Deriv<strong>in</strong>g <strong>the</strong> Functional HierarchyGillian Ramchand and Peter Svenonius, CASTL, University of Tromsø1 Introduction. There is a tension between Chomsky’s recent M<strong>in</strong>imalist <strong>the</strong>ory and <strong>the</strong> cartographicprogram <strong>in</strong>itiated by C<strong>in</strong>que. C<strong>in</strong>que’s cartography argues for a large number of f<strong>in</strong>e-gra<strong>in</strong>edcategories organized <strong>in</strong> one or more universal Rich Functional Hierarchies (RFH). The subtlety of<strong>the</strong> evidence and <strong>the</strong> richness of <strong>the</strong> <strong>in</strong>ventory virtually force an <strong>in</strong>natist approach.In contrast, Chomsky argues for a m<strong>in</strong>imal role for UG (MUG), shift<strong>in</strong>g <strong>the</strong> burden to extral<strong>in</strong>guisticcognition, learn<strong>in</strong>g, and what he calls third factor pr<strong>in</strong>ciples such as pr<strong>in</strong>ciples of efficientcomputation. In this paper we reconcile <strong>the</strong> austere MUG vision of Chomsky with <strong>the</strong> impressiveempirical evidence that C<strong>in</strong>que and o<strong>the</strong>rs have presented for RFH.We argue (build<strong>in</strong>g on previous work) that some Cartographic work overstates <strong>the</strong> universalityof <strong>the</strong> orders observed, and fur<strong>the</strong>rmore conflates several different order<strong>in</strong>g sources. Order<strong>in</strong>gsources <strong>in</strong>clude scope (cf. Ernst 1992, ch. 3 on frequently), polarity (cf. Nilsen 2003 on possibly),and semantic category (cf. Jackendoff 1972, McConnell-G<strong>in</strong>et 1982 on V-level and S-level adverbs).Once <strong>the</strong>se factors are properly understood, <strong>the</strong>re rema<strong>in</strong>s an irreduceable universal functionalhierarchy, for example that which orders epistemic modality and tense over root modality andaspect, and that which orders <strong>the</strong> latter over argument structure and Aktionsart (as discussed <strong>in</strong>much previous work, e.g. Bybee, Smith).This residual core functional hierarchy (CFH) is unexpla<strong>in</strong>ed so far by work which follows MUG.Ra<strong>the</strong>r than simply stipulat<strong>in</strong>g <strong>the</strong> CFH as part of UG, we reconcile CFH with MUG by detail<strong>in</strong>gwhat nonl<strong>in</strong>guistic cognition must look like <strong>in</strong> order for MUG to derive <strong>the</strong> CFH. We fur<strong>the</strong>rmoreshow how an <strong>in</strong>dividual language develops a language-specific RFH which is consistent with <strong>the</strong>universal CFH.2 Our Empirical Doma<strong>in</strong>. To ground and illustrate our general proposal, we present a specificanalysis of a classic problem from <strong>the</strong> phrase structure of English: Auxiliary order<strong>in</strong>g, illustrated<strong>in</strong> (1). In (2) we show a version of <strong>the</strong> orig<strong>in</strong>al affix hopp<strong>in</strong>g analysis from Chomsky (1957), and<strong>in</strong> (3) we present its cartographic alternative.(1) John might have been be<strong>in</strong>g chased.(2) John [ might + ∅ [ have + en [ be + <strong>in</strong>g [be + en [ chase]]]]] (Chomsky 1957)(3) [ Moodspeechact [ Moodevaluative [ Moodevidential [ Modepistemic might [ T (P ast) [ T (F uture) [ Moodirrealis [ Asphabitual[ T (Anterior) [ Aspperfect have [ Aspretrospective [ Aspdurative [ Aspprogressive been [ Aspprospective [ Modroot[ V oice be<strong>in</strong>g [ Aspcelerative [ Aspcompletive [ Aspsemelfactive [ Aspiterative [ V P chased]]]]]]]]]]]]]]]]]]]]]] (C<strong>in</strong>que1999)The problem with (2) is that it encodes no general or universal claim, but is simply a hierarchicalrepresentation for <strong>the</strong> particular given morphemes. The problem with (3) is it simply repeats<strong>the</strong>se morphemic tags <strong>in</strong> <strong>the</strong> labels for <strong>the</strong> functional items proposed and does not ground <strong>the</strong>msemantically. It also explicitly advocates a view of phrase structure which is <strong>the</strong> conjunction of <strong>the</strong>morphemes and pairwise order<strong>in</strong>gs that could be established across all <strong>the</strong> languages <strong>in</strong>vestigated.This view takes <strong>the</strong> hierarchization of function so seriously that even when <strong>the</strong> ‘same’ lexical itemis found <strong>in</strong> two possible word order positions, <strong>the</strong> assumption is that <strong>the</strong>re are two dist<strong>in</strong>ct heads,but that for some reason certa<strong>in</strong> lexical items can merge equally well <strong>in</strong> more than one position.C<strong>in</strong>que (1999) does not of course advocate rampant homonymy; he argues that certa<strong>in</strong> adverbsfor example, or modals, have general enough semantics that <strong>the</strong>y are compatible with more thanone categorial functional head and have <strong>the</strong>ir mean<strong>in</strong>g modulated accord<strong>in</strong>g. However, this opensup <strong>the</strong> possibility that a worked out version of <strong>the</strong> semantics of <strong>the</strong>se items, toge<strong>the</strong>r with an
