come to is that the itit is there due to a is there due to a separate constraint, which goes by separate constraint, which goes by the name EPP.the name EPP.

The EPPThe EPP The EPPThe EPP

IP must have a specifier.IP must have a specifier.

More informally, More informally, all clauses have subjectsall clauses have subjects..

Because Because rainrain has no arguments (no has no arguments (no -roles), a -roles), a special, contentless pronoun (special, contentless pronoun (itit) has to be ) has to be inserted to in order to have a grammatical inserted to in order to have a grammatical sentence. This kind of “empty sentence. This kind of “empty itit” is called an ” is called an expletiveexpletive or a or a pleonastic pronounpleonastic pronoun. . ItIt is not an is not an argument (in this use).argument (in this use).

We stipulate that We stipulate that itit is not subject to the is not subject to the --criterion.criterion.

Features and CaseFeatures and Case

Recall that pronouns in English have Recall that pronouns in English have several several CaseCase forms, indicating their forms, indicating their grammatical function (subject, non-grammatical function (subject, non-subject):subject): NominativeNominative (subject): (subject):

He, she, they, …He, she, they, … AccusativeAccusative//objectiveobjective (non-subject): (non-subject):

Him, her, them, …Him, her, them, …

But what’s But what’s wrongwrong with with *Him left*Him left??

Features and CaseFeatures and Case

What stops us from picking What stops us from picking himhim, a , a [+Past] I, and [+Past] I, and leaveleave, and Merging in , and Merging in order to produce order to produce him lefthim left??

Him

leave-ed

DP

IP

I VP

IHe

leave-ed

DP

IP

I VP

I

*

Features and CaseFeatures and Case

The intuition is that subjects (things The intuition is that subjects (things in the specifier of IP, at least for I like in the specifier of IP, at least for I like [+Past]) must have nominative Case. [+Past]) must have nominative Case. I needs [+Nom] in its specifier.I needs [+Nom] in its specifier.

Him[+Acc] leave-ed

DP

IP

I VP

IHe

[+Nom] leave-ed

DP

IP

I VP

I

*

Specifier featuresSpecifier features

To encode this requirement, we posit To encode this requirement, we posit a second type of feature on the lexical a second type of feature on the lexical items of category I: the items of category I: the specifier specifier featuresfeatures..

Specifier-features are Specifier-features are requirementsrequirements; ; they are features that must be found they are features that must be found in the specifier.in the specifier.

If I has a [+Nom] specifier feature, If I has a [+Nom] specifier feature, SpecIP (the specifier of IP) must have SpecIP (the specifier of IP) must have a [+Nom] feature.a [+Nom] feature.

Features and CaseFeatures and Case When we Merge the DP with [When we Merge the DP with [-ed leave-ed leave] to ] to

form SpecIP, the features of the specifier are form SpecIP, the features of the specifier are “checked” against the (specifier) features of “checked” against the (specifier) features of the head. If they match, they are removed the head. If they match, they are removed from the to-do list, they are “checked off”.from the to-do list, they are “checked off”.

Him[+Acc] leave

DP

IP

I VP

IHe

[+Nom] leave-ed[+Past, …]

spec: [+Nom]

DP

IP

I VP

I

*

-ed[+Past, …]

spec: [+Nom]

Features and CaseFeatures and Case If we finish with unchecked features of this kind, If we finish with unchecked features of this kind,

the derivation crashes, the sentence is no good.the derivation crashes, the sentence is no good. These features are These features are uninterpretableuninterpretable and so if and so if

they are still there when we try to compute the they are still there when we try to compute the meaning of the structure, we can’t.meaning of the structure, we can’t.

Him[+Acc] leave

DP

IP

I VP

IHe

[+Nom] leave-ed[+Past, …]

spec: [+Nom]

DP

IP

I VP

I

*

-ed[+Past, …]

spec: [+Nom]

Subject agreementSubject agreement The same kind of thing rules out The same kind of thing rules out **I has I has

leftleft.. Here, the problem is that the subject is Here, the problem is that the subject is

[1sg] [1sg] (a.k.a. [+1,-2,-Pl])(a.k.a. [+1,-2,-Pl]), , hashas is [3sg] is [3sg] (a.k.a. [-1,-2,-Pl])(a.k.a. [-1,-2,-Pl])

I[1sg] gone

DP

IP

I VP

IHe

[3sg] gonehas[-Past, …]spec: [3sg]

DP

IP

I VP

I

*

has[-Past, …]spec: [3sg]

Subject agreementSubject agreement The [1sg], [3sg] features are fundamental to the The [1sg], [3sg] features are fundamental to the

meaning of the pronouns, so they are not meaning of the pronouns, so they are not uninterpretable. But specifier features on has are uninterpretable. But specifier features on has are still uninterpretable and must be checked off.still uninterpretable and must be checked off.

Only uninterpretable features are checked off Only uninterpretable features are checked off (deleted from the to-do list) when satisfied.(deleted from the to-do list) when satisfied.

