Stuctural Invariance and Symmetry in Syntax
D. Sportiche, 1983
This essay investigates the incidence of the Isomorphy Principle, a principle of thematic invariance across levels of syntactic representations, on the nature of the relations between these levels, within the model of Universal Grammar proposed by the Transformational Generative Theory (the Government and Binding framework). This leads us to undertake a reanalysis of various syntactic dependencies �move NP, move-wh�- and to develop a theory of f-categories and correlatively a theory of Binding relations.
Move NP is exclusively studied from the point of view of syntactic chains, from which its properties will be shown to be entirely derivative: this result entails primarily that D-structure is not an independent level of representation.
Move-wh and more generally the theory of the set of A�/A relations is investigated. We show that this set is symmetric with respect to the value of any binary classificatory features used. In particular, we conclude that invariance across levels is one such feature so that A�/A relation types partition equally depending on whether they remain invariant across levels or not: we also deduce that clitic constructions do not involve an A�/A relation.
The set of f-categories is also shown to be closed under symmetry. From this, we conclude that there is no type distinction between expletive PRO and NP-trace, and between pronouns, resumptive pronouns, wh-traces and pro. This last result is the conceptual cornerstone of our treatment of Weak Crossover, Strong Crossover and Parasitic Gap structures. We conclude as well that PRO is a �pure� anaphor and that the theory of its referential properties � Control Theory � partly reduces to Binding Theory, partly to the theory of the range of non-overt operators.
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
Introduction                                                                                                                 7
           1         Setting                                                                                                 7
           2         Assumptions                                                                                        8
                       2.1      The base                                                                                 10
                       2.2      Government theory                                                                  11
                       2.3      q-theory                                                                                  12
                       2.4      Case theory                                                                             14
                       2.5      Binding theory                                                             15
                       2.6      The Empty Category Principle (ECP)                                       16
                       2.7      Bounding theory                                                                      17
           3         Summary of contents                                                                           17
Chapter I         Invariance of thematic structure: the isomorphy principle                       21
           1         Congruence between levels of representations                          21
           2         Non-isomorphic cases of movement                                                     25
           3         Extended non-isomorphic derivations                                       34
           4         Why are there non-isomorphic derivations                                            35
Footnotes to Chapter IÂ 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 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 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 Â Â Â Â Â Â Â Â Â Â Â 39
Chapter II       Chain Theory                                                                                       40
           0         S-structure as the basic level of representation                          40
           1         On the theory of chains                                                            42
                       1.1      Introduction                                                                             42
                       1.2      Some remarks on Chomsky�s theory of chains             43
           2         Formal properties of chains                                                                  46
                       2.1      Chains and NP-types                                                               46
                       2.2      The positions of GF-q in a chain                                               48
                       2.3      The Case position in a chain                                                     54
                       2.4      Position of the argument in a chain                                            61
                       2.5      Maximality and uniqueness of chains                                         63
                       2.6      Empty Categories and cateogry classification                68
                                   2.6.1   Heads of chains, case filter and visibility            69
                                   2.6.2   Non-heads of chains                                                    82
Footnotes to Chapter II
Chapter III      A�/A relations                                                                                      91
           1         The Map Principle                                                                               91
           2         Variables and the level of application of The Map Principle                   94
           3         Properties and parameters of A�/A relations                                         97
           4         Level of relevance of A�/A relations properties                         99
                       4.1      The subjacency condition                                                         99
                       4.2      Parasitic gaps                                                                          106
                       4.3      Weak crossover                                                                      109
           5         A classification of A�/A relations                                                          113
           6         Clitic constructions                                                                               133
                       6.1      Chomsky�s analysis                                                                 133
                       6.2      Clitic constructions as LF A�-binding                                        137
                       6.3      Problems with clitics as LF A�-binders                         140
           7         Strong crossover                                                                                 146
           8         Parasitic gaps and WCO                                                                     157
                       8.1      The basic parallelism of PG and WCO structures                     157
                       8.2      Breach of parallelism                                                                163
                                   8.2.1   Heavy NP-shift                                                164
                                   8.2.2   Relative clauses                                                           165
                                   8.2.3   PG and subjacency                                                      171
                                   8.2.4   Caseless PG                                                                174
                       8.3      Further remarks on WCO                                                        177
                       8.4      On the definition of variables                                                    179
           9         Improper movement and successive cyclicity                            180
                       9.1      Improper movement                                                                181
                       9.2      Successive cyclicity and related matters                        183
Footnotes to Chapter IIIÂ 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 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 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 Â Â Â Â Â Â Â Â Â 187
Appendix        The structure of clitic constructions                                                      196
           0         Introduction                                                                                         196
           1         Pronominal and reflexive/reciprocal clitics                                             198
                       1.1      Clitic constructions and A-binding                                            199
                       1.2      Clitics and chains                                                                     202
                       1.3      Clitics as agreement marker                                                     207
                       1.4      Summary                                                                                 210
           2         Subject clitics                                                                                     212
                       2.1      Analysis of SCL constructions                                      213
                       2.2      Complex inversion                                                                   216
                       2.3      Clitic doubling                                                              218
Footnotes Appendix                                                                                                    221
Chapter IV      f-categories and binding theory                                                 225
           1         The nature of the problem                                                                    225
                       1.1      Introduction                                                                            225
                       1.2      Questions on the Binding Theory                                              226
                       1.3      Are lexical anaphors f-categories                                              227
                       1.4      The problem of f-categories classification                                 230
           2         The classification of f-categories                                                           231
                       2.1      Classificatory dimensions                                                         231
                       2.2      The semantically based inventory                                              234
                                   2.2.1   Arguments                                                                   234
                                   2.2.2   Non-arguments                                                244
                                   2.2.3   Consequences and problems                                        249
                       2.3      The formally based inventory                                                    256
                       2.4      Summary                                                                                 262
           3         Binding principles and the distribution of PRO                          264
                       3.1      Government, case-marking, and PRO                          265
                                   3.1.1   Case-marked ungoverned positions                              266
                                   3.1.2   Governed caseless positions                                         270
                       3.2      Formulation of the binding principles                                         279
                                   3.2.1   On SUBJECTS and binding domains                           280
                                   3.2.2   Binding domains                                                          283
                                   3.2.3   Some further remarks and outstanding problems           287
           4         ECP and expletive PRO                                                                      288
                       4.1      Where does the binding theory apply?                          288
                       4.2      What does the ECP apply to?                                                  289
                                   4.2.1   ECP for pro=ECP for NP-traces                                 290
                                   4.2.2   The distribution of expletive PRO                                 290
           5         Remarks on Control Theory                                                                 293
                       5.1      The obligatory/non-obligatory control distinction                       293
                       5.2      Obligatory control                                                                    295
                       5.3      Non-obligatory control                                                299
           6         Caseless variables                                                                                304
                       6.1      Must variables have Case                                                        305
                       6.2      Some consequences                                                                307
                                   6.2.1   Symmetry of f-categories classification             307
                                   6.2.2   On deriving the CEP                                                    307
                                   6.2.3   Obligatory control                                                        308
                                   6.2.4   Non-obligatory control                                    309
                                   6.2.5   PG/WCO and PRO                                                    311
                                   6.2.6   Summary                                                                     312
Footnotes to Chapter IVÂ 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 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 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 Â Â Â Â Â Â Â Â Â 313