Case Theory and the Projection Principle
D. Massam, 1985
We examine structures in which an NP bears a grammatical relation to a verb, to which it bears no thematic relation. We see several semantic classes of verbs appearing in such constructions, and a number of different types of such constructions, but no systematic relation between the semantic class of the verb and the syntactic type of construction in which it appears.
To explain mapping between thematic structure and grammatical structure, we assume the Projection Principle (PP), which states that syntactic structure must reflect lexical properties (thematic structure/predicate�subject relations) at all levels. The PP appears to be violated by structures with non-thematic �objects� coreferential with an embedded subject, object, or oblique NP (=NP-th). We examine data showing that although the NP acts as an object, it is not outside of the clause containing NP-th. It is in an embedded initial A-bar position, acting as a predicate subject for the constituent containing NP-th. It acts as an object of the matrix clause due to government holding between a verb and complement and certain elements in the complement.
A second aspect of a theory of grammar is licensing of NPs for interpretation. Elements in A-positions are licensed by Case, an abstract relation holding between arguments and governors. Given A-bar subject positions, the domain of Case requirement is not A-positions, but rahter, all positions governed by the PP: subjects and complements. Projection and Case are intertwined facets of interpretability.
In Chapter 1 we introduce the domain of exploration. In Chapter 2 we consider �raising to object� constructions. Certain English, Hindi, Icelandic verbs effect sentential Exceptional Case Marking (=S/ECM) by subcategorization for �INFL-phrase�, with government and Case to the specifier. In Romance, different ECM structures arise with verbs selecting for a Case assigning head. Hungarian structures support our claims. �Non-vacuous� ECM in Blackfoot, Fijian, James Bay Cree, Kipsigas, Moroccan Arabic, Niuean, Standard Arabic, argues for embedded A-bar subjects.
In Chapter 3 we look at non-thematic subjects (NTS). An NP may come to act as a NTS in one of three ways. Raising to subject is examined in English. Kipsigas, and James Bay Cree NTS structures involve operator movement, as does �tough movement� in many languages. We thus divide the theta-criterion into two parts, one holding at all levels and one at LF, and introduce a licensing device of composed theta chains. Niuean and Standard Arabic show that NTS structures arise under non-Case assigning verbs which allow A-bar subjects. Passive ECM verbs in these languages are identical to Raising and Subject verbs, as they are, in a different way, in English.
In Chapter 4, NP complements in Chickasaw, Hungarian, Romanian, Kinyarwanda, Turkish substantiates our claims, as verbs ECM the A or A-bar possessor subjects of NPs, (=NP/ECM). The distribution of NP/ECM across languages argues that Cases exist independently of Case assignment, since NP/ECM requires the existence of an extra Case, as predicted by the Case Filter. NP/ECM allows for direct argument possessors, or indirect argument possessors. We predict that NP/ECM occurs only into object NPs. Several apparent exceptions actually support our claims.
In Chapter 5 case and chain theory is presented (Levin & Massam, 1984), accounting for expletive distribution, Case/argument structure relations of Burzio�s (1981) Generalization, and the Nom/Acc, Erg/Abs parameter. The theory is revised to embrace data of this study, and we define Case requirements in terms of the Projection Principle.
We close with a typology which emerges from our study.
Thesis Supervisor:Â Â Â Â Â Â Â Â Noam Chomsky
Title:Â Â Â Â Â Â Â Â Â Â Â Â Â Â Â Â Â Â Â Â Â Â Â Â Â Â Â Â Institute Professor
Table of Contents
Chapter 1        Introduction                                                                                         14
           1.1      Overview                                                                                            14
           1.2      Crucial notions                                                                         20
           1.3      Outline                                                                                                25
                       1.3.1   Chapter 2                                                                                26
                       1.3.2   Chapter 3                                                                                28
                       1.3.3   Chapter 4                                                                                30
                       1.3.4   Chapter 5                                                                                33
Chapter 2        Exceptional Case marking: a case of Case to Specifiers            34
           2.1      Introduction                                                                                         34
                       2.1.1   Overview of Chapter 2                                                34
                       2.1.2   Organization of Chapter 2                                                        38
           2.2      ECM with IP subcategorization                                                41
                       2.2.1   English data                                                                             41
                       2.2.2   ECM analysis                                                                          42
                       2.2.3   Case assignment to Spec: English                                             46
                                   2.2.3.1 The prediction                                                             46
                                   2.2.3.2 Case resistance: tensed clauses                        48
                                   2.2.3.3 Case resistance: infinitival clauses                                 50
                                   2.2.3.4 Non case resistance: wh-clauses                                  51
                                   2.2.3.5 Case assignment to traces in SPEC                              57
                                   2.2.3.6 Conclusion                                                                  60
                       2.2.4   Other cases of IP-ECM                                                           60
                                   2.2.4.1 Hindi ECM                                                                  60
                                   2.2.4.2 Icelandic ECM                                                66
           2.3      Case assignment to SPEC: Hungarian                                       68
           2.4      Case assignment to specifier of IP: Romance                                        71
                       2.4.1   Italian and French ECM                                                           71
                       2.4.2   Italian and Portuguese aux fronting                                           74
                       2.4.3   The proposal                                                                           79
                       2.4.4   Interaction with operators                                                        83
                       2.4.5   Conclusion                                                                              86
           2.5      Non string-vacuous ECM                                                                    87
                       2.5.1   Introduction                                                                             87
                       2.5.2   Fijian and Niuean data                                                 89
                                   2.5.2.1 General data                                                                89
                                   2.5.2.2 ECM data                                                                   92
                       2.5.3   ECM: the analysis                                                                    99
                                   2.5.3.1 The structure                                                               99
                                   2.5.3.2 A note on Niuean word order                                      100
                       2.5.4   Objections to direct raising to object                                        102
                                   2.5.4.1 Raising to object vs ECM                                            102
                                   2.5.4.2 Case and chain theory                                                  103
                                   2.5.4.3 Binding theory                                                 107
                       2.5.5   ECM movement vs topicalization and left dislocation    115
                                   2.5.5.1 A-bar/A relations                                                         115
                                   2.5.5.2 Topicalization and ECM movement                              119
                                   2.5.5.3 Left dislocation and ECM movement                            123
                       2.5.6   ECM relations                                                                         132
