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On the Formal Flexibility of Syntactic Categories Chenchen Song Supervisors: Prof. Ian Roberts Dr. Theresa Biberauer Theoretical and Applied Linguistics Faculty of Modern and Medieval Languages University of Cambridge This thesis is submitted for the degree of Doctor of Philosophy Gonville & Caius College July 2019 Declaration This thesis is the result of my own work and includes nothing which is the outcome of work done in collaboration except as declared in the Preface and specified in the text. It is not substantially the same as any that I have submitted, or, is being concurrently submitted for a degree or diploma or other qualification at the University of Cambridge or any other University or similar institution except as declared in the Preface and specified in the text. I further state that no substantial part of my thesis has already been submitted, or, is being concurrently submitted for any such degree, diploma or other qualification at the University of Cambridge or any other University or similar institution except as declared in the Preface and specified in the text. It does not exceed the prescribed word limit for the relevant Degree Committee. Chenchen Song July 2019 On the Formal Flexibility of Syntactic Categories Chenchen Song This dissertation explores the formal flexibility of syntactic categories. The main proposal isthat Universal Grammar (UG) only provides templatic guidance for syntactic category formation and organization but leaves many other issues open, including issues internal to a single category and issues at the intercategorial, system level: these points that UG “does not care about” turn out to enrich the categorial ontology of human language in important ways. The dissertation consists of seven chapters. After a general introduction in Chapter 1, I lay out some foundational issues regarding features and categories in Chapter 2 and delineate a featu- ral metalanguage comprising four components: specification, valuation, typing, and granularity. Based on that I put forward a templatic definition for syntactic categories, which unifies the com- binatorial and taxonomic perspectives under the notion mergeme. Then, a detailed overview of the “categorial universe” I work with is presented, which shows that the syntactic category sys- tem (SCS) is an intricate web structured by five layers of abstraction divided into three broad levels of concern: the individual level (layers 1–2), the global level (layers 3–4), and the supra- global level (layer 5). In the subsequent chapters I explore the template-flexibility pairs at each abstraction layer, with Chapters 3–4 focusing on the first layer, Chapter 5 on the second layer, and Chapter 6 on the third and fourth layers; the fifth layer is not in the scope of this dissertation. Chapter 3 examines a special type of category defined by an underspecified mergeme, the defective category, which behaves like a “chameleon” in that it gets assimilated into whatever nondefective category it merges with. This characteristic makes it potentially useful in analyz- ing certain adjunction structures, and I explore this potential by two case studies, one focusing on modifier-head compounds and the other on sentence-final particles. Chapter 4 examines another special type of category defined by the absence of a mergeme, the Root category. Deduc- tive reasoning leads me to propose a generalized root syntax, according to which roots are not confined to lexical categorial environments but may legally merge with and hence “support” any non-Root category. I demonstrate the empirical consequences of this theory by a comprehensive study of the half-lexical–half-functional vocabulary items in Chinese. Chapter 5 ascends to the second abstraction layer and raises the question of whether the cate- gorial sequences (or projection hierarchies) in human language are necessarily totally ordered, as certain analytical devices (e.g., “flavored” categories) can only be theoretically maintained if we also allow categorial sequences to be partially ordered. After a diachronic study of the flavored verbalizer vbe (stative) in Chinese resultative compounds, I conclude that while “flavoring” is indeed a possible type of flexibility in the SCS, it is the deviation rather than the norm due to non-UG or “third” factors and hence should be cautiously used in syntactic analyses. Chapter 6 ascends even higher on the ladder of abstraction and examines the global inter- connection in the SCS ontology with the aid of mathematical Category theory. I formalize the functional parallelism across major parts of speech and the inheritance-based relations across granularity levels as Category-theoretic structures, which reveal further and more abstract tem- plates and flexibility types in the SCS. A crucial mathematical concept in the formalization is epi- Adjunction. Finally, in Chapter 7 I summarize the main