Ur Shlonsky and Luigi Rizzi Criterial Freezing in small clauses and the cartography of copular constructions Abstract: Criterial Freezing is a particular instance of freezing arising in criterial configurations, i.e., in configurations dedicated to the expression of scope- discourse properties. Recent proposals (e.g., Rizzi 2015a,b) try to deduce criterial freezing effects from more elementary ingredients of linguistic computations, most notably from the labeling algorithm proposed in Chomsky (2013). In this paper, we explore the consequences of this approach for the syntax of small clauses. This leads us to work out a cartography of small clauses, both in selected domains (as in English and Romance), and as main clauses (as in Hebrew, following Shlonsky 2000). The cartography involves distinct subject positions in the structure of the IP, which are associated with distinct interpretive properties at the interface. Special attention is devoted to the syntax of small clauses with a non-verbal, pronominal copula in Hebrew. Direct and inverse copular sentences are analyzed according to the proposed structural map, and various freezing effects are traced back to the theoretical ingredients introduced at the outset. Keywords: Criterial freezing, copula, Hebrew copular sentence, labeling, Subject Criterion, small clause, subject position(s), PRON, Inverse copular sentence, Focus, Smuggling 1 Introduction Among the various manifestations of freezing phenomena, a case that has attracted significant attention lately is the case of “criterial freezing”. In essence, when a phrase enters into a “criterial configuration”,aconfiguration dedicated to the expression of a scope-discourse-property (e.g., the final landing site of wh-movement, a left peripheral topic or focus position), the phrase is frozen, and becomes unavailable to further movement operations (Rizzi 2006 and much related work).1 Recent research on the topic (Rizzi 2015a,b, etc.), attempts to deduce criterial freezing effects from more elementary ingredients of linguistic computations, in particular from the locality-based labeling algorithm proposed by Chomsky (2013). 1 This approach to freezing focuses on the impossibility of continuing movement of a phrase from certain positions, and does not directly address the constraints on subextraction, which are central for other approaches to freezing. https://doi.org/10.1515/9781501504266-002 Bereitgestellt von | De Gruyter / TCS Angemeldet Heruntergeladen am | 16.10.19 14:08 30 Ur Shlonsky and Luigi Rizzi In this paper we explore several consequences of this approach for the syntax of small clauses. After a short presentation of the labeling algorithm and of its capacity, in combination with other assumptions, to capture the freezing effects, we briefly discuss some implications of this approach for the analysis of small clauses in English and Romance. We then turn to Modern Hebrew, a language that makes systematic use of verbless small clauses in root environments, and, as such, offers more radical and interesting variations on the theme of small clause syntax. One important peculiarity of Hebrew main small clauses is the appearance (obligatory in some contexts, apparently optional in others) of a non-verbal, pronominal copula in the present tense. We develop a cartographic analysis of this and other peculiarities of main small clauses, which, following Shlonsky (2000), lead to the postulation of distinct “subject” heads, occupying different positions in the clausal spine, and triggering distinct interpretive effects at the interface with semantics and pragmatics. In the second part of the paper we focus on direct and inverse copular constructions (Moro 1997), and discuss properties of the derivation and agree- ment patterns of these constructions both in languages with an overt verbal copula (Italian, English, etc.) and in Hebrew, which has a zero or pronominal copula. We conclude with an analysis of different types of freezing effects, arising in direct and inverse copular clauses, and show that they can be elucidated by the fundamental principles advocated for the explanation of criterial freezing effects, namely, labeling and a maximality principle. 2 Background: Labeling, freezing and the Subject Criterion We adopt the approach to labeling introduced in Chomsky (2013), based on the algorithm (1) and the well-formedness condition (2): (1) Node α created by merge receives the label of the closest head. (Chomsky 2013) (2) Complete labeling is an interface requirement. (Chomsky 2013) According to (1), labeling is a matter of locality. We borrow from Rizzi (2015a; 2015b) the following more detailed implementation, which builds Relativized Minimality into the algorithm: Bereitgestellt von | De Gruyter / TCS Angemeldet Heruntergeladen am | 16.10.19 14:08 Criterial Freezing in small clauses and the cartography of copular constructions 31 (3) α receives the label of H iff 1 i. α contains H1, and ii. there is no H2 such that a. α contains H2, and b. H2 c-commands H1. (Rizzi 2015a,b) The