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LIBRARIES Elements of Control Elements of Control by Idan Landau MA Linguistics Tel Aviv University, 1994 Submitted to the Department of Linguistics and Philosophy in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy at the Massachusetts Institute of Technology ,August 1999 0@ 1999 IdanLandau. All rights reserved.T The author hereby grants to MIT permission to reproduce and to distribute publicly paper and electronic copies of this thesis document in whole or in part. Signature of Author: Dptartment of Linguistics and Philosophy August 5, 1999 Certified by: Noam Chomsky, Institute Professor Thesis Supervisor Certified by: Sabine Iatridou, Professor of Linguistics Thesis Supervisor Certified by: David Pesetsky, Professor of Linguistics Thesis Supervisor Certifiedaccepted byand Alec Marantz, Professor of Linguistics Thesis Supervisor Head, Department of Linguistics and Philosophy MASSACHUSETTS INSTITUTE OF TECHNOLOGY SEP2 11999 /tOHIVES 1 [ LIBRARIES Elements of Control by Idan Landau Submitted to the Department of Linguistics and Philosophy on August 5, 1999 in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy ABSTRACT How many different types of control relations exist? Is the classical distinction between Obligatory Control (OC) and Non-Obligatory Control (NOC) well-founded? What semantic and syntactic properties of infinitives determine their place in the control typology? How is the "understood subject" PRO linked to the controller? This thesis investigates these questions in two steps: First, we establish a typology of control and characterize the empirical profile of each type; second, we propose mechanisnms of derivation and interpretation to account for the different types . The OC category is shown to consist of two subtypes, Exhaustive Control (EC) and Partial Control (PC). Tense in EC complements is null, and PRO must be referentially identical to the controller; Tense in PC complements is contentful, and PRO need only include the controller (although matching in syntactic number is still required). OC establishes an Agree relation between a matrix functional head and either PRO (in EC) or the infinitival Agr (in PC). The latter is parasitic on T-to-C movement occurring in tensed complements. Control via Agr blocks the transmission of semantic number from the controller to PRO, giving rise to the PC effect. The OC/NOC distinction is traced to the position of the infinitive: VP-internal clauses fall under OC, extraposed and intraposed clauses under NOC - a corollary of the CED, which constrains Agr.ee. Extraposed clauses may be interpreted and pronounced in different positions - a claim that is supported by asymmetries between psych and non-psych predicates in Super-Equi constructions. Converging evidence from extraction confirms that infinitives displaying OC and those displaying NOC occupy different positions at LF although the same position at PF. As for the interpretation of OC, the choice of controller is subject to complex semantic/pragmatic considerations, rather than some syntactic locality principle. We also argue that OC cannot be reduced to predication, at least in the domain of adjectival complementation. Systematic contrasts between subject-gap and object-gap infinitives show that the former may denote either propositions (when occurring as arguments) or predicates (when occurring as modifiers). Thus, two sources exist for subject gaps - PRO (universally available) or A-bar trace (language-particular). Thesis Supervisors: Noam Chomsky, Institute Professor Sabine Iatridou, Professor of Linguistics Alec Marantz, Professor of Linguistics David Pesetsky, Professor of Linguistics 2 Acknowledgments Few places can offer intellectual stimulation of the quality and intensity that MIT does, as a matter of daily routine. It is only at MIT that I learned, first hand, that relentless criticism is the best service one can give to, and receive from, one's peers and colleagues; it is only at MIT that I first felt the power of ideas, triumphant or fallen, as a constant presence in my life. This kind of lesson, never taught in class or read in text, somehow permeates the intellectual atmosphere in the linguistics program. Sooner than you know it, you are part of it, and it is part of you. When I entered the program, I knew very little about how to identify a meaningful problem in linguistics, how to pursue interesting solutions, how to argue for or against a particular position, and so forth. What is worse, I was not even aware of the magnitude of my ignorance. Four years later - I cannot help doing all those things when I do linguistics. The model of intellectual creativity and scientific rigor that I had found at MIT is no doubt the most significant asset I take with me when I leave. This