results of this dissertation and briefly discuss some potential directions of future research. Acknowledgments I would like to thank everyone who has helped me during my PhD studies in one way or another. First of all, I am truly grateful to my supervisors, Ian Roberts and Theresa Biberauer, for their pa- tient guidance and continuous support. I had arrived at Cambridge knowing little about formal syntax but now can understand the most advanced works in the field. My academic growth is the result of their scholarly enlightenment, and I cannot thank them enough for this intangible gift. Ian gave me ample freedom since day one, allowing me to explore my interests at myown pace but also pointing me in the right directions, which were not necessarily in his own research areas. He often knew what I would be interested in even before I knew it myself, which inmy eyes was like magic. I will never cease admiring his erudition and achievements. I have always admired Theresa’s knowledge and enthusiasm in linguistics too, so when she offered to be my co-supervisor at the end of my first year, I felt really lucky. I am deeply indebted to her for her detailed feedback on my work, her encouragement when I accidentally stepped into a whole new field, her practical advice on various (semi)academic matters, and her always timely help with my paperwork. Being an international student often means extra difficulty, and her administrative aid has made my life much easier. Both Ian and Theresa have hugely influenced my way of thinking, as can be seen in multiple places in this dissertation, but what I especially appreciate is that they have also helped me produce a piece of work that I can confidently call my own. Their open-mindedness to and protection of nonmainstream ideas is something I will pass on to my own students in the future. I have been fortunate enough to work or converse with a lot of experts in and beyond the linguistics community at Cambridge and elsewhere, which has been an important source of in- spiration for me to explore further realms in the intellectual world. Many thanks to Víctor Acedo- Matellán, who had been a great mentor-advisor while being here and continued helping me after moving to The Other Place; to Andrew Pitts and his Category Theory course in the Department of Computer Science and Technology, which was the first math course I had seriously taken years after high school, as well as John Baez and his Applied Category Theory course in the Az- imuth forum, where my layman questions were patiently answered; to Anders Holmberg, Igor Arrieta, Erin Pretorius, Cherry Lam, and others who kindly commented on my written work; to Jenneke van der Wal, Michelle Sheehan, Craig Sailor, and other SyntaxLab goers who gave me feedback at various points of my research; to Jim Baker, András Bárány, Jamie Douglas, Anna viii Hollingsworth, Daniela Gerz, Hanna Ajer, Li Nguyen, and other PhD colleagues with whom I have had thought-provoking chats; and also to the many friendly people I have luckily had the chance to meet at various conferences—I look forward to seeing you again! I have been able to fully concentrate on my PhD research thanks to the generous funding from Cambridge Trust and China Scholarship Council. I should particularly thank Cambridge Trust for extending my scholarship into my fourth year, without which I would not have been able to write up this dissertation. I would also like to thank Gonville & Caius College for giving me financial help when I was in need. In addition, both Gonville & Caius College and the Faculty of Modern and Medieval Languages have offered me student grants, which have allowed me to present my work at conferences and attend language courses. Life is not all about linguistics, and I should like to extend my thanks to all my dear friends who have made my nonacademic life at Cambridge enjoyable. Among those I hang out with, Wiktor Olszowy is the most reliable one; sometimes he plays loud music at midnight but at least his taste in music is fine. Beñat Mencia Uranga is unlike Wiktor but has the funniest style (despite what Wiktor says in his PhD Acknowledgments) and arranges the best meal groups (with a lot of sparkling conversations). The Caius Movie Appreciation Society, the beginning of which I had witnessed, is probably the best Cambridge society I have been to. There I have watched (or occasionally napped through) many movies that I would probably never watch elsewhere and met a bunch of lovely people, including but not limited to Michael Kosicki (who makes good pie), Michele Sanguanini (who makes good tiramisu), Alex Shattock (who has the best party costumes), Christine Yu (who is the most energetic), and Daniela Peris (who gave me her Beedle the Bard). I would also like to thank all my old friends, in China and elsewhere, who have shared my joy and heard my complaints, given me advice and helped me grow, and never got annoyed by my monthslong silence.