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Truncation feeds intervention

Two clause type effects in Basque

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Abstract

In the generative literature, clause type effects have typically been modeled in one of two ways—“truncation” whereby embedded clauses are structurally reduced relative to root clauses, and intervention, by which non-root clauses have additional material that blocks movement available in root contexts. This paper analyzes two clause type effects in Basque—the possibility of verb-initial word orders (V1) and variation in the relative order of Aux, Neg and VP in embedded contexts. We show that these two effects covary systematically across clause types. We present a unified approach to these clause type effects that suggests that these two mechanisms interact, that is, that truncation feeds intervention. Omission of a Force head responsible for the *V1 effect in relevant clause types forces a set of operators to remerge in a position where they block movement of negation. VP-Neg-Aux orders in these clause types reflect a smuggling repair operation.

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Notes

  1. A further exception is found in the speech of some (especially younger) speakers, who allow for finite-verb-initial patterns in presentational contexts as in (i), where a heavy intonational break obligatorily appears between the finite verb and the following material. We set these cases aside in the remaining discussion.

    1. (i)
      figure f
  2. See Elordieta and Jouitteau (2010) for a somewhat different approach to expletive insertion in Basque and Breton.

  3. Wiklund et al. (2009) argue instead that V2 word order does not covary strictly with any pragmatic meaning, but rather that the possibility of embedded V2 word order correlates with possible Main Point of Utterance (MPU) interpretation for the embedding (Simons 2007). Specifically, Wiklund et al. note that the same predicate classes that allow for embedded V2 also allow for embedded MPU: predicates of class A, B, and E allow for both V2 and embedded MPU, classes C and D allow for neither. Importantly, Wiklund et al. note that V2 word order itself does not strictly covary with MPU interpretation, since non-V2 embedded clauses with classes A, B and E can have MPU interpretation. Following Simons (2007), they use, as a diagnostic of MPU, whether a given embedded clause can be a felicitous answer to a preceding question.

    In Basque, the possibility of verb-initial orders appears not to correlate with the predicate classes that best allow MPU interpretation. The question-answer pairs in (i) show that as in English, Swedish and Norwegian, complements of say-class complements are fine on an MPU interpretation, while complements of doubt-class predicates are degraded. Again, complements of both predicate classes are generally bad without expletive ba-.

    1. (i)
      figure z
  4. In the examples in (25)–(29), the embedded clauses all appear to the right of the main clause. All of these main clause predicates, however, allow for an alternative word order whereby the embedded clause appears to the left of the main clause verb as in the example with esan, ‘say’ in (i). This word order difference appears to have no consequence for the availability of expletive ba- in V-initial contexts.

    1. (i)
      figure aa
  5. These complementizers surface as -la and -n when preceded by a person or tense morpheme and as -ela and -en, elsewhere. For convenience, we represent these complementizers as -(e)n and -(e)la throughout. Other Basque complementizers include bait- ‘since’, found mainly in Eastern dialects and ba- (protasis) ‘if’ homophonous with the affirmative/expletive particle discussed above. These elements appear left-adjacent to the auxiliary. These morphemes do not co-occur with ba-support, and are therefore not useful for examining the correlations we focus on here.

  6. A reviewer wonders whether any generalizations can be made about the cross-speaker variation reported here, that is, which speakers show the exceptional patterns and why. The data summarized in this section and in Sect. 3 are based on consultations with fifteen native speakers from different dialect areas, but mainly from southern dialects. The results suggest no clear geographic patterning to the cross-speaker variation. Without a larger data set and a more carefully designed sample it’s difficult to know what other grammatical properties this cross-speaker variation might covary with, and we set this important issue aside here.

  7. The complementizer -(e)lako is plausibly bimorphemic, consisting of the complementizer -(e)la plus genitive -ko. We set this issue aside here. What will be important for the analysis to be developed below will be that -(e)lako is generally incompatible with *V1 and VP-Neg-Aux orders as discussed below.

  8. This characterization holds for wide-focus (“out of the blue”) contexts in all dialects. Some eastern dialects allow for word orders where a focalized XP can appear left-adjacent to the auxiliary as in (i). We set aside these facts here.