understand<strong>in</strong>g of <strong>the</strong> semantic type(s) of <strong>the</strong> constituents <strong>the</strong>y comb<strong>in</strong>e with could deliver <strong>the</strong>required order<strong>in</strong>g and <strong>in</strong>terpretation without <strong>the</strong> extra C<strong>in</strong>quean functional heads (see e.g. Ernst2002 for such an attempt). In this paper we present a concrete analysis of English auxiliary order<strong>in</strong>gthat is designed specifically to motivate a particular CFH for <strong>the</strong> verbal extended projection, andshow how <strong>the</strong> richer order<strong>in</strong>g evidence from C<strong>in</strong>que can never<strong>the</strong>less be reconciled with it.3 Ontology and Category. The CFH, we argue, has its basis <strong>in</strong> a semantic ontology of ‘sorts’which is f<strong>in</strong>er-gra<strong>in</strong>ed than commonly assumed. One important part of this is a three-way dist<strong>in</strong>ctionamong events, situations, and propositions, build<strong>in</strong>g on work by Kratzer, Giorgi & Pianesi,Hacquard, and o<strong>the</strong>rs <strong>in</strong> our <strong>the</strong>ory of <strong>the</strong> semantics of <strong>the</strong> clause. The semantic ontology, weargue, has its roots <strong>in</strong> turn <strong>in</strong> extral<strong>in</strong>guistic cognition. Language constructs categories which arecompatible with this extral<strong>in</strong>guistic component <strong>in</strong> <strong>the</strong>ir organization, for example a VP is an eventdescription, a TP is a situation description, and a CP is a proposition, and as a result of <strong>the</strong>conta<strong>in</strong>ment relation among those entities, C > T > V.Consider <strong>in</strong> <strong>the</strong> light of our English example given <strong>in</strong> (1) above which exemplifies Epist > Perf> Prog > Pass. Epist[emic modality] must dom<strong>in</strong>ate <strong>the</strong> o<strong>the</strong>rs because it is only def<strong>in</strong>ed at <strong>the</strong>propositional level. Perf[ective aspect] must be <strong>in</strong> <strong>the</strong> situational doma<strong>in</strong>, below <strong>the</strong> propositionaldoma<strong>in</strong>, because it <strong>in</strong>volves temporal precedence, only statable at <strong>the</strong> level of <strong>the</strong> situation, accord<strong>in</strong>gto our assumptions (as motivated by Barwise & Perry and o<strong>the</strong>r previous work). Prog[ressiveaspect] could <strong>in</strong> pr<strong>in</strong>ciple be part of <strong>the</strong> situational or eventive doma<strong>in</strong>, depend<strong>in</strong>g on whe<strong>the</strong>r itis essentially an aspect or essentially an Aktionsart. We show that <strong>in</strong> English, it <strong>in</strong>teracts wi<strong>the</strong>vent semantics, and hence must be <strong>in</strong> <strong>the</strong> VP-doma<strong>in</strong>, below Perf. Pass[ive] <strong>in</strong>volves argumentstructure, and hence is also clearly part of <strong>the</strong> VP.A certa<strong>in</strong> subset of order<strong>in</strong>g properties is built on this substrate. However, elements with<strong>in</strong> <strong>the</strong>same sortal doma<strong>in</strong> can be shown to exhibit order<strong>in</strong>g flexibilities with attendant semantic differenceswhich can be attributed to scope. We analyze examples of adverbial order<strong>in</strong>g which we argue feedoff <strong>the</strong> rigidity of sortal embedd<strong>in</strong>g, and contrast <strong>the</strong>m with o<strong>the</strong>r cases where adverbial order<strong>in</strong>gflexibilities derive from scopal <strong>in</strong>teractions with<strong>in</strong> sort. Thus, for example, a manner adverb likequickly names an attribute of an event, hence attaches at <strong>the</strong> VP level, while an aspectual adverblike already is part of a description of a situation and hence can only attach at <strong>the</strong> TP level. Thiscaptures and <strong>in</strong> fact derives <strong>the</strong> basic <strong>in</strong>tuition beh<strong>in</strong>d <strong>the</strong> category-based order<strong>in</strong>gs discussed byJackendoff, McConnell-G<strong>in</strong>et, and Ernst, among o<strong>the</strong>rs.The f<strong>in</strong>er-gra<strong>in</strong>ed order<strong>in</strong>gs seen <strong>in</strong> <strong>the</strong> RFH are captured <strong>in</strong> this model without <strong>the</strong> need topostulate as many semantic categories as <strong>the</strong>re are positions <strong>in</strong> <strong>the</strong> RFH; <strong>in</strong> o<strong>the</strong>r words <strong>the</strong> RFHhas a dist<strong>in</strong>ct source from <strong>the</strong> CFH. We show that <strong>the</strong> positions <strong>in</strong> <strong>the</strong> RFH are not as universal as<strong>the</strong>y have been made out to be. Some of <strong>the</strong> order<strong>in</strong>gs of <strong>the</strong> RFH are due to scope or polarity, asmentioned above, and o<strong>the</strong>rs we ascribe to selection. We argue that category selection is part of howlanguage organizes categories, with <strong>the</strong> effect that essentially functional considerations may lead torigid language-specific orders (along <strong>the</strong> l<strong>in</strong>es discussed by Horn 1989 for modals and negation).3 Consequences. The reconciliation that we propose of Chomsky’s MUG with C<strong>in</strong>que’s RFH hasimportant consequences. Work which adheres closely to <strong>the</strong> M<strong>in</strong>imalist C-T-v-V template for <strong>the</strong>clause can expla<strong>in</strong> only a t<strong>in</strong>y part of <strong>the</strong> observed hierarchy, e.g. {Epist, Perf} > {Prog, Pass} (byC > v); Chomsky argues that all syntactically relevant features come from <strong>the</strong> phase heads and aredistributed with<strong>in</strong> <strong>the</strong> phases by Inheritance. There is no motivation for order<strong>in</strong>g with<strong>in</strong> ei<strong>the</strong>r of<strong>the</strong> two phasal doma<strong>in</strong>s. Cartographic work, on <strong>the</strong> o<strong>the</strong>r hand, places no limits on <strong>the</strong> stipulatedhierarchy but cannot provide a phylogenetic source for it. By dist<strong>in</strong>guish<strong>in</strong>g CFH from RFH, ourcompromise reta<strong>in</strong>s <strong>the</strong> austere and conceptually attractive MUG assumption without forc<strong>in</strong>g usto say that most of grammar is a matter of ‘externalization’ or ‘usage’ or simply relegat<strong>in</strong>g it tounspecified ‘<strong>in</strong>terface conditions.’
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GLOW Newsletter #70, Spring 2013Edi
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INTRODUCTIONWelcome to the 70 th GL
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Welcome to GLOW 36, Lund!The 36th G
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REIMBURSEMENT AND WAIVERSThe regist
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STATISTICS BY COUNTRYCountry Author
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15:45-16:00 Coffee break16:00-17:00
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14:00-15:00 Adam Albright (MIT) and
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17:00-17:30 Anna Maria Di Sciullo (
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16.10-16.50 Peter Svenonius (Univer
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GLOW 36 WORKSHOP PROGRAM IV:Acquisi
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The impossible chaos: When the mind
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17. Friederici, A. D., Trends Cogn.
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Second, tests replicated from Bruen
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clusters is reported to be preferre
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occur (cf. figure 1). Similar perfo
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argument that raises to pre-verbal
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Timothy Bazalgette University of
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. I hurt not this knee now (Emma 2;
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Rajesh Bhatt & Stefan Keine(Univers
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SIZE MATTERS: ON DIACHRONIC STABILI
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ON THE ‘MAFIOSO EFFECT’ IN GRAM
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The absence of coreferential subjec
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PROSPECTS FOR A COMPARATIVE BIOLING
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A multi-step algorithm for serial o
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Velar/coronal asymmetry in phonemic
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On the bilingual acquisition of Ita
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Hierarchy and Recursion in the Brai
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Colorful spleeny ideas speak furiou
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A neoparametric approach to variati
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Lexical items merged in functional
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Setting the elements of syntactic v
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Language Faculty, Complexity Reduct
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Don’t scope your universal quanti
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Restricting language change through
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4. Conclusion This micro-comparativ
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2. Central Algonquian feature hiera
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availability of the SR reading in (
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Repairing Final-Over-Final Constrai
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a PF interface phenomenon as propos
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(b) Once the learner has determined
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cognitive recursion (including Merg
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can be null, or lexically realized,
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feature on C and applies after Agre
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Nobu Goto (Mie University)Deletion
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Structural Asymmetries - The View f
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FROM INFANT POINTING TO THE PHASE:
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Some Maladaptive Traits of Natural
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Constraints on Concept FormationDan
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Parasitic Gaps Licensed by Elided S
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Stages of grammaticalization of the