Argument realization: grammatical function and case assignment
- Autores: Fengrong Yang
- Directores de la Tesis: Alexandre Alsina (dir. tes.)
- Lectura: En la Universitat Pompeu Fabra ( España ) en 2019
- Idioma: español
- Tribunal Calificador de la Tesis: Joan Maling (presid.), Enric Vallduví Botet (secret.), Mary Dalrymple (voc.)
- Programa de doctorado: Programa de Doctorado en Traducción y Ciencias del Lenguaje por la Universidad Pompeu Fabra
- Materias:
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- Resumen
In this dissertation we propose a new mapping theory within the OT-LFG framework to account for the fact that in Catalan and other Romance languages, the direct argument of intransitive verbs (whether unaccusative or unergative), as well as the internal argument of transitive verbs in passive constructions, alternates between subject and object, but is consistently in the nominative case and agrees with the main predicate of the clause. The proposed analysis diverges from standard versions of mapping theories in LFG, as it discards the generally assumed [±r]/[±o] feature decomposition system and the Subject Condition as an inviolable principle, allowing an external argument to map onto an object and permitting a clause to lack a subject. In our new mapping theory, case assignment plays a major role. The theory is a simple one, consisting of a principle mapping a core argument onto a direct grammatical function (DGF), in addition to a small set of case assignment principles, argument-to-grammatical function (GF) mapping rules, and constraints restricting GF assignment on the basis of case features and definiteness of the arguments, as well as morphosyntactic operations such as passivization, causativization, and reflexivization. The subject-object alternation is constrained by definiteness: the argument is a subject if it is definite and is an object if it is indefinite. The claim that verbs agree with a nominative function (either subject or object) is explained by applying a theory of agreement proposed independently of the facts of Catalan, namely, by assuming a set of agreement features (AGR) of the clause that are identified with the AGR of a GF, and not necessarily the subject, by general constraints. One of the implications of our theory is that argument-to-GF realization takes place in the syntax, instead of in the lexicon. The assumption of standard LFG mapping theories that the mapping of arguments to GFs happens in the lexicon implies that languages with expletives should also stipulate the expletive in the lexical entry of the predicate that co-occurs with the expletive. We thus propose a theory for English expletives according to which predicates do not lexically specify whether they take an expletive or what expletive they take, but the distribution of expletives follows from general principles and from the lexical entries of the expletives, thereby opening up new lines of relevant typological research.
This dissertation is organized as follows.
The relevant facts are presented in Chapter 2. We will first analyze argument realization in intransitive clauses in Catalan to show how the behavior of the single direct argument of intransitive verbs (the intransitive argument, for short) is split between subject and object. We will then confirm our claim by analyzing the behavior of the internal argument of transitive verbs in passive constructions, considering that passivization is commonly taken to be a detransitivization process which makes a transitive verb appear similar to an unaccusative one. With the linguistic facts to be listed, we demonstrate that the internal argument of a passivized transitive verb in Catalan does not always behave like a subject: it behaves in some ways like an object as well. Some consequences of the subject-object alternation are that an external argument may be realized as an object, a predicate may agree with its object, and a clause may lack a subject. All these facts and implications in this chapter pose a series of correlated questions, such as argument realization, case assignment, and verbal agreement, etc., all of which require reasonable theoretical accounts.
In Chapter 3 we introduce the theoretical framework within which the dissertation is developed: Lexical-Functional Grammar (LFG), a parallel, constraint-based non-derivational linguistic model in which the word and the lexicon play a major role. We first give a brief introduction to three of the basic structures assumed in LFG (namely, constituent structure/c-structure, functional structure/f-structure, and argument structure/a-structure), as well as the well-formedness conditions licensing these structures and their correspondences. We then present Optimality Theory (OT), followed by an introduction to the implementation of OT in current LFG syntax. The combination of OT with LFG will enable us to give a plausible explanation to the subject-object alternation puzzle to be brought up in Chapter 2 and facilitate the development of our theory of expletives in Chapter 5. After presenting the general theoretical framework, we review current mapping theories and discuss the problems they face. In addition, we will discuss case assignment issues in LFG. We observe that current mapping theories fall short of a complete picture of explanation to the subject-object alternation problem. We also observe that case assignment has not been playing an active role in the argument-to-function mapping process, and claim that such incorporation can avoid the problems that current mapping theories may face.
The argument realization theory needed to account for these issues is proposed in Chapter 4, where case assignment plays a crucial role in constraining the mapping of arguments to grammatical functions. The present mapping theory assumes a level of argument structure and three sets of principles licensing argument realization, i.e., case assignment principles, argument-to-GF linking rules, and constraints on case features. The subject-object alternation puzzle is accounted for within the OT-LFG framework, mainly by assuming a constraint concerning the definiteness of the relevant argument that interacts with other constraints to yield grammatical constructions. The agreement facts –including the agreement in constructions involving a raising verb like semblar ‘seem’– are also explained, applying the theory of agreement proposed by Alsina and Vigo (2014, 2017). As for the illustration of our mapping theory, we test it with four types of predicates in Catalan in their simple active form (i.e, intransitives, transitives, ditransitives, and like-type verbs) and discuss the effect of morphosyntactic operations on the mapping process, including passivization, impersonalization, and causativization. For each morphosyntactic operation, we first review their previous LFG approaches, then give our own account to them according to the proposed mapping theory, and test if our theory works with the above-mentioned four types of predicates. Passivization is accounted for by assuming two passive morphemes that suppress the highest argument of the predicate that the passive morpheme attaches to; impersonalization is explained by assuming a reflexive impersonal se; and causativization is explained by assuming the causative construction to be monoclausal, with a causative verb and an infinitive base verb forming a complex predicate. Our assumption –following Alsina (1996) and Butt (1995)– that causative constructions only have one PRED value in the f-structure of the main clause requires us to renew our mapping theory in order to account for case assignment issues in complex predicate constructions.
One thing in common between our mapping theory and the mapping theories of Alsina (1996) and Butt (1995) is that argument mapping takes place in the syntax, rather than in the lexicon. This is a departure from what Lexical Mapping Theories (LMTs) commonly assume: in LMTs, argument realization happens in the lexicon, which implies that in languages with expletives, the expletive needs to be stipulated in the lexicon of the predicate that co-occurs with this expletive function. Chapter 5 therefore proposes an alternative approach to expletives with reduced levels of stipulation in the lexicon. We will mainly concentrate on English, claiming that the distribution of expletives follows from general principles and from the lexical entries of relevant expletives. Therefore, expletives are not subcategorized for in the lexicon. Adapting Zaenen (1989)’s WYSIWYG (i.e., what you see is what you get) principle, we claim that an expletive function cannot appear in the f-structure if it is not present in the c-structure, thus reducing the structural complexity. Though we will not look into the details of the expletive system in other languages, our theory of expletives designed for English is inspirational for a cross-linguistic study. Finally, the main conclusions are summarized in Chapter 6.
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