experience was delivered to me by wonderful people - teachers, colleagues, students - to whom I am very grateful. The members of my committee, who have accompanied this thesis from its very inception, with constant feedback and encouragement, deserve my full gratitude. Meetings with Noam Chomsky were always stimulating and thought-provoking, and I have never left them short of new ideas to think about. Noam's peculiar combination of skepticism and conviction has often made me rethink my most fundamental assumptions (including the one concerning my prospects as a linguist). Chapter 4 of this thesis grew out of a casual remark Noam made to me; his direct and indirect influence is visible in innumerable other places. I learned a lot about methodology and reasoning in linguistics from Alec Marantz. Alec is also a well-known skeptic, and conversations with him frequently led me to consider broader issues that arose from my work. From David Pesetsky I learned to be "syntactically innovative" and always look for unexpected links between seemingly disparate ideas. David's own work on infinitives has also inspired large parts of this thesis, especially chapter 2. My fierce arguments with Sabine Iatridou have ultimately sharpened many ideas that were too fuzzy in my head; Sabine's meticulous feedback on my sloppy 3 semantics has greatly improved chapters 4 and 5 of this thesis. Finally, Irene Heim, although not on my committee, read parts of this thesis and contributed important comments on chapters 2 and 4. Scholars outside of MIT have also contributed to my continuous research throughout those years. I am especially indebted to Hagit Borer, for generous and engaging discussions, both in person and over e-mail, on many issues investigated in this thesis. Hagit's own work on control inspired the central idea in chapter 2 of this thesis; her incisive comments greatly improved chapter 3. I would also like to thank the following professors/visitors/ex-students/postdocs of the "extended" MIT family for helpful meetings and discussions: Howard Lasnik, Esther Torrego, Alan Munn, Danny Fox, Martha McGinnis, Miriam Engelhardt, Maya Arad, Andres Holmberg, Rajesh Bhatt and David Embick. Special thanks to Susi Wurmbrand for bearing with my endless questions on control and restructuring (and for writing such a wonderful thesis). Being part of the lively, international student community at MIT was a rare experience. It is through discussions with my fellow students that I learned most about linguistics (as well as about bizarre habits around the globe). Many of those students were not only good friends, but also great informants on their native tongues, and in general, fun to talk with. For all this and more, thanks to: Karlos Arregui-Urbina, Sveva Besana, Marie Claude Boivin, Ben Bruening, Marie-H6l1ne C6t6, Paul Elbourne, Elissa Flagg, Martin Hackl, Michela Ippolito, Yoonjung Kang, Meltem Kelepir, Connie Krause, Vivian Lin, Jon Nissenbaum, Isabel Oltra-Massuet, Liina Pylkkanen, Andrea Rackowsky, Jay Rifkin, Philippe Schlenker and Luciana Storto. During my studies at MIT I was supported by an NSF Graduate Fellowship for 3 years, and by an MIT fellowship for one year. Preliminary ideas from chapter 2 were presented at McGill University. An earlier version of chapter 3 was presented in NELS 29. Parts of chapter 4 were presented at WCCFL 18, and a fuller version is about to be published in The Linguistic Review. I thank the audiences and reviewers in all those forums for helpful comments and suggestions. I have been working on control incessantly for the last two years, and by now I am quite sick of the ease with which this topic lends itself to banal puns. With a sense of relief, then, let me conclude by saying that at the beginning I was very eager to get things under control, soon I was almost in control, then I lost control, then regained it, and now I am quite happy to be finally out of control. Table of Contents Abstract 2 Acknowledgments ........................................................... 3 Table of Contents .... ................................... 5 Chapter 1: Introduction ...................................... I The Fundamental Questions of Control ............................................ 10 2 A Typology of Control ........................................ ........... 12 3 EC and PC (Chapter 2) ............................................... 13 3.1 Properties of PC ......................................................... 14 3.2 The Theory in a Nutshell ...................................................................... 17 4 OC and NOC (Chapter 3) ...................................... .......... 19 4.1 Super-Equi .................... .................................... ...............................
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