    1. (i)
      figure an
  9. Here, we set aside orders in subjunctive clauses. See Artiagoitia and Elordieta (2016) and Elordieta and Artiagoitia (2016) for discussion.

  10. For expository convenience we focus here on analytic verbs. The analysis for synthetic verbs on this approach is quite similar with the main difference that V raises to T.

  11. We assume that exponence of -(e)n rather than -(e)la reflects an agree relation between the clause-typing feature and Fin, though this agreement plays no role in explaining the clause-type effects discussed here (Roberts 2004; Ortiz de Urbina 1999; Artiagoitia and Elordieta 2016).

  12. This is an adaptation of Ortiz de Urbina’s hierarchy, which does not include an evidential head position nor a Σ position.

  13. This includes auxiliaries as well as the synthetic verb forms like (3).

  14. In the case of intra-speaker variation, we assume these two grammars are in competition in the sense of Kroch (1989).

  15. A reviewer notes that factives like (28) (repeated here) require ba-support and Neg-Aux-VP orders.

    1. (i)
      figure by

    If such sentences involve a factive operator, our analysis will require that this operator always sits high in ForceP and never FinP, since such sentences never give rise to intervention.

  16. A reviewer worries about the nature of this last movement step. One possibility is that this is one step in a “roll-up” sequence in the sense of Kayne (1994) and Biberauer et al. (2014)—iterative complement-to-spec movement starting at the bottom of a spine. Such a process would presumably be responsible for the uniformly head-final nature of the Basque Verbal complexes. On this approach, then, complement-head linearization in Basque verbal complexes would be derived by movement, rather than by head directionality parameterization. A second possibility compatible with directionality parameterization but not Biberauer et al.’s approach, is that this is a single case of complement-to-spec movement whose motivation is opaque to us. Again, we do not take a position on these issues here.

  17. Note that -(e)n also appears in embedded wh-questions:

    1. (i)
      figure cd

    From the perspective of our proposal, these facts must mean that the wh-item in such contexts does not sit in FocP, but rather in some other position—plausibly unextracted from PredP in the spec of ΣP. This is explained below.

  18. We are grateful to Pablo Albizu for these observations and for a helpful discussion of these facts.

  19. A reviewer points out that a problem for the proposal so far concerns the possibility of sentences like the second sentence in (i), with third-person subjects and directive force. These take the complementizer -(e)la, but the tense-bearing verb abuts the left edge of the sentence, unlike in the declarative contexts described in Sect. 2.

    1. (i)
      figure cv

    Our analysis cannot model these facts, as the reviewer rightly observes. We note that this seems to be a calque on Spanish third person directives with complementizer que. In historical texts, a further context in which the tense bearing verb appears clause initially were in Catechisms, calqued on Romance:

    1. Q:
      figure cw
    1. A:
      figure cx

    We speculate that these constructions involve a partially distinct grammar conditioned by contact with Spanish.

  20. We owe this idea to Richard Kayne (p.c.).

  21. This approach is not entirely novel in spirit. Uriagereka (1999) also notes that adjacency between the focused constituent and the tense-bearing V is not absolute and attributes the string-wise proximity of these elements to phonological factors. Here we suggest that the relevant movement steps ensuring this proximity are information-structural in nature.

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Acknowledgements

Many many thanks to three very insightful NLLT reviewers for careful critical discussions, and to Txomin Arratibel, Iñigo Arteatx, Xabier Artiagoitia, Maia Duguine, Urtzi Etxeberria, Ricardo Etxepare, Iñaki Camino, Patxi Goenaga, Melanie Jouitteau, Richard Kayne, Oihana Lujanbio, Ad Neeleman, Ane Odria, Beñat Oyharçabal, Koldo Zuazo, audiences of PLC 36, Wedisyn 2013, BLS 40 and members of the Basque Dialect Grammar team. This research is supported by grant from the Basque Government GIC12/61 IT769-13. All errors are our own.

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Correspondence to Bill Haddican.

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Elordieta, A., Haddican, B. Truncation feeds intervention. Nat Lang Linguist Theory 36, 403–443 (2018). https://doi.org/10.1007/s11049-017-9381-0

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