                                   2.5.6.1 French �avoir� constructions                                        133
                                   2.5.6.2 The SPEC2/Theta-NP relation                        135
                                   2.5.6.3 Extraposition of CP in Fijian                                         145
                                   2.5.6.4 ECM analysis: conclusion                                             146
                       2.5.7   Objections to indirect raising to object                          150
                                   2.5.7.1 The two-step analysis                                                  150
                                   2.5.7.2 Kipsigas data                                                               151
                       2.5.8   Objections to �Prolepsis�                                                         158
                                   2.5.8.1 Introduction                                                                 158
                                   2.5.8.2 Higgins (1981) for Prolepsis                                         160
                                   2.5.8.3 Gordon (1980), Seiter (1980) against Prolepsis 169
                                   2.5.8.4 Non-prolepsis in Moroccan Arabic                              173
                                   2.5.8.5 �Verb-of-NP-that-S� in English                                   180
Chapter 3        Non thematic subjects                                                                          186
           3.1      Introduction                                                                                         186
           3.2      Non-thematic subjects via raising                                                         187
           3.3      Non-thematic subjects via tough movement                                          190
                       3.3.1   Kipsigas non-thematic subjects                                    190
                       3.3.2   English tough movement                                                           199
                       3.3.3   Kipsigas non-thematic subjects via tough movement                 212
           3.4      Non-thematic subjects via ECM movement                                          213
                       3.4.1   Niuean movement to subject                                                    213
                       3.4.2   Analysis and implications                                                          221
                       3.4.3   Conclusion                                                                              234
Chapter 4        �Possessor raising�: ECM into NPs                                                      236
           4.1      Introduction                                                                                         236
                       4.1.1   Overview of Chapter 4                                                236
                       4.1.2   Organization of Chapter 4                                                        242
           4.2      NP/ECM: the possessor as direct verbal argument                               243
                       4.2.1   Kinyarwanda data                                                                   244
                                   4.2.1.1 The verb phrase                                                           244
                                   4.2.1.2 The noun phrase                                                          250
                       4.2.2   Inherent and structural case and the uniformity condition           255
                       4.2.3   Kinyarwanda case marking and the uniformity condition 259
                                   4.2.3.1 Inherent and structural case in Kinyarwanda                 259
                                   4.2.3.2 Kinyarwanda genitive case and the uniformity
                                               condition                                                                     269
                       4.2.4   NP/ECM with double case marking                                         271
                                   4.2.4.1 Tzotzil NP/ECM                                                          271
                                   4.2.4.2 Constituency in Tzotzil                                     275
                                   4.2.4.3 Problems of double case marking                                 279
           4.3      NP/ECM to specifiers of subjects                                                        282
                       4.3.1   Introduction                                                                             282
                       4.3.2   Chickasaw NP/ECM: the data                                     284
                       4.3.3   The ergativity of Chickasaw NP/ECM                         290
                       4.3.4   Multiple NP/ECM in Chickasaw                                              294
                                   4.3.4.1 NP/ECM structures                                                     294
                                   4.3.4.2 Case assignment as linking                                           298
                                   4.3.4.3 Conclusion so far                                                         301
                       4.3.5   Chickasaw NP/ECM and the projection principle                     304
           4.4      NP/ECM: the possessor as indirect verbal argument                             310
                       4.4.1   Hungarian NP/ECM                                                                310
                                   4.4.1.1 Szabolcsi (1981, 1983)                                               310
                                   4.4.1.2 Problems                                                                     317
                                   4.4.1.3 Revisions                                                                     319
                                   4.4.1.4 The structure of Hungarian NPs                                   319
                                   4.4.1.5 Case uniqueness                                                          324
                       4.4.2   Other languages                                                                       328
                                   4.4.2.1 Romanian                                                                    328
                                   4.4.2.2 Chickasaw and Choctaw (objects)                               331
           4.5      Inalienable NP/ECM                                                                           336
                       4.5.1   Introduction                                                                             336
                       4.5.2   Inalienables as datives: Kinyarwanda                                        337
                                   4.5.2.1 Kinyarwanda inalienable NP/ECM                               337
                                   4.5.2.2 Dative case NP/ECM                                                  341
                       4.5.3   Korean �take-away� verbs                                                       342
                       4.5.4   Some questions                                                                      345
                       4.5.5   Turkish S/NP//ECM and inalienable possession            350
                                   4.5.5.1 Turkish ECM                                                              350
                                   4.5.5.2 Speculations                                                                354
Chapter 5        Case theory                                                                                         356
           5.1      Introduction                                                                                         356
           5.2      Levin and Massam (1984)                                                                   356
                       5.2.1   The Nom/Acc//Erg/Abs parameter                                           357
                       5.2.2   Case theory                                                                             358
                       5.2.3   Burzio�s Generalization                                                364
           5.3      Case theory and the projection principle                                               371
                       5.3.1   The problem                                                                            371
                       5.3.2   Revised case theory                                                                 373
Conclusion      Typology                                                                                             380
           1         Introduction                                                                                         380
           2         A typology                                                                                          382
Appendix I: Gloss glossary                                                                                          386