I[1sg] gone

DP

IP

I VP

IHe

[3sg] gonehas[-Past, …]spec: [3sg]

DP

IP

I VP

I

*

has[-Past, …]spec: [3sg]

Complement features Complement features (subcategorization)(subcategorization)

Heads also can impose similar requirements on Heads also can impose similar requirements on the kind of phrase that they have as a the kind of phrase that they have as a complement. For example, complement. For example, hashas requires the requires the perfective (-perfective (-enen) participle form of the verb. (I’ll use ) participle form of the verb. (I’ll use [+n] as a shorthand for [+Participle, +Perfect])[+n] as a shorthand for [+Participle, +Perfect])

We can encode these as We can encode these as complement featurescomplement features..

He[3sg] go

[-n]

DP

IP

I VP

IHe

[3sg] gone[+n]

hascomp: [+n]spec: [3sg]

DP

IP

I VP

I

*

hascomp: [+n]spec: [3sg]

FeaturesFeatures

Lexical items have three kinds of Lexical items have three kinds of features.features. Head features:Head features: Primary features… Primary features… Specifier features:Specifier features: Uninterpretable Uninterpretable

features that must be checked against the features that must be checked against the features of the specifier (at last projecting features of the specifier (at last projecting Merge).Merge).

Complement features:Complement features: Uninterpretable Uninterpretable features that must be checked against the features that must be checked against the features of the complement (at first features of the complement (at first projecting Merge).projecting Merge).

Head featuresHead features

InterpretableInterpretable:: Fundamental to the Fundamental to the meaning, crucial to interpreting the meaning, crucial to interpreting the meaning of the structuremeaning of the structure [3sg] on pronouns, [D] on determiners[3sg] on pronouns, [D] on determiners

UninterpretableUninterpretable:: Not part of the Not part of the meaning, but nevertheless part of the meaning, but nevertheless part of the lexical item. Must be eliminated (checked lexical item. Must be eliminated (checked off) by the end of the derivation.off) by the end of the derivation. [+Nom] on determiners, [+Nom] on I, [3sg] on [+Nom] on determiners, [+Nom] on I, [3sg] on

auxiliariesauxiliaries

Features and CaseFeatures and Case

How about objective (accusative) How about objective (accusative) Case? How would we encode the Case? How would we encode the fact that fact that You will meet herYou will meet her is fine, is fine, but but **You will meet sheYou will meet she is is ungrammatical?ungrammatical?

You

will

DP

IP

I VP

I

V DPmeet her

Case and the DPCase and the DP Fantastic. Now why is this grammatical Fantastic. Now why is this grammatical

(assuming that (assuming that willwill and and meetmeet are the same as are the same as in in I will meet youI will meet you)?)?

will

IP

I VP

I

V DPmeet

D NPthe students

DP

D NPØ Pat

Back to Back to -theory?-theory?

We started off looking at We started off looking at argument argument requirementsrequirements that verbs impose, in that verbs impose, in terms of their terms of their -grids, the -grids, the -roles -roles that they need to assign.that they need to assign.

Can we think of these in terms of Can we think of these in terms of complement and specifier features?complement and specifier features? Pat kicked the ball.Pat kicked the ball. Pat slept.Pat slept.

Details…Details…

Trying to encode the Agent Trying to encode the Agent -role as -role as a specifier feature brings up a a specifier feature brings up a complication: The Agent is in complication: The Agent is in SpecIP, not SpecVP, so how would a SpecIP, not SpecVP, so how would a specifier feature of V be checked?specifier feature of V be checked? (We don’t want Agent to be a specifier (We don’t want Agent to be a specifier

feature of I, because not all subjects are feature of I, because not all subjects are agents—it depends on the specific agents—it depends on the specific verb).verb).

Percolation?Percolation? Radford introduces a concept called Radford introduces a concept called

percolationpercolation to handle problems like this. If V to handle problems like this. If V has a specifier feature that is not checked off has a specifier feature that is not checked off before its last projection (VP), the before its last projection (VP), the requirement is “passed up the tree” to the requirement is “passed up the tree” to the next head (I), and becomes a requirement of I.next head (I), and becomes a requirement of I.

Using this, we Using this, we could could say that if V has an Agent say that if V has an Agent specifier feature, it can be passed up to I and specifier feature, it can be passed up to I and satisfied by having an Agent in SpecIP.satisfied by having an Agent in SpecIP.

For now (these two weeks), we will assume For now (these two weeks), we will assume this is what happens. After the midterm, we’ll this is what happens. After the midterm, we’ll see that we don’t really need percolation.see that we don’t really need percolation.

Clarification/previewClarification/preview Although they seem to be doing the same Although they seem to be doing the same

thing so far, let me stress:thing so far, let me stress:

Case and Case and -roles are -roles are not the same thing.not the same thing.

Case marks structural position in the tree.Case marks structural position in the tree. -roles are assigned to participants in an -roles are assigned to participants in an

event.event.

Case ≠ Case ≠ -role-role After the midterm, we will look at how to After the midterm, we will look at how to

handle these, but notice:handle these, but notice: Active:Active: I pushed him.I pushed him. Passive:Passive: He was pushed.He was pushed. Masc3sg is the Theme (Masc3sg is the Theme (-role) in both cases, -role) in both cases,

but the object (Objective/Accusative Case) in but the object (Objective/Accusative Case) in the active form, and the subject (Nominative the active form, and the subject (Nominative Case) in the passive form.Case) in the passive form.

Also:Also: The door opened.The door opened. (Door=Nom, Theme) (Door=Nom, Theme) I opened the door.I opened the door. (Door=Acc, Theme) (Door=Acc, Theme)