algorithm interacts with the three different subcases of merge: head – head, head – phrase, and phrase – phrase. The interesting case is the last. It gives rise to a configuration like the following: (4) α XP YP X Y Here, an ambiguity arises, as both X and Y satisfy the definition of closest head: The algorithm blocks and α remains unlabeled. But this can only be a temporary state of affairs because, under (2), all nodes must be labeled at the interface. Chomsky (2013) argues that the deadlock can be solved in one of two ways: 1. One of the two phrases, let’s say XP in (4), moves further, so that Y remains without competitor and labels α (an idea inspired by Moro (2000), which also assumes that movement can resolve a problematic situation for dynamic antisymmetry); 2. [XP YP] is a criterial configuration (Rizzi 1997, 2010), and the criterial feature, a categorial feature shared by both XP and YP in the criterial approach, projects and labels α. For example, in the clausal complement of a verb selecting an indirect question we have: (5) I wonder…. α Q Q Q n Q I which book n Bill read–––– Here both XP (which book) and YP (Q Bill read) share the criterial feature Q, which therefore labels α as Q, an indirect question. So, a moved element can remain in a criterial configuration, as the dominating node can be labeled by the criterial feature. Bereitgestellt von | De Gruyter / TCS Angemeldet Heruntergeladen am | 16.10.19 14:08 32 Ur Shlonsky and Luigi Rizzi But the effect is stronger here. The phrase satisfying a criterion cannot be moved further, e.g.: (6) a. I wonder [ [which book] Q [ Bill read __ ]] b. *Which book do you wonder [ __ Q [ Bill read __ ]] (Lasnik & Saito 1992) In other words, there is a freezing effect in the criterial configuration (Rizzi 2006; 2010; Rizzi & Shlonsky 2007). How can such a criterial freezing effect be captured under the labeling approach? Rizzi (2015a,b) proposes that freezing may follow from a natural maximality principle, which expresses the familiar fact that intermediate projections are inert for phrasal movement: (7) Maximality Phrasal movement can only involve maximal objects with a given label. (Rizzi 2015b) After α is labeled as Q in (5), the phrase which book ceases to be maximal, as the node immediately dominating it has the same label. As such, maximality bans further movement of which book from the criterial configuration, and criterial freezing is captured. Under this set of assumptions, the “halting site” for phrasal movement is a criterial position, where a phrase can halt (because labeling of the mother node is possible) and must halt (because of maximality). One typical halting site for phrasal movement is the subject position in the high structure of the IP zone, the typical final landing site of A-movement. The natural conclusion, given our assumptions, is therefore that the subject position is a criterial position, the A counterpart of A’ criterial positions in the left periphery. What would be the interpretive counterpart of a subject criterion? In previous work (stemming from Rizzi 2005, 2006) it was proposed that the crucial property is “aboutness”: The event is presented as being about the subject, and differentiates, for instance, active and passive sentences: (8) a. John called Mary. b. Mary was called by John. The calling event is presented as being about the agent in the active, and about the patient in the passive, and this has consequences for the subsequent dis- course structure, anaphora resolution etc. (See Rizzi 2005, 2006 for discussion). The criterial approach borrows from Cardinaletti (2004) the assumption that a functional head, Subj, structurally defines the subject – predicate articulation. Subj Bereitgestellt von | De Gruyter / TCS Angemeldet Heruntergeladen am | 16.10.19 14:08 Criterial Freezing in small clauses and the cartography of copular constructions 33 occurs as part of the clausal spine, much as T, Asp, etc., perhaps as the highest element of the IP, adjacent to the Fin head, which initiates the CP system. In syntax, Subj attracts a nominal expression to its Spec, and at the interface it triggers the aboutness interpretation. Overt manifestations of Subj may be the subject clitics of Northern Italian Dialects (Poletto 2000; Manzini & Savoia 2005) and also the “nominal copula” hu and its variants in Hebrew, further discussed below. If there is a subject criterion, one expects freezing effects in subject position, under criterial freezing (ultimately, labeling and maximality). This offers a straightforward analysis for subject – object asymmetries, alternative to the classical GB account in terms of the ECP (Rizzi 2006, Rizzi & Shlonsky 2007): (9) a. *Who do you think [ that [ ___ Subj will come ]]? b. Who do you think [ that [ Mary Subj will meet ___ ]]? In the derivation of (9a), the thematic subject who is inevitably attracted by Subj in the embedded clause, it satisfies the Subject Criterion, and gets frozen there. Criterial Freezing therefore bans further movement of who to the main C-system.