Principles and Parameters and Government and Binding - Syntactic Theory … · 2009. 11. 5. ·...

Principles and ParametersGovernment and Binding

Principles and Parameters and Governmentand BindingSyntactic Theory

Winter Semester 2009/2010

Antske Fokkens

Department of Computational LinguisticsSaarland University

20 October 2009

Antske Fokkens Syntax — History 1 / 57


Outline

1 Principles and Parameters

2 Government and BindingIntroductionX-bar theoryGovernment



Outline





Principles and Parameters

An approach to the question of how children acquirelanguage

Ideas started shaping since the early days of moderngenerative grammar

The version that is usually referred to was presented in the80s

Principles and Parameters is an approach, and not (meantto be) a specific theoretical system



Previous ideas and observations

Despite large variations, languages have many commonproperties on an abstract level

Children learn languages easily, despite the fact thatlanguage are highly complex

Idea: the common properties of languages are innate, onlyvariations need to be learned



Principles and Parameters

Universal Grammar can be defined as:

The set of Principles that are common to all languagesThe initial state of language knowledge for human beings

Principles may include parameters, which representsettings that may vary from language to language

Children ’simply’ need to learn the values of relevantparameters to acquire the grammar of their nativelanguage



Goals of syntactic research

In this setting, the research on syntax should answer thefollowing questions:

What are the Principles that are part of Universal Grammar

What parameters are there in Universal Grammar, andwhat are their possible values in individual languages?



General views on language acquisition

How children learn language is still an open question

The idea that language is a complex system (allsyntacticians working on English over the last 50 years stillhaven’t managed to describe it) and children learn thiseasily is not much disputed

Researchers do (very much) disagree on whether thisimplies that we are born with a universal grammar in ourmind, and if so, what this would look like



IntroductionX-bar theoryGovernment

Outline






Introduction

Government and Binding refers to a specific approach tolinguistic theory

It followed from Extended Standard Theory intransformational grammarImportant differences with previous approach:

More modularity: it actually consists of a set of theories thatinteract (Government and Binding being two of them)Focus on principles rather than rules




GB-theories (1/2)

X̄ Theory

θ Theory

Case Theory

Binding Theory

Bounding Theory

Control Theory

Government Theory

Chomsky (1982: p.6)




GB-theories (2/2)

Each theory studies principles of rule and representationthat are a subsystem of UG

They may affect different levels of language (d-structure,s-structure or LF)

All have in common that they operate on syntacticstructures

This leads to interactions between the theories that can getquite complex, even if principles are kept simple

Hope: if interactions between simple principles may lead tocomplex properties, this may explain why language iscomplex but easily learned




This Lecture

We will have a closer look at X̄ and Government Theory

X̄ Theory forms the basis of syntactic structure in thetransformational tradition

Government plays a central role in the theory, because itprovides the conditions for principles of other theories toapply (e.g. case and θ-assignment, binding)

They are the only two theories in GB that do not (directly)relate to specific phenomena




X-bar theory: motivations

X-bar theory was developed in the seventies to designphrase structures in a more theoretically sound wayIt ended up addressing several issues:

1 stronger generalization than previously used PSG2 introducing a structural difference between complements

and modifiers3 removing a redundancy between lexical contribution and

the contribution of PS-rules (mentioned by Ouhalla 1994)




Redundancy

Redundancy: the items that may form a VP is determinedboth by the subcategorization properties of the verb, andby the Phrase-Structure rules.

Is it possible to use only one of the two?

We can use only subcategorization, but then thisinformation must be present at all levels

Projection Principle:“Representations at each syntactic level (i.e., L.F., and D- andS-structure) are projected from the lexicon, in that the observethe subcategorization properties of lexical items.”

Chomsky (1981) p. 29




Generalization

Can we define phrase structure rules in a way thatcaptures cross-linguistic properties of syntactic structures?

Can we define phrase structure rules in a way that allowsto capture commonalities in structure within a language(e.g. subject of a sentence or an NP in English)?

Can we define phrase structure rules in a way thatdistinguishes complements from adjuncts?




X-bar Theory: definitions

We can generalize PS-rules as follows:

XP → ...X...

We say that XP is the maximal projection of X

In X̄-theory X is an obligatory element on the right-handside of the rule. It is called the head of the maximalprojection.

The maximal projection XP and its head X are different barlevels of X




The X-bar Convention I

X̄ Convention: a “theory of syntactic categories”There are three major claims:

1 There is a set of syntactic features in UG defining possiblelexical categories. A language selects the lexical categoriesit uses from UG (in much the same way as it selectsphonemes)

2 Each lexical category X defines supercategoriesX’,X”,...,Xk . Xn and Xn−1 are related through the followingPS-rule:

X n → ...X n−1...

The head of Xn may be defined as either Xn−1 or lexicalcategory X




The X-bar Convention II

3 Grammatical formatives are defined as feature complexesand a prime notation:

2

6

4

αF1βF2...

3

7

5

i

e.g. V’:2

6

6

6

4

+Subj+Object+Comp...

3

7

7

7

5

’ N’:2

6

6

6

4

+Subj−Object+Comp...

3

7

7

7

5

’

based on Jackendoff (1977)




Bar-levels and properties

How many bar-levels does each category have?This is an empirical question: how many are needed toaccurately describe language?For this overview, we follow Jackendoff (1977) and supposethree bar-levels for each category: X ′, X ′′ and X ′′′

Lexical categories are of type X , maximal projections X ′′′,for most categories this is XP (for V this is S)




The PS-rule’s canonical form

We suppose that elements appearing left or right of X n−1

are either major categories or specified grammaticformatives (such as tense)

The canonical form of the X̄ PS-rule is then:

Xn → (C1)...(Cj) – Xn−1 – (Cj+1)...(Ck ),and for all Ci either Ci = Y′′′ for some lexical category Y, orCi is a specified grammatical formative.

Jackendoff (1977: p.36)

Language specific rules determine on what side of Xdifferent elements may appear




Parallelism between structures (example)

Important idea in X̄ Theory: if there are parallel relationsacross categories, these categories must be syntacticallyparallel in respect to the relationFor instance: the subject of a sentence (V”’) and thesubject of an NP (N”’):

1 John has proved the theorem2 John’s proofs of the theorem





Two (old) proposed structures

S

N”

N’

N

John

V”

Specv

T

Pres

have en

V’

V

prove

N”

the theorem

N”

SpecN

Preart

Several

of Poss

N”

N’

N

John

’s

N’

N

proofs

P”

of the theorem

Chomsky’s analysis presented by Jackendoff (1977: p. 38)




A uniform structure for subjects: step 1

Assumption: several of is not the specifier, but part of ahigher NP: N”

N’

N or Q

Several

of N”

SpecN

Poss

N”

N’

N

John

’s

N’

N

proofs

P”

of the theorem

Adapted from Jackendoff (1977: p.40)





Assumption 2: note that the ’s always occurs with subjects of NPs, alsoin cases where the subject moved there (consider the city’s destructionby the enemy )→ ’s is inserted at the last moment: N”

SpecN

N”

N’

N

John

N’

N

proofs

P”

of the theorem





There is no category ’Spec’: both SpecN and SpecV can be removed:

S

N”

N’

N

John

T

Pres

have en V’

V

prove

N”

the theorem

N”

N”

N’

N

John

N’

N

proofs

P”

of the theorem

Jackendoff (1977: p.40-41)




Final step: three bar-levels

There are only two bar levels so far: we add a bar-level one to N and V:

S

N”’

John

V”

T

Pres

have en V’

V

prove

N”’

the theorem

N”’

N”’

John

N”

N’

N

proofs

P”’

of the theorem

from Jackendoff (1977: p.41)




Uniform Subject Structures, Concluding remarks

In English, the grammatical relation ’subject-of’ can now bedefined as:

[N”’,[+ Subj]]

For motivation of why three bar levels would be preferable,see Jackendoff (1977)




Complements

There are three types of complements that may becombined with a head:

Functional ArgumentsRestrictive ModifiersNonrestrictive Modifiers

X̄ Theory assumes that each of these complements attachat a different bar level:

X’: Functional ArgumentsX”: Restrictive ModifiersX”’: Nonrestrictive Modifiers




Functional Arguments (1/3)

How can functional arguments be recognized? Someexamples:

Functional arguments are subcategorized by their headTests:

Can the element be omitted?1 I put the book on the table2 *I put the book

But,Sam told Kim a lie vs Sam told KimArguments of nouns and adjectives are typically optional

Certain Anaphoric processes (see next slide)






Anaphoric processes can be used to identify argumentsThe anaphor do so can be used to contrast betweenAdverbials, but not between functional arguments:

1 Kim went to the movies on Thursday, and Sam did so onFriday.

2 *Kim put the book on the table, and Sam did so on the chair.3 *Sam told Kim a lie, and Bill did so the truth.





Similarly, the anaphor one in NPs cannot be used tocontrast between functional arguments:

1 John met the King from England, and I the one from France.2 *John met the King of England, and I the one of France.

Order can also be an indicator: In English functionalarguments immediately follow their head:*I met the King from France of England.

For more criteria see (among others) Jackendoff (1977)




X’ vs X” complements: the King of England fromFrance

N”’

Det”’

the

N”

N’

N

King

P”’

of England

P”’

from France





V” versus V”’

V” complements are restrictive modifiers, they:1 are typical VP adverbials and express things such as

purpose, manner, instrument, or means2 contribute to the meaning of the main assertion3 can be in focus, clefted or fall under scope of negation

John hit the nail softly.It was with the hammer that John hit the nail.We didn’t buy this for your benefit.

Examples from Jackendoff (1977: p.61)

They contribute to the truth conditions of the assertion




V” versus V”’

V”’ complements are nonrestrictive modifiers, they:1 are typical Sentential adverbials2 add some auxiliary assertion3 cannot be in focus, clefted or fall under scope of negation

*John hit the nail softly, of course.*It was in my opinion that John hit the nail.*John didn’t hit the nail, I think.

Similar distinctions apply to N”’ and N” complements

For English, word order supports the idea that N”’complements attach higher than N” complements




X”’ complements: Presumably, John has proven thetheorem

V”’

Adv”’

Presumably

N”’

John

V”

T

Pres

have en V’

V

prove

N”’

the theorem

(hypothesized)




Some remarks on X-bar Theory

X-bar theory is a module of grammar concerned with thePhrase Structure of grammar

It has been widely adopted in syntactic theory

X-bar structure is still used in (some versions of) GB andMinimalism

References to it are also found in purely computationallinguistic work that are not necessarily focusing onsyntactic analysis




PS Definitions: Dominance

Dominance“Node A dominates node B iff A is higher up in the treethan B and if you can trace a line from A to B going onlydownwards”

Haegeman (1991: p.75)

A

B

C

D

E

F

G

H

I

J

K

What are the dominance relations in the tree above?




PS Definitions: Immediate Dominance

Dominance (repeated)“Node A dominates node B iff A is higher up in the treethan B and if you can trace a line from A to B going onlydownwards”


Node A immediately dominates B iff B is a daughter of A

The immediate constituents of A are the nodes A immediatelydominates




PS Definitions: Precedence

Precedence“Node A precedes node B iff A is to the left of B and Adoes not dominate B and B does not dominate A”


A

B

C

D

E

F

G

H

I

J

K

What are the precedence relations in the tree above?




Other definitions related to structure?

Are there other structural relations that are relevant forsyntax?

Let’s look at some data...

How does a specific phenomenon behave in relation withstructure?

Can we observe generalities?




Agreement

Agreement can be seen as cross-reference between wordsthat are part of a sentence or phrase

When agreement occurs, the form of one (or more) wordsin the sentence depends on grammatical properties ofsome other wordSome examples:

Subject agreement: the form of the verb changesdepending on (e.g.) person, number, gender, or noun classof the subjectObject agreement: the form of the verb changes dependingon (e.g.) person, number, gender, or noun class of theobjectAgreement within NPs: determiner, adjectives and nounthat form an NP must occur in a form the reflects the samenumber, gender, case, or noun class




Agreement, examples

Subject-verb Agreement (French)(1) je

Iparle,talk-1sg,

nouswe

parlons,talk-1pl,

vousyou

parleztalk-2pl

(2) *jeI

parlons,talk-1pl,

*nouswe

parlez,talk-2pl

*vous,

parleyou talk-1/3sg

Article, Adjective Noun agreement (French)(3) une

a-Fbellebeautiful-Fsg

maison,house-sg,

una-Msg

beaubeautiful-Msg

chapeauhat-Sg

(4) *unea-F

beaubeautiful-Msg

maison,house-sg,

*una-M

bellebeautiful-Fsg

maison,house-sg,

*unea-Fsg

bellebeautiful-Fsg

chapeauhat-Sg




Agreement and Structures (1/4)

In the following examples, we use examples and trees asproposed in Haegeman (1991: p 97–136)

Verb-subject agreement in French:

IP

NPi

Poirot

I’

Ii

-e

VP

abandonn- l’affaire





Agreement and Structures (2/4)

Determiner-Noun agreement in French:

NP

Speci

le

N’

Ni

livre

PP

sur Chomsky





Agreement and Structure (3/4)

In West Flemish complement sentences, complementizer,subject and verb agree

Consider the following examples:

(5) ...da...that-sg

denthe

inspekteurinspector

dathat

boekbook

gelezenread

eet.has

"...that the inspector has read that book"

(6) ...dan...that-pl

d’inspekteursthe inspectors

dathat

boekbook

gelezenread

een.have

"...that the inspectors have read that book"

Taken from Haegeman (1991: p.119)




frametitleAgreement and Structures (4/4)

Complementizer-Subject-Verb Agreement in West Flemish

CP

Spec C’

Ci

da

IP

NPi

den inspekteur

I’

VP

da boek gelezen

Ii

eet





Common structure of agreement

Subject-verb agreement and determiner noun agreementin French are cases where specifier and head agreeThis cannot be said of the agreement of thecomplementizer with subject and verb in West FlemishBut there is always an hierarchical difference between theelements, i.e. when two elements agree, one of them ishigher up in the tree than the other: X

Ai

BiIn all trees, the node that immediately dominates the firstagreeing element (Ai ), also dominates the secondagreeing element (Bi ): we say that A c-commands B




PS Definitions: c-command

c-commandNode A c-commands node B iff

(i) A does not dominate B and B does not dominate A; and(ii) the first branching node dominating A also dominates B


The set of nodes that A c-commands is called the c-command domainof A




PS Definitions: m-command

m-commandNode A m-commands node B iff

(i) A does not dominate B and B does not dominate A; and(ii) every maximal projection dominating A also dominates B

Based on Haegeman (1991: p.135)




PS Definitions: government

Government

Node A governs node B iff A m-commands B, A is a headand no maximal projections intervenes between A and B

VP

V’

V’

V

quit

NP

his job

PP

P’

P

in

NP

the autumn

VP

V’

V’

V

leave

PP

P’

P

in

NP

the autumn

Based on Haegeman (1991: p.123-124)




The role of Government across GB

Government plays a role in several other theories in GB:

Case theory: structural case is assigned by a governor

Binding: in anaphoric binding presence of a governor canplay a role

As an illustration, we’ll look at case assignment in English




Case assignment by governors

In English, transitive verbs and preposition assign anaccusative case to their object.Subjects bear a nominative case: GB assumes it isassigned by INFLWhich items are case assigners in the following examples?

IP

NP

He

I’

I

-ed

VP

V’

V

attack

NP

him

IP

NP

Spec

the

N’

N

dog PP

in the garden

I’

I

-ed

VP

V’

V

attack

NP

him




Government and Binding: remarks (1/2)

Government and Binding has dominated syntacticresearch from the 80s till (approx) 2000

It is still widely used in linguistic research

This lecture gave a ***very limited*** overview of the theory

The theory has been successful in describing variouscross-linguistic phenomena, i.e. hypotheses have lead toprediction that were confirmed by data




Government and Binding, remarks (2/2)

For computational purposes, it has the same drawbacks asearlier versions of transformational grammar

Again, this is mostly due to the aim of the approach

As Standard Theory, it struggles between descriptiveadequacy and explanatory adequacy: when all data isaccounted for, the analysis is (implausibly) complex




Remarks on Syntactic research

Often, it is not straight-forward to see whether an analysisis really ’proven’ to be correctNotably, it can be hard to see what is proven by the data,and what is proven by the data given the theoryThis becomes increasingly difficult when more phenomenaare incorporated in the theory:

In many cases, an analysis is only been shown to be moreplausible than an alternative, but this analysis may have animpact on analyses of (seemingly) unrelated phenomenalater onWhen parts of the theory change, this may have an impacton analyses or allow for alternatives, which may not benoticed

These challenges (and problems that follow from it) exist inall syntactic theories




Bibliography I

Chomsky, Noam (1981). Lectures on Government and Binding. Berlin:Mouton.

Chomsky, Noam (1982). Some Concepts and Consequences of theTheory of Government and Binding

Chomsky, N. and Lasnik, H. (1993) Principles and Parameters Theory,in Syntax: An International Handbook of Contemporary Research,Berlin: de Gruyter.

Haegeman, Liliane (1991). Introduction to Government and BindingTheory. Oxford: Blackwell Publishers.

Jackendoff, Ray (1977). X̄ Syntax: A Study of Phrase Structure.Cambridge Massachusetts: MIT Press.

Ouhalla, Jamal (1994). Introducing Transformational Grammar. NewYork: Oxford University Press.

Sag, Ivan A., Thomas Wasow and Emily M. Bender (2003). SyntacticTheory. A Formal Introduction. Palo Alto: CSLI